Sample records for dalian commodity exchange

  1. Multifractal spectrum analysis of nonlinear dynamical mechanisms in China’s agricultural futures markets

    NASA Astrophysics Data System (ADS)

    Chen, Shu-Peng; He, Ling-Yun

    2010-04-01

    Based on Partition Function and Multifractal Spectrum Analysis, we investigated the nonlinear dynamical mechanisms in China’s agricultural futures markets, namely, Dalian Commodity Exchange (DCE for short) and Zhengzhou Commodity Exchange (ZCE for short), where nearly all agricultural futures contracts are traded in the two markets. Firstly, we found nontrivial multifractal spectra, which are the empirical evidence of the existence of multifractal features, in 4 representative futures markets in China, that is, Hard Winter wheat (HW for short) and Strong Gluten wheat (SG for short) futures markets from ZCE and Soy Meal (SM for short) futures and Soy Bean No.1 (SB for short) futures markets from DCE. Secondly, by shuffling the original time series, we destroyed the underlying nonlinear temporal correlation; thus, we identified that long-range correlation mechanism constitutes major contributions in the formation in the multifractals of the markets. Thirdly, by tracking the evolution of left- and right-half spectra, we found that there exist critical points, between which there are different behaviors, in the left-half spectra for large price fluctuations; but for the right-hand spectra for small price fluctuations, the width of those increases slowly as the delay t increases in the long run. Finally, the dynamics of large fluctuations is significantly different from that of the small ones, which implies that there exist different underlying mechanisms in the formation of multifractality in the markets. Our main contributions focus on that we not only provided empirical evidence of the existence of multifractal features in China agricultural commodity futures markets; but also we pioneered in investigating the sources of the multifractality in China’s agricultural futures markets in current literature; furthermore, we investigated the nonlinear dynamical mechanisms based on spectrum analysis, which offers us insights into the underlying dynamical mechanisms in China’s agricultural futures markets.

  2. 78 FR 14964 - Small Diameter Graphite Electrodes From the People's Republic of China: Preliminary Results of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-08

    ... segment. 1. Brilliant Charter Limited, 2. Dalian Thrive Metallurgy Imp. & Exp. Co., Ltd. 3. GES (China) Co... Carbon (China) Co., Limited 4. Anssen Metallurgy Group Co., Ltd. 5. AMGL 6. Apex Maritime (Dalian) Co.... Dalian Horton International Trading Co., Ltd. 21. Dalian LST Metallurgy Co., Ltd. 22. Dalian Shuangji Co...

  3. 17 CFR 14.4 - Violation of Commodity Exchange Act.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Violation of Commodity Exchange Act. 14.4 Section 14.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION... Exchange Act. The Commission may deny, temporarily or permanently, the privilege of appearing or practicing...

  4. 17 CFR 33.10 - Fraud in connection with commodity option transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Fraud in connection with commodity option transactions. 33.10 Section 33.10 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF DOMESTIC EXCHANGE-TRADED COMMODITY OPTION TRANSACTIONS § 33.10 Fraud in...

  5. 17 CFR 5.4 - Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors. 5.4 Section 5.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.4...

  6. 7 CFR 1427.22 - Commodity certificate exchanges.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 7 Agriculture 10 2010-01-01 2010-01-01 false Commodity certificate exchanges. 1427.22 Section 1427... Deficiency Payments § 1427.22 Commodity certificate exchanges. (a) For any outstanding marketing assistance loan provided for upland cotton, a producer may purchase a commodity certificate and exchange that...

  7. Pollution level and distribution of PCDD/PCDF congeners between vapor phase and particulate phase in winter air of Dalian, China.

    PubMed

    Wang, Wei; Qin, Songtao; Song, Yu; Xu, Qian; Ni, Yuwen; Chen, Jiping; Zhang, Xueping; Mu, Jim; Zhu, Xiuhua

    2011-06-01

    In December 2009, ambient air was sampled with active high-volume air samplers at two sites: on the roof of the No. l building of Dalian Jiaotong University and on the roof of the building of Dalian Meteorological Observatory. The concentrations and the congeners between vapor phase and particulate phase of polychlorinated dibenzo-p-dioxins and dibenzofurans (PCDD/Fs) in the air were measured. Sample analysis results showed that the concentrations of PCDD/Fs in particulate phase was higher than that in gaseous phase. The ratio of PCDD to PCDF in gaseous phase and particulate phase was lower than 0.4 in all samples. The total I-TEQ value in gaseous phase and particulate phase was 5.5 and 453.8 fg/m(3) at Dalian Jiaotong University, 16.6 and 462.1 fg/m(3) at Dalian Meteorological Observatory, respectively. The I-TEQ value of Dalian atmosphere was 5.5-462.1 fg/m(3) which was lower than international standard, the atmospheric quality in Dalian is better. Copyright © 2011 The Research Centre for Eco-Environmental Sciences, Chinese Academy of Sciences. Published by Elsevier B.V. All rights reserved.

  8. 17 CFR 5.12 - Financial reports of retail foreign exchange dealers.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Financial reports of retail foreign exchange dealers. 5.12 Section 5.12 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.12 Financial reports of retail foreign exchange...

  9. 17 CFR 8.02 - Implementing exchange rules.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Implementing exchange rules. 8.02 Section 8.02 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS General Provisions § 8.02 Implementing...

  10. Implementing China's circular economy concept at the regional level: a review of progress in Dalian, China.

    PubMed

    Geng, Yong; Zhu, Qinghua; Doberstein, Brent; Fujita, Tsuyoshi

    2009-02-01

    The circular economy (CE) concept was introduced in China to address environmental degradation and resource scarcity associated with rapid economic development. Chosen as a demonstration city, Dalian has implemented the CE strategy as a means of conserving water, materials, energy and land. This paper outlines some of the regional CE initiatives that have been successful to date in Dalian, including those focusing on conserving energy and water resources and others focusing on reduced industrial emissions. The paper details the approach used in implementing the CE concept in Dalian, tracing the foci and goals of the program, and the sectoral approach used to implement a CE. Although Dalian municipality has achieved many successes in implementing a CE, our paper identifies several challenges that, until recently, have held back complete implementation. These include: the lack of incentives for older industries to 'green' their operations, the lack of financial support to expand the CE concept, and a broad-based need for heightened public awareness and participation in CE initiatives. Our paper then identifies several responses by Dalian municipality to overcome these challenges, including pricing and tax reforms that serve as conservation incentives, the provision of financial support for CE promotion through budget reorganization, and the organization of CE training programs. Our paper concludes that, although CE initiatives have been successful in Dalian, more is possible and more is needed before Dalian can be designated a true 'eco-city'. The approach used by Dalian can provide guidance for other Chinese cities, although it is recognized that each city must tailor its own approach for differing contexts and conditions.

  11. 17 CFR Appendix C to Part 1 - [Reserved

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false [Reserved] C Appendix C to Part 1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Appendix C to Part 1 [Reserved] ...

  12. 17 CFR 1.1 - [Reserved

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false [Reserved] 1.1 Section 1.1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.1 [Reserved] [66 FR 42269, Aug. 10, 2001] ...

