Title 7 — Agriculture
Chapter 1. Commodity Exchanges
86 sections
- 1Short title
- 1aDefinitions
- 1bRequirements of Secretary of the Treasury regarding exemption of foreign exchange swaps and foreign exchange forwards from definition of the term “swap”
- 2Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce
- 2a to 4aTransferred
- 5Findings and purpose
- 6Regulation of futures trading and foreign transactions
- 6aExcessive speculation
- 6bContracts designed to defraud or mislead
- 6b–1Enforcement authority
- 6cProhibited transactions
- 6dDealing by unregistered futures commission merchants or introducing brokers prohibited; duties in handling customer receipts; conflict-of-interest systems and procedures; Chief Compliance Officer; rules to avoid duplicative regulations; swap requirements; portfolio margining accounts
- 6eDealings by unregistered floor trader or broker prohibited
- 6fRegistration and financial requirements; risk assessment
- 6gReporting and recordkeeping
- 6hFalse self-representation as registered entity member prohibited
- 6iReports of deals equal to or in excess of trading limits; books and records; cash and controlled transactions
- 6jRestrictions on dual trading in security futures products on designated contract markets and registered derivatives transaction execution facilities
- 6kRegistration of associates of futures commission merchants, commodity pool operators, and commodity trading advisors; required disclosure of disqualifications; exemptions for associated persons
- 6lCommodity trading advisors and commodity pool operators; Congressional finding
- 6mUse of mails or other means or instrumentalities of interstate commerce by commodity trading advisors and commodity pool operators; relation to other law
- 6nRegistration of commodity trading advisors and commodity pool operators; application; expiration and renewal; record keeping and reports; disclosure; statements of account
- 6oFraud and misrepresentation by commodity trading advisors, commodity pool operators, and associated persons
- 6o–1Transferred
- 6pStandards and examinations
- 6qSpecial procedures to encourage and facilitate bona fide hedging by agricultural producers
- 6rReporting and recordkeeping for uncleared swaps
- 6sRegistration and regulation of swap dealers and major swap participants
- 6tLarge swap trader reporting
- 7Designation of boards of trade as contract markets
- 7aRepealed. Pub. L. 111–203, title VII, § 734(a)
- 7a–1Derivatives clearing organizations
- 7a–2Common provisions applicable to registered entities
- 7a–3Repealed. Pub. L. 111–203, title VII, § 734(a)
- 7bSuspension or revocation of designation as registered entity
- 7b–1Designation of securities exchanges and associations as contract markets
- 7b–2Privacy
- 7b–3Swap execution facilities
- 8Application for designation as contract market or derivatives transaction execution facility; time; suspension or revocation of designation; hearing; review by court of appeals
- 9Prohibition regarding manipulation and false information
- 9aAssessment of money penalties
- 9bRules prohibiting deceptive and other abusive telemarketing acts or practices
- 9cNotice of investigations and enforcement actions
- 10Repealed. June 25, 1948, ch. 646, § 39
- 10aCooperative associations and corporations, exclusion from board of trade; rules of board inapplicable to payment of compensation by association
- 11Vacation on request of designation or registration as “registered entity”; redesignation or reregistration
- 12Public disclosure
- 12–1 to 12–3Omitted
- 12aRegistration of commodity dealers and associated persons; regulation of registered entities
- 12bTrading ban violations; prohibition
- 12cDisciplinary actions
- 12dCommission action for noncompliance with export sales reporting requirements
- 12eRepealed. Pub. L. 106–554, § 1(a)(5) [title I, § 123(a)(21)]
- 13Violations generally; punishment; costs of prosecution
- 13–1Violations, prohibition against dealings in motion picture box office receipts or onion futures; punishment
- 13aNonenforcement of rules of government or other violations; cease and desist orders; fines and penalties; imprisonment; misdemeanor; separate offenses
- 13a–1Enjoining or restraining violations
- 13a–2Jurisdiction of States
- 13bManipulations or other violations; cease and desist orders against persons other than registered entities; punishment
- 13cResponsibility as principal; minor violations
- 14Repealed. Pub. L. 99–641, title I, § 110(5)
- 15Omitted
- 15aRepealed. Pub. L. 95–405, § 24
- 15bCotton futures contracts
- 16Commission operations
- 16aService fees and National Futures Association study
- 17Separability
- 17aSeparability of 1936 amendment
- 17bSeparability of 1968 amendment
- 18Complaints against registered persons
- 19Consideration of costs and benefits and antitrust laws
- 20Market reports
- 21Registered futures associations
- 22Research and information programs; reports to Congress
- 23Standardized contracts for certain commodities
- 24Customer property with respect to commodity broker debtors; definitions
- 24aSwap data repositories
- 25Private rights of action
- 26Commodity whistleblower incentives and protection
- 27Definitions
- 27aExclusion of identified banking product
- 27bRepealed. Pub. L. 111–203, title VII, § 725(g)(1)(A)
- 27cExclusion of certain other identified banking products
- 27dAdministration of the predominance test
- 27eRepealed. Pub. L. 111–203, title VII, § 725(g)(1)(A)
- 27fContract enforcement