  13. 17 CFR 1.1 - [Reserved

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false [Reserved] 1.1 Section 1.1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.1 [Reserved] [66 FR 42269, Aug. 10, 2001] ...

  14. 17 CFR 1.1 - [Reserved

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false [Reserved] 1.1 Section 1.1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.1 [Reserved] [66 FR 42269, Aug. 10, 2001] ...

  15. 17 CFR 1.1 - [Reserved

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false [Reserved] 1.1 Section 1.1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.1 [Reserved] [66 FR 42269, Aug. 10, 2001] ...

  16. 17 CFR 1.19 - Prohibited trading in certain “puts” and “calls”.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Prohibited trading in certain âputsâ and âcallsâ. 1.19 Section 1.19 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Prohibited Trading in Commodity Options § 1...

  17. 17 CFR 1.19 - Prohibited trading in certain “puts” and “calls”.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Prohibited trading in certain âputsâ and âcallsâ. 1.19 Section 1.19 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Prohibited Trading in Commodity Options § 1...

  18. 17 CFR 1.19 - Prohibited trading in certain “puts” and “calls”.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Prohibited trading in certain âputsâ and âcallsâ. 1.19 Section 1.19 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Prohibited Trading in Commodity Options § 1...

  19. 17 CFR 1.19 - Prohibited trading in certain “puts” and “calls”.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Prohibited trading in certain âputsâ and âcallsâ. 1.19 Section 1.19 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Prohibited Trading in Commodity Options § 1...

  20. 17 CFR 1.19 - Prohibited trading in certain “puts” and “calls”.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Prohibited trading in certain âputsâ and âcallsâ. 1.19 Section 1.19 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Prohibited Trading in Commodity Options § 1...

  1. 17 CFR 9.21 - Record of exchange proceeding.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Record of exchange proceeding. 9.21 Section 9.21 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REVIEW OF EXCHANGE DISCIPLINARY, ACCESS DENIAL OR OTHER ADVERSE ACTIONS Initial Procedure With...

  2. 7 CFR 1421.110 - Commodity certificate exchanges.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... COMMODITIES-MARKETING ASSISTANCE LOANS AND LOAN DEFICIENCY PAYMENTS FOR 2008 THROUGH 2012 Marketing Assistance Loans § 1421.110 Commodity certificate exchanges. (a) For any outstanding marketing assistance loan for... commodity certificate for the marketing assistance loan collateral. (b) The exchange rate is the lesser of...

  3. 17 CFR 32.9 - Fraud in connection with commodity option transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Fraud in connection with commodity option transactions. 32.9 Section 32.9 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF COMMODITY OPTION TRANSACTIONS § 32.9 Fraud in connection with commodity...

  4. 17 CFR 1.1 - Fraud in or in connection with transactions in foreign currency subject to the Commodity Exchange...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Fraud in or in connection with... Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.1 Fraud in or in connection with transactions in foreign currency subject to the...

  5. 17 CFR 5.10 - Risk assessment recordkeeping requirements for retail foreign exchange dealers.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Risk assessment recordkeeping requirements for retail foreign exchange dealers. 5.10 Section 5.10 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.10 Risk assessment...

  6. 17 CFR 5.11 - Risk assessment reporting requirements for retail foreign exchange dealers.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Risk assessment reporting requirements for retail foreign exchange dealers. 5.11 Section 5.11 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.11 Risk assessment...

  7. 17 CFR 1.32 - Segregated account; daily computation and record.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Segregated account; daily computation and record. 1.32 Section 1.32 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Recordkeeping § 1.32 Segregated account...

  8. 17 CFR 1.49 - Denomination of customer funds and location of depositories.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Denomination of customer funds and location of depositories. 1.49 Section 1.49 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Miscellaneous § 1.49 Denomination...

  9. 17 CFR 5.13 - Reporting to customers of retail foreign exchange dealers and futures commission merchants...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Reporting to customers of....13 Section 5.13 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.13 Reporting to customers of retail foreign exchange dealers and futures...

  10. 17 CFR 33.3 - Unlawful commodity option transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Unlawful commodity option... REGULATION OF DOMESTIC EXCHANGE-TRADED COMMODITY OPTION TRANSACTIONS § 33.3 Unlawful commodity option... of, or maintain a position in, any commodity option transaction subject to the provisions of this...

  11. 17 CFR 5.4 - Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... this chapter to commodity pool operators and commodity trading advisors. 5.4 Section 5.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.4 Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors. Part 4 of...

  12. 17 CFR 5.4 - Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... this chapter to commodity pool operators and commodity trading advisors. 5.4 Section 5.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.4 Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors. Part 4 of...

  13. 17 CFR 8.28 - Final decision.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Final decision. 8.28 Section 8.28 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS Summary Actions § 8.28 Final decision. Each exchange shall...

  14. 17 CFR 32.13 - Exemption from prohibition of commodity option transactions for trade options on certain...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Exemption from prohibition of commodity option transactions for trade options on certain agricultural commodities. 32.13 Section 32.13 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF COMMODITY OPTION TRANSACTIONS § 32.13 Exemption from...

  15. 17 CFR 1.46 - Application and closing out of offsetting long and short positions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Application and closing out of offsetting long and short positions. 1.46 Section 1.46 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Miscellaneous § 1.46 Application...

  16. 17 CFR 1.39 - Simultaneous buying and selling orders of different principals; execution of, for and between...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Simultaneous buying and... Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Recordkeeping § 1.39 Simultaneous buying and selling orders of different principals...

  17. 17 CFR 5.17 - Authorization to trade.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Authorization to trade. 5.17 Section 5.17 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.17 Authorization to trade. No retail foreign exchange dealer, futures commission...

  18. 17 CFR 5.14 - Records to be kept by retail foreign exchange dealers and futures commission merchants.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Records to be kept by retail foreign exchange dealers and futures commission merchants. 5.14 Section 5.14 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.14 Records to...

  19. 17 CFR 5.8 - Aggregate retail forex assets.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Aggregate retail forex assets. 5.8 Section 5.8 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.8 Aggregate retail forex assets. (a) Each retail foreign exchange dealer...

  20. 17 CFR 33.4 - Designation as a contract market for the trading of commodity options.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... market for the trading of commodity options. 33.4 Section 33.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF DOMESTIC EXCHANGE-TRADED COMMODITY OPTION TRANSACTIONS § 33.4 Designation as a contract market for the trading of commodity options. The Commission may...

  1. 17 CFR 33.4 - Designation as a contract market for the trading of commodity options.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... market for the trading of commodity options. 33.4 Section 33.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF DOMESTIC EXCHANGE-TRADED COMMODITY OPTION TRANSACTIONS § 33.4 Designation as a contract market for the trading of commodity options. The Commission may...

  2. 17 CFR 32.5 - Disclosure.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... effect of any foreign currency fluctuations with respect to commodity option transactions which are to be... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Disclosure. 32.5 Section 32.5 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF COMMODITY OPTION...

  3. A Space Commodities Futures Trading Exchange to Grow the Lunar Economy

    NASA Astrophysics Data System (ADS)

    Cahan, B. B. C.

    2017-10-01

    This paper proposes to establish a Space Commodities Futures Trading Exchange in order to define and trade essential commodities that, when traded on an open exchange, improve availability, quality, price discovery, financeability, and equal access.

  4. 17 CFR 3.10 - Registration of futures commission merchants, retail foreign exchange dealers, introducing...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ..., commodity pool operators and leverage transaction merchants. 3.10 Section 3.10 Commodity and Securities..., commodity pool operators and leverage transaction merchants. (a) Application for registration. (1)(i) Except... merchant, retail foreign exchange dealers, introducing broker, commodity trading advisor, commodity pool...

  5. 17 CFR 5.7 - Minimum financial requirements for retail foreign exchange dealers and futures commission...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Minimum financial requirements... forex transactions. 5.7 Section 5.7 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.7 Minimum financial requirements for retail foreign...

  6. 17 CFR 5.6 - Maintenance of minimum financial requirements by retail foreign exchange dealers and futures...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Maintenance of minimum... engaging in retail forex transactions. 5.6 Section 5.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.6 Maintenance of minimum financial...

  7. 17 CFR 5.5 - Distribution of “Risk Disclosure Statement” by retail foreign exchange dealers, futures...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Distribution of âRisk... brokers regarding retail forex transactions. 5.5 Section 5.5 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.5 Distribution of “Risk...

  8. 17 CFR 33.5 - Application for designation as a contract market for the trading of commodity options.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... a contract market for the trading of commodity options. 33.5 Section 33.5 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF DOMESTIC EXCHANGE-TRADED COMMODITY OPTION TRANSACTIONS § 33.5 Application for designation as a contract market for the trading of commodity options. (a...

  9. 17 CFR 37.4 - Election to trade excluded and exempt commodities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Election to trade excluded and exempt commodities. 37.4 Section 37.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES TRANSACTION EXECUTION FACILITIES § 37.4 Election to trade excluded and exempt commodities. A board of trade that is or elects...

  10. 17 CFR 33.5 - Application for designation as a contract market for the trading of commodity options.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... a contract market for the trading of commodity options. 33.5 Section 33.5 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF DOMESTIC EXCHANGE-TRADED COMMODITY OPTION TRANSACTIONS § 33.5 Application for designation as a contract market for the trading of commodity options. (a...

  11. 17 CFR 33.5 - Application for designation as a contract market for the trading of commodity options.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... a contract market for the trading of commodity options. 33.5 Section 33.5 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF DOMESTIC EXCHANGE-TRADED COMMODITY OPTION TRANSACTIONS § 33.5 Application for designation as a contract market for the trading of commodity options. (a...

  12. 17 CFR 8.08 - Disciplinary committee.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Disciplinary committee. 8.08 Section 8.08 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS Disciplinary Procedure § 8.08 Disciplinary...

  13. 17 CFR 4.32 - Trading on a Registered Derivatives Transaction Execution Facility for Non-Institutional Customers.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Trading on a Registered... Securities Exchanges COMMODITY FUTURES TRADING COMMISSION COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS Commodity Trading Advisors § 4.32 Trading on a Registered Derivatives Transaction Execution...

  14. 17 CFR 37.4 - Election to trade excluded and exempt commodities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Election to trade excluded and exempt commodities. 37.4 Section 37.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES TRANSACTION EXECUTION FACILITIES § 37.4 Election to trade excluded and exempt...

  15. 17 CFR 4.32 - Trading on a Registered Derivatives Transaction Execution Facility for Non-Institutional Customers.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Trading on a Registered... Securities Exchanges COMMODITY FUTURES TRADING COMMISSION COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS Commodity Trading Advisors § 4.32 Trading on a Registered Derivatives Transaction Execution...

  16. 17 CFR 8.20 - Final decision.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Final decision. 8.20 Section 8.20 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS Disciplinary Procedure § 8.20 Final decision. Each...

  17. 17 CFR 166.2 - Authorization to trade.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Authorization to trade. 166.2 Section 166.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION CUSTOMER PROTECTION RULES § 166.2 Authorization to trade. No futures commission merchant, retail foreign exchange dealer...

  18. 17 CFR 166.2 - Authorization to trade.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Authorization to trade. 166.2 Section 166.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION CUSTOMER PROTECTION RULES § 166.2 Authorization to trade. No futures commission merchant, retail foreign exchange dealer...

  19. 17 CFR 166.2 - Authorization to trade.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 2 2014-04-01 2014-04-01 false Authorization to trade. 166.2 Section 166.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION (CONTINUED) CUSTOMER PROTECTION RULES § 166.2 Authorization to trade. No futures commission merchant, retail foreign exchange...

  20. 17 CFR 8.25 - Member responsibility actions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Member responsibility actions. 8.25 Section 8.25 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE... subject to its jurisdiction upon a reasonable belief that such immediate action is necessary to protect...

  1. 17 CFR 8.25 - Member responsibility actions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Member responsibility actions. 8.25 Section 8.25 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE... subject to its jurisdiction upon a reasonable belief that such immediate action is necessary to protect...

  2. 17 CFR 8.25 - Member responsibility actions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Member responsibility actions. 8.25 Section 8.25 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE... subject to its jurisdiction upon a reasonable belief that such immediate action is necessary to protect...

  3. 17 CFR 5.21 - Supervision.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Supervision. 5.21 Section 5.21 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.21 Supervision. Each Commission registrant subject to this part 5, except an associated person...

  4. 17 CFR 5.21 - Supervision.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Supervision. 5.21 Section 5.21 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.21 Supervision. Each Commission registrant subject to this part 5, except an associated person...

  5. 17 CFR 5.21 - Supervision.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Supervision. 5.21 Section 5.21 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.21 Supervision. Each Commission registrant subject to this part 5, except an associated person...

  6. 17 CFR 5.2 - Prohibited transactions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Prohibited transactions. 5.2 Section 5.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.2 Prohibited transactions. (a) Scope. The provisions of this section shall be...

  7. 17 CFR 5.15 - Unlawful representations.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Unlawful representations. 5.15 Section 5.15 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.15 Unlawful representations. It shall be unlawful for any person registered...

  8. 17 CFR 5.21 - Supervision.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Supervision. 5.21 Section 5.21 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.21 Supervision. Each Commission registrant subject to this part 5, except an associated person...

  9. 17 CFR 5.22 - Registered futures association membership.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Registered futures association membership. 5.22 Section 5.22 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.22 Registered futures association membership. (a) Each person...

  10. 17 CFR 8.11 - Notice of charges.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Notice of charges. 8.11 Section 8.11 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS Disciplinary Procedure § 8.11 Notice of...

  11. 17 CFR 8.13 - Answer to charges.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Answer to charges. 8.13 Section 8.13 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS Disciplinary Procedure § 8.13 Answer to...

  12. 17 CFR 9.23 - Answering brief.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Answering brief. 9.23 Section 9.23 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REVIEW OF EXCHANGE DISCIPLINARY, ACCESS DENIAL OR OTHER ADVERSE ACTIONS Initial Procedure With Respect to...

  13. 17 CFR 32.13 - Exemption from prohibition of commodity option transactions for trade options on certain...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Exemption from prohibition of... Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF COMMODITY OPTION... are met at the time of the solicitation or acceptance: (1) That person is registered with the...

  14. 17 CFR 4.32 - Trading on a Registered Derivatives Transaction Execution Facility for Non-Institutional Customers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Trading on a Registered Derivatives Transaction Execution Facility for Non-Institutional Customers. 4.32 Section 4.32 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION COMMODITY POOL OPERATORS AND COMMODITY TRADING...

  15. 17 CFR 5.16 - Prohibition of guarantees against loss.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Prohibition of guarantees against loss. 5.16 Section 5.16 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.16 Prohibition of guarantees against loss. (a) No...

  16. 17 CFR 5.18 - Trading and operational standards.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Trading and operational standards. 5.18 Section 5.18 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.18 Trading and operational standards. (a) For purposes of this...

  17. 77 FR 27444 - Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-10

    ... SECURITIES AND EXCHANGE COMMISSION COMMODITY FUTURES TRADING COMMISSION [Release Nos. 34-66932... and Exchange Commission (``SEC'') and Commodity Futures Trading Commission (``CFTC'') (each, an.... Commodity Futures Trading Commission Written comments may be mailed to the Commodity Futures Trading...

  18. 17 CFR 33.6 - Suspension or revocation of designation as a contract market for the trading of commodity options.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... designation as a contract market for the trading of commodity options. 33.6 Section 33.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF DOMESTIC EXCHANGE-TRADED COMMODITY OPTION TRANSACTIONS § 33.6 Suspension or revocation of designation as a contract market for the trading...

  19. 17 CFR 33.6 - Suspension or revocation of designation as a contract market for the trading of commodity options.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... designation as a contract market for the trading of commodity options. 33.6 Section 33.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF DOMESTIC EXCHANGE-TRADED COMMODITY OPTION TRANSACTIONS § 33.6 Suspension or revocation of designation as a contract market for the trading...

  20. 17 CFR 5.24 - Applicability of other parts of this chapter

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Applicability of other parts of this chapter 5.24 Section 5.24 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.24 Applicability of other parts of this chapter...

  1. 17 CFR 5.9 - Security deposits for retail forex transactions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Security deposits for retail forex transactions. 5.9 Section 5.9 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.9 Security deposits for retail forex transactions...

  2. 17 CFR 5.20 - Special calls for account and transaction information.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Special calls for account and transaction information. 5.20 Section 5.20 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.20 Special calls for account and transaction...

  3. 17 CFR 5.25 - Applicability of the Act.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Applicability of the Act. 5.25 Section 5.25 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.25 Applicability of the Act. Except as otherwise specified in this part and...

  4. 17 CFR 5.3 - Registration of persons engaged in retail forex transactions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Registration of persons engaged in retail forex transactions. 5.3 Section 5.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.3 Registration of persons engaged in...

  5. 17 CFR 5.23 - Notice of bulk transfers and bulk liquidations.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Notice of bulk transfers and bulk liquidations. 5.23 Section 5.23 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.23 Notice of bulk transfers and bulk liquidations...

  6. 17 CFR 166.2 - Authorization to trade.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Authorization to trade. 166.2 Section 166.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION CUSTOMER PROTECTION RULES § 166.2 Authorization to trade. No futures commission merchant, retail foreign exchange dealer, introducing broker or any of their...

  7. 17 CFR 9.27-9.29 - [Reserved

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false [Reserved] 9.27-9.29 Section 9.27-9.29 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REVIEW OF EXCHANGE DISCIPLINARY, ACCESS DENIAL OR OTHER ADVERSE ACTIONS Initial Procedure With Respect to...

  8. 17 CFR 9.13 - Publication of notice.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Publication of notice. 9.13 Section 9.13 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO... Disciplinary Action or Access Denial Action § 9.13 Publication of notice. Whenever an exchange suspends, expels...

  9. 17 CFR 32.6 - Segregation.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Segregation. 32.6 Section 32.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF COMMODITY OPTION TRANSACTIONS § 32.6 Segregation. (a) Any person which accepts money, securities, or property from an option...

  10. 17 CFR 32.6 - Segregation.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Segregation. 32.6 Section 32.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF COMMODITY OPTION TRANSACTIONS § 32.6 Segregation. (a) Any person which accepts money, securities, or property from an option...

  11. 17 CFR 3.3 - [Reserved

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false [Reserved] 3.3 Section 3.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGISTRATION Registration § 3.3 [Reserved] ...

  12. 17 CFR 3.3 - [Reserved

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false [Reserved] 3.3 Section 3.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGISTRATION Registration § 3.3 [Reserved] ...

  13. 17 CFR Appendix C to Part 4 - Form CTA-PR

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Form CTA-PR C Appendix C to Part 4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS Pt. 4, App. C Appendix C to Part 4—Form CTA-PR ER24FE12.052 ER24FE12...

  14. 17 CFR 240.3b-13 - Definition of eligible OTC derivative instrument.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... interest in, one or more commodities, securities, currencies, interest or other rates, indices... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Definition of eligible OTC derivative instrument. 240.3b-13 Section 240.3b-13 Commodity and Securities Exchanges SECURITIES AND EXCHANGE...

  15. 17 CFR 240.3b-13 - Definition of eligible OTC derivative instrument.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... interest in, one or more commodities, securities, currencies, interest or other rates, indices... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Definition of eligible OTC derivative instrument. 240.3b-13 Section 240.3b-13 Commodity and Securities Exchanges SECURITIES AND EXCHANGE...

  16. 17 CFR 8.27 - Violations of rules regarding decorum, submission of records or other similar activities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Violations of rules regarding decorum, submission of records or other similar activities. 8.27 Section 8.27 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP...

  17. 17 CFR 2.2 - Authority to affix seal.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Authority to affix seal. 2.2 Section 2.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFFICIAL SEAL § 2.2 Authority to affix seal. (a) The following officials of the Commodity Futures Trading Commission are...

  18. 17 CFR 2.2 - Authority to affix seal.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Authority to affix seal. 2.2 Section 2.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFFICIAL SEAL § 2.2 Authority to affix seal. (a) The following officials of the Commodity Futures Trading Commission are...

  19. 17 CFR Appendix B to Part 190 - Special Bankruptcy Distributions

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Special Bankruptcy Distributions B Appendix B to Part 190 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION... purposes of this distributional rule, XM accounts will be deemed to be commodity interest accounts and...

  20. 17 CFR 229.802 - Exchange Act industry guides.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Exchange Act industry guides. 229.802 Section 229.802 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.802 Exchange Act industry...

  1. 17 CFR 229.802 - Exchange Act industry guides.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Exchange Act industry guides. 229.802 Section 229.802 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.802 Exchange Act industry...

  2. 17 CFR 229.802 - Exchange Act industry guides.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Exchange Act industry guides. 229.802 Section 229.802 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.802 Exchange Act industry...

  3. 17 CFR 229.802 - Exchange Act industry guides.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Exchange Act industry guides. 229.802 Section 229.802 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.802 Exchange Act industry...

  4. 17 CFR 229.802 - Exchange Act industry guides.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Exchange Act industry guides. 229.802 Section 229.802 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.802 Exchange Act industry...

  5. 17 CFR 42.1 - [Reserved

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false [Reserved] 42.1 Section 42.1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION ANTI-MONEY LAUNDERING, TERRORIST FINANCING General Provisions § 42.1 [Reserved] ...

  6. Study on GIS Visualization in Evaluation of the Human Living Environment in Shenyang-Dalian Urban Agglomeration

    PubMed Central

    Hou, Kang; Zhou, Jieting; Li, Xuxiang; Ge, Shengbin

    2016-01-01

    Analysis of human living environmental quality of Shenyang-Dalian urban agglomerations has important theoretical and practical significance in rapid development region. A lot of investigations have been carried for Shenyang-Dalian urban agglomerations, including 38 counties. Based on the carrying capacity of resources, natural and socioeconomic environmental factors and regional changes of human living environmental evaluation are analyzed with the application of geographic information systems (GIS) software. By using principal component analysis (PCA) model and natural breaks classification (NBC) method, the evaluation results are divided into five categories. The results show that the human living environmental evaluation (HLEE) indexes of Dalian, Shenyang, and Liaoyang are higher than other counties. Among these counties, the human living environmental evaluation (HLEE) indexes of coastal counties are significantly higher than inland counties. The range of the human living environmental evaluation index in most of the study area is at III, IV, and V levels, accounting for 80.01%. Based on these results, it could illustrate the human living environment is in relatively suitable condition in Shenyang-Dalian urban agglomeration. PMID:27200212

  7. 17 CFR 1.9 - Regulation of mixed swaps.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Regulation of mixed swaps. 1.9... UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.9 Regulation of mixed swaps. (a) In general. The term mixed swap has the meaning set forth in section 1a(47)(D) of the Commodity Exchange Act. (b) Regulation...

  8. 17 CFR 1.9 - Regulation of mixed swaps.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Regulation of mixed swaps. 1.9... UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.9 Regulation of mixed swaps. (a) In general. The term mixed swap has the meaning set forth in section 1a(47)(D) of the Commodity Exchange Act. (b) Regulation...

  9. Cross-correlations between RMB exchange rate and international commodity markets

    NASA Astrophysics Data System (ADS)

    Lu, Xinsheng; Li, Jianfeng; Zhou, Ying; Qian, Yubo

    2017-11-01

    This paper employs multifractal detrended analysis (MF-DFA) and multifractal detrended cross-correlation analysis (MF-DCCA) to study cross-correlation behaviors between China's RMB exchange rate market and four international commodity markets, using a comprehensive set of data covering the period from 22 July 2005 to 15 March 2016. Our empirical results from MF-DFA indicate that the RMB exchange rate is the most inefficient among the 4 selected markets. The results from quantitative analysis have testified the existence of cross-correlations and the result from MF-DCCA have further confirmed a strong multifractal behavior between RMB exchange rate and international commodity markets. We also demonstrate that the recent financial crisis has significant impact on the cross-correlated behavior. Through the rolling window analysis, we find that the RMB exchange rates and international commodity prices are anti-persistent cross-correlated. The main sources of multifractality in the cross-correlations are long-range correlations between RMB exchange rate and the aggregate commodity, energy and metals index.

  10. 17 CFR 240.6a-3 - Supplemental material to be filed by exchanges.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Supplemental material to be filed by exchanges. 240.6a-3 Section 240.6a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  11. 17 CFR 240.6a-3 - Supplemental material to be filed by exchanges.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Supplemental material to be filed by exchanges. 240.6a-3 Section 240.6a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  12. 17 CFR 240.6a-3 - Supplemental material to be filed by exchanges.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Supplemental material to be filed by exchanges. 240.6a-3 Section 240.6a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  13. 17 CFR 240.6a-3 - Supplemental material to be filed by exchanges.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Supplemental material to be filed by exchanges. 240.6a-3 Section 240.6a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  14. 17 CFR 240.6a-3 - Supplemental material to be filed by exchanges.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Supplemental material to be filed by exchanges. 240.6a-3 Section 240.6a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  15. 17 CFR 240.15b9-1 - Exemption for certain exchange members.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption for certain exchange members. 240.15b9-1 Section 240.15b9-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  16. 17 CFR 9.2 - Definitions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... of the exchange, or instrument corresponding thereto. (k) Summary action means a disciplinary action... Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REVIEW OF EXCHANGE... part: (a) Access denial action means any proceeding other than a disciplinary action by an exchange...

  17. 17 CFR 200.602 - Application.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Application. 200.602 Section 200.602 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT... Programs or Activities Conducted by the Securities and Exchange Commission § 200.602 Application. This...

  18. 17 CFR Appendix C to Part 145 - [Reserved

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false [Reserved] C Appendix C to Part 145 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION COMMISSION RECORDS AND INFORMATION Appendix C to Part 145 [Reserved] ...

  19. 17 CFR Appendix C to Part 40 - [Reserved

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false [Reserved] C Appendix C to Part 40 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PROVISIONS COMMON TO REGISTERED ENTITIES Appendix C to Part 40 [Reserved] ...

  20. Origin of Money: Dynamic Duality Between Necessity and Unnecessity

    NASA Astrophysics Data System (ADS)

    Tauchi, Yuka; Kamiura, Moto; Haruna, Taichi; Gunji, Yukio-Pegio

    2008-10-01

    We propose a mathematical model of economic agents to study origin of money. This multi-agent model is based on commodity theory of money, which says that a commodity used as money emerges from barter transaction. Each agent has a different value system which is given by a Heyting algebra, and exchanges one's commodities based on the value system. In each value system, necessity and unnecessity of commodities are expressed by some elements and their compliments on a Heyting Algebra. Moreover, the concept of the compliment is extended. Consequently, the duality of the necessity-unnecessity is weakened, and the exchanges of the commodities are promoted. The commodities which keeps being exchanged for a long time can correspond to money.

  1. 17 CFR 200.71 - Fiduciary relationships.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Fiduciary relationships. 200.71 Section 200.71 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION..., executors, corporate directors, and the like. ...

  2. 17 CFR 200.71 - Fiduciary relationships.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Fiduciary relationships. 200.71 Section 200.71 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION..., executors, corporate directors, and the like. ...

  3. 17 CFR 200.71 - Fiduciary relationships.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Fiduciary relationships. 200.71 Section 200.71 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION..., executors, corporate directors, and the like. ...

  4. 17 CFR 200.71 - Fiduciary relationships.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Fiduciary relationships. 200.71 Section 200.71 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION..., executors, corporate directors, and the like. ...

  5. 17 CFR 200.71 - Fiduciary relationships.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Fiduciary relationships. 200.71 Section 200.71 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION..., executors, corporate directors, and the like. ...

  6. 17 CFR 37.2 - Exemption.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Exemption. 37.2 Section 37.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES TRANSACTION EXECUTION FACILITIES § 37.2 Exemption. Contracts, agreements or transactions traded on a derivatives transaction...

  7. 17 CFR 37.9 - Enforceability.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Enforceability. 37.9 Section 37.9 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES TRANSACTION... pursuant to the rules of, a registered derivatives transaction execution facility shall not be void...

  8. 17 CFR 39.6 - Enforceability.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Enforceability. 39.6 Section 39.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES CLEARING ORGANIZATIONS § 39.6 Enforceability. An agreement, contract or transaction submitted to a derivatives clearing...

  9. Basic Characteristics and Spatial Patterns of Pseudo-Settlements--Taking Dalian as An Example.

    PubMed

    Gao, Jiaji; Zhang, Yingjia; Li, Xueming

    2016-01-20

    A person's living behavior patterns are closely related to three types of settlements: real-life settlements, imagined settlements, and pseudo-settlements. The term "pseudo-settlement" (PS) refers to the places that are selectively recorded and represented after the mass media chose and restructure the residence information. As the mass media rapidly develops and people's way of obtaining information gradually change, PS has already become one of the main ways for people to recognize and understand real-life settlements, as well as describe their impressions of imagined settlements. PS also has a profound impact on tourism, employment, investment, migration, real estate development, etc. Thus, the study of PSs has important theoretical and practical significance. This paper proposes to put forward residential quarters where the mass media is displayed as the object of study and establishes the pseudo-settlement index system of Dalian in and elaborate analysis of the concept of PSs. From three aspects, including pseudo-buildings, pseudo-districts and pseudo-culture, this paper uses the ArcGIS 10.0 kernel density (spacial analyst) to analyze and interpret the basic characteristics and spatial patterns of 14 elements of the PS in Dalian. Through systemic clustering analysis, it identifies eight major types of PSs in Dalian. Then it systematically elaborates current situations and characteristics of the spatial pattern of PSs in Dalian, namely: regionally concentrated, widely scattered and blank spaces without pseudo-settlements. Finally, this paper discusses the mechanism of formation of PSs in Dalian.

  10. Basic Characteristics and Spatial Patterns of Pseudo-Settlements—Taking Dalian as An Example

    PubMed Central

    Gao, Jiaji; Zhang, Yingjia; Li, Xueming

    2016-01-01

    A person’s living behavior patterns are closely related to three types of settlements: real-life settlements, imagined settlements, and pseudo-settlements. The term “pseudo-settlement” (PS) refers to the places that are selectively recorded and represented after the mass media chose and restructure the residence information. As the mass media rapidly develops and people’s way of obtaining information gradually change, PS has already become one of the main ways for people to recognize and understand real-life settlements, as well as describe their impressions of imagined settlements. PS also has a profound impact on tourism, employment, investment, migration, real estate development, etc. Thus, the study of PSs has important theoretical and practical significance. This paper proposes to put forward residential quarters where the mass media is displayed as the object of study and establishes the pseudo-settlement index system of Dalian in and elaborate analysis of the concept of PSs. From three aspects, including pseudo-buildings, pseudo-districts and pseudo-culture, this paper uses the ArcGIS 10.0 kernel density (spacial analyst) to analyze and interpret the basic characteristics and spatial patterns of 14 elements of the PS in Dalian. Through systemic clustering analysis, it identifies eight major types of PSs in Dalian. Then it systematically elaborates current situations and characteristics of the spatial pattern of PSs in Dalian, namely: regionally concentrated, widely scattered and blank spaces without pseudo-settlements. Finally, this paper discusses the mechanism of formation of PSs in Dalian. PMID:26805859

  11. 17 CFR 242.604 - Display of customer limit orders.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... responsible broker or dealer, electronic communications network, national securities exchange, or national... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Display of customer limit orders. 242.604 Section 242.604 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...

  12. 17 CFR 141.2 - Definitions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Definitions. 141.2 Section 141.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SALARY OFFSET § 141.2... social security, federal, state or local income tax, health insurance premiums, retirement contributions...

  13. 17 CFR 38.256 - Trade reconstruction.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Trade reconstruction. 38.256 Section 38.256 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DESIGNATED CONTRACT MARKETS Prevention of Market Disruption § 38.256 Trade reconstruction. The designated contract market must...

  14. 17 CFR 38.256 - Trade reconstruction.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Trade reconstruction. 38.256 Section 38.256 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DESIGNATED CONTRACT MARKETS Prevention of Market Disruption § 38.256 Trade reconstruction. The designated contract market must...

  15. 17 CFR 37.406 - Trade reconstruction.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Trade reconstruction. 37.406 Section 37.406 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SWAP EXECUTION FACILITIES Monitoring of Trading and Trade Processing § 37.406 Trade reconstruction. The swap execution...

  16. 17 CFR 166.3 - Supervision.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Supervision. 166.3 Section 166.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION CUSTOMER PROTECTION RULES § 166.3 Supervision. Each Commission registrant, except an associated person who has no supervisory...

  17. 17 CFR 166.3 - Supervision.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Supervision. 166.3 Section 166.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION CUSTOMER PROTECTION RULES § 166.3 Supervision. Each Commission registrant, except an associated person who has no supervisory...

  18. 17 CFR 166.3 - Supervision.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Supervision. 166.3 Section 166.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION CUSTOMER PROTECTION RULES § 166.3 Supervision. Each Commission registrant, except an associated person who has no supervisory...

  19. 17 CFR 166.3 - Supervision.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 2 2014-04-01 2014-04-01 false Supervision. 166.3 Section 166.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION (CONTINUED) CUSTOMER PROTECTION RULES § 166.3 Supervision. Each Commission registrant, except an associated person who has no...

  20. 17 CFR 15.06 - Delegations.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Delegations. 15.06 Section 15.06 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REPORTS-GENERAL PROVISIONS § 15.06 Delegations. (a) The Commission hereby delegates, until the Commission orders otherwise, the...

  1. 17 CFR 15.06 - Delegations.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Delegations. 15.06 Section 15.06 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REPORTS-GENERAL PROVISIONS § 15.06 Delegations. (a) The Commission hereby delegates, until the Commission orders otherwise, the...

  2. 17 CFR 166.3 - Supervision.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Supervision. 166.3 Section 166.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION CUSTOMER PROTECTION RULES § 166.3 Supervision. Each Commission registrant, except an associated person who has no supervisory...

  3. 17 CFR 38.605 - Requirements for financial surveillance program.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Requirements for financial surveillance program. 38.605 Section 38.605 Commodity and Securities Exchanges COMMODITY FUTURES TRADING... financial surveillance program. A designated contract market's financial surveillance program for futures...

  4. 17 CFR 38.604 - Financial surveillance.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Financial surveillance. 38.604 Section 38.604 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DESIGNATED CONTRACT MARKETS Financial Integrity of Transactions § 38.604 Financial surveillance. A designated contract market...

  5. 17 CFR 38.605 - Requirements for financial surveillance program.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Requirements for financial surveillance program. 38.605 Section 38.605 Commodity and Securities Exchanges COMMODITY FUTURES TRADING... financial surveillance program. A designated contract market's financial surveillance program for futures...

  6. 17 CFR 38.604 - Financial surveillance.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Financial surveillance. 38.604 Section 38.604 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DESIGNATED CONTRACT MARKETS Financial Integrity of Transactions § 38.604 Financial surveillance. A designated contract market...

  7. 17 CFR 39.3 - Procedures for registration.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Procedures for registration. 39.3 Section 39.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES... procedures. An organization desiring to be registered as a derivatives clearing organization shall file...

  8. 17 CFR 39.2 - Exemption.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Exemption. 39.2 Section 39.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES CLEARING ORGANIZATIONS § 39.2 Exemption. A derivatives clearing organization and the clearing of agreements, contracts and...

  9. 17 CFR 41.2 - Required records.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Required records. 41.2 Section 41.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SECURITY FUTURES PRODUCTS General Provisions § 41.2 Required records. A designated contract market or registered derivatives...

  10. 17 CFR 149.102 - Application.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Application. 149.102 Section 149.102 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION ENFORCEMENT OF... COMMISSION § 149.102 Application. This part applies to all programs or activities conducted by the agency. ...

  11. 17 CFR 3.3 - Chief compliance officer.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Chief compliance officer. 3.3 Section 3.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGISTRATION Registration § 3.3 Chief compliance officer. (a) Designation. Each futures commission merchant, swap dealer...

  12. 17 CFR 3.3 - Chief compliance officer.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Chief compliance officer. 3.3 Section 3.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGISTRATION Registration § 3.3 Chief compliance officer. (a) Designation. Each futures commission merchant, swap dealer...

  13. 17 CFR 23.403-23.409 - [Reserved

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false [Reserved] 23.403-23.409 Section 23.403-23.409 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SWAP DEALERS... Dealing With Counterparties, Including Special Entities §§ 23.403-23.409 [Reserved] ...

  14. 17 CFR 23.23-23.40 - [Reserved

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false [Reserved] 23.23-23.40 Section 23.23-23.40 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SWAP DEALERS AND MAJOR SWAP PARTICIPANTS Registration §§ 23.23-23.40 [Reserved] ...

  15. 17 CFR 23.1-23.20 - [Reserved

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false [Reserved] 23.1-23.20 Section 23.1-23.20 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SWAP DEALERS AND MAJOR SWAP PARTICIPANTS Reserved §§ 23.1-23.20 [Reserved] ...

  16. 17 CFR 23.23-23.40 - [Reserved

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false [Reserved] 23.23-23.40 Section 23.23-23.40 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SWAP DEALERS AND MAJOR SWAP PARTICIPANTS Registration §§ 23.23-23.40 [Reserved] ...

  17. 17 CFR 23.23-23.40 - [Reserved

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false [Reserved] 23.23-23.40 Section 23.23-23.40 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SWAP DEALERS AND MAJOR SWAP PARTICIPANTS Registration §§ 23.23-23.40 [Reserved] ...

  18. 17 CFR 23.411-23.429 - [Reserved

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false [Reserved] 23.411-23.429 Section 23.411-23.429 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SWAP DEALERS... Dealing With Counterparties, Including Special Entities §§ 23.411-23.429 [Reserved] ...

  19. 17 CFR 23.441-23.449 - [Reserved

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false [Reserved] 23.441-23.449 Section 23.441-23.449 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SWAP DEALERS... Dealing With Counterparties, Including Special Entities §§ 23.441-23.449 [Reserved] ...

  20. 17 CFR 23.435-23.439 - [Reserved

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false [Reserved] 23.435-23.439 Section 23.435-23.439 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SWAP DEALERS... Dealing With Counterparties, Including Special Entities §§ 23.435-23.439 [Reserved] ...

  1. 17 CFR 38.451 - Reporting of trade information.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Reporting of trade information. 38.451 Section 38.451 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DESIGNATED CONTRACT MARKETS Daily Publication of Trading Information § 38.451 Reporting of trade information...

  2. 17 CFR 38.451 - Reporting of trade information.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Reporting of trade information. 38.451 Section 38.451 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DESIGNATED CONTRACT MARKETS Daily Publication of Trading Information § 38.451 Reporting of trade information...

  3. 17 CFR 14.5 - Criminal conviction.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Criminal conviction. 14.5 Section 14.5 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO... felony or of a misdemeanor involving fraud or involving moral turpitude in matters related to the...

  4. 17 CFR 162.10-162.20 - [Reserved

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 2 2014-04-01 2014-04-01 false [Reserved] 162.10-162.20 Section 162.10-162.20 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION (CONTINUED) PROTECTION OF CONSUMER INFORMATION UNDER THE FAIR CREDIT REPORTING ACT Business Affiliate Marketing Rules...

  5. 17 CFR 3.43 - Relationship to registration.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Relationship to registration. 3.43 Section 3.43 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGISTRATION Temporary Licenses § 3.43 Relationship to registration. (a) A temporary license shall not be...

  6. 17 CFR 3.47 - Relationship to registration.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Relationship to registration. 3.47 Section 3.47 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGISTRATION Temporary Licenses § 3.47 Relationship to registration. (a) A temporary license shall not be...

  7. 17 CFR 40.7 - Delegations.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Delegations. 40.7 Section 40.7 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PROVISIONS COMMON TO REGISTERED ENTITIES § 40.7 Delegations. (a) Procedural matters—(1) Review of products or rules. The Commission hereby...

  8. 17 CFR 37.1 - Scope and definition.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Scope and definition. 37.1 Section 37.1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES... any board of trade operating as or applying to become registered as a derivatives transaction...

  9. 75 FR 27028 - Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-13

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 33-9123; File No. 265-26] COMMODITY FUTURES... Exchange Commission (``SEC'') and Commodity Futures Trading Commission (``CFTC'') (each, an ``Agency,'' and... submit only information that you wish to make available publicly. Commodity Futures Trading Commission...

  10. 17 CFR 37.1 - Scope and definition.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Scope and definition. 37.1 Section 37.1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES... any board of trade operating as or applying to become registered as a derivatives transaction...

  11. 17 CFR 41.21 - Requirements for underlying securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Requirements for underlying securities. 41.21 Section 41.21 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SECURITY FUTURES PRODUCTS Requirements and Standards for Listing Security Futures Products § 41.21...

  12. 17 CFR 39.1 - Scope.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Scope. 39.1 Section 39.1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES CLEARING ORGANIZATIONS § 39.1 Scope. The provisions of this part apply to any derivatives clearing organization as defined...

  13. 17 CFR 23.504 - Swap trading relationship documentation.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Swap trading relationship documentation. 23.504 Section 23.504 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SWAP DEALERS AND MAJOR SWAP PARTICIPANTS Swap Documentation § 23.504 Swap trading relationship...

  14. 17 CFR 23.504 - Swap trading relationship documentation.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Swap trading relationship documentation. 23.504 Section 23.504 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SWAP DEALERS AND MAJOR SWAP PARTICIPANTS Swap Documentation § 23.504 Swap trading relationship...

  15. 17 CFR 155.4 - Trading standards for introducing brokers.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 2 2014-04-01 2014-04-01 false Trading standards for introducing brokers. 155.4 Section 155.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION (CONTINUED) TRADING STANDARDS § 155.4 Trading standards for introducing brokers. (a) Each...

  16. 17 CFR 38.152 - Abusive trading practices prohibited.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Abusive trading practices prohibited. 38.152 Section 38.152 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DESIGNATED CONTRACT MARKETS Compliance With Rules § 38.152 Abusive trading practices prohibited. A designated...

  17. 17 CFR 38.152 - Abusive trading practices prohibited.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Abusive trading practices prohibited. 38.152 Section 38.152 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DESIGNATED CONTRACT MARKETS Compliance With Rules § 38.152 Abusive trading practices prohibited. A designated...

  18. 17 CFR 250.25 - Answers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Answers. 250.25 Section 250.25 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND... therein appropriate reservations of constitutional or other legal rights. ...

  19. 17 CFR 8.10 - Predetermined penalties.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Section 8.10 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS Disciplinary Procedure § 8.10 Predetermined... the rules of an exchange establish predetermined penalties, the disciplinary committee shall have...

  20. 17 CFR 202.8 - Small entity compliance guides.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Small entity compliance guides. 202.8 Section 202.8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION INFORMAL AND...: Small Business and the SEC. 1 1 These items are also available on the Securities and Exchange Commission...

  1. 17 CFR 202.8 - Small entity compliance guides.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Small entity compliance guides. 202.8 Section 202.8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION INFORMAL AND...: Small Business and the SEC. 1 1 These items are also available on the Securities and Exchange Commission...

  2. 17 CFR 240.6a-2 - Amendments to application.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Amendments to application. 240.6a-2 Section 240.6a-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  3. 17 CFR 240.6a-2 - Amendments to application.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Amendments to application. 240.6a-2 Section 240.6a-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  4. 17 CFR 240.6a-2 - Amendments to application.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Amendments to application. 240.6a-2 Section 240.6a-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  5. 17 CFR 202.8 - Small entity compliance guides.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Small entity compliance guides. 202.8 Section 202.8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION INFORMAL AND...: Small Business and the SEC. 1 1 These items are also available on the Securities and Exchange Commission...

  6. 17 CFR 240.14a-17 - Electronic shareholder forums.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Electronic shareholder forums. 240.14a-17 Section 240.14a-17 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  7. 17 CFR 240.16b-6 - Derivative securities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Derivative securities. 240.16b-6 Section 240.16b-6 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  8. 17 CFR 240.16b-6 - Derivative securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Derivative securities. 240.16b-6 Section 240.16b-6 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  9. 17 CFR 240.16c-4 - Derivative securities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Derivative securities. 240.16c-4 Section 240.16c-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  10. 17 CFR 240.16a-4 - Derivative securities.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Derivative securities. 240.16a-4 Section 240.16a-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  11. 17 CFR 240.16a-4 - Derivative securities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Derivative securities. 240.16a-4 Section 240.16a-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  12. 17 CFR 240.16a-4 - Derivative securities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Derivative securities. 240.16a-4 Section 240.16a-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  13. 17 CFR 240.16c-4 - Derivative securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Derivative securities. 240.16c-4 Section 240.16c-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  14. 17 CFR 240.16a-4 - Derivative securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Derivative securities. 240.16a-4 Section 240.16a-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  15. 17 CFR 240.16c-4 - Derivative securities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Derivative securities. 240.16c-4 Section 240.16c-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  16. 17 CFR 240.16b-6 - Derivative securities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Derivative securities. 240.16b-6 Section 240.16b-6 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  17. 17 CFR 230.251 - Scope of exemption.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Scope of exemption. 230.251 Section 230.251 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND... received in a foreign currency shall be translated into United States currency at a currency exchange rate...

  18. 17 CFR 200.735-2 - Policy.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Policy. 200.735-2 Section 200.735-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND... Members and Employees of the Commission § 200.735-2 Policy. (a) The Securities and Exchange Commission has...

  19. 17 CFR 229.1004 - (Item 1004) Terms of the transaction.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false (Item 1004) Terms of the transaction. 229.1004 Section 229.1004 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND...

  20. 17 CFR 229.1004 - (Item 1004) Terms of the transaction.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false (Item 1004) Terms of the transaction. 229.1004 Section 229.1004 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND...

  1. 17 CFR 229.1004 - (Item 1004) Terms of the transaction.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false (Item 1004) Terms of the transaction. 229.1004 Section 229.1004 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND...

  2. 17 CFR 240.12b-3 - Title of securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Title of securities. 240.12b-3 Section 240.12b-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  3. 17 CFR 240.15Ba2-6T - Temporary registration as a municipal advisor; required amendments; and withdrawal from temporary...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Temporary registration as a....15Ba2-6T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  4. 17 CFR 240.15Ba2-6T - Temporary registration as a municipal advisor; required amendments; and withdrawal from temporary...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Temporary registration as a....15Ba2-6T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  5. 17 CFR 240.15Ba2-6T - Temporary registration as a municipal advisor; required amendments; and withdrawal from temporary...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Temporary registration as a....15Ba2-6T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  6. 17 CFR 240.15Ba2-6T - Temporary registration as a municipal advisor; required amendments; and withdrawal from temporary...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Temporary registration as a....15Ba2-6T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  7. 17 CFR 240.31T - Temporary rule regarding fiscal year 2004.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  8. 17 CFR 240.31T - Temporary rule regarding fiscal year 2004.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  9. 17 CFR 240.31T - Temporary rule regarding fiscal year 2004.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  10. 17 CFR 240.31T - Temporary rule regarding fiscal year 2004.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  11. 17 CFR 240.31T - Temporary rule regarding fiscal year 2004.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  12. 17 CFR 14.3 - Hearings.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Hearings. 14.3 Section 14.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO SUSPENSION OR DISBARMENT FROM APPEARANCE AND PRACTICE § 14.3 Hearings. Hearings required or permitted to be held under...

  13. 17 CFR 155.4 - Trading standards for introducing brokers.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Trading standards for introducing brokers. 155.4 Section 155.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION TRADING STANDARDS § 155.4 Trading standards for introducing brokers. (a) Each introducing broker...

  14. 17 CFR 31.22 - Prohibited trading in leverage contracts.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Prohibited trading in leverage contracts. 31.22 Section 31.22 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION LEVERAGE TRANSACTIONS § 31.22 Prohibited trading in leverage contracts. No futures commission merchant or...

  15. 17 CFR 1.28 - Appraisal of instruments purchased with customer funds.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... purchased with customer funds. 1.28 Section 1.28 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Customers' Money, Securities, and Property § 1.28 Appraisal of instruments purchased with customer funds. Futures commission merchants who...

  16. 17 CFR 1.26 - Deposit of instruments purchased with customer funds.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... purchased with customer funds. 1.26 Section 1.26 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Customers' Money, Securities, and Property § 1.26 Deposit of instruments purchased with customer funds. (a) Each futures commission merchant...

  17. 17 CFR 12.300 - Scope and applicability of rules.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Scope and applicability of rules. 12.300 Section 12.300 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REPARATIONS Rules Applicable to Formal Decisional Proceedings § 12.300 Scope and...

  18. 17 CFR 10.42 - Discovery.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Discovery. 10.42 Section 10.42 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES OF PRACTICE Prehearing... legal theories upon which it will rely; (iii) The identity, and the city and state of residence, of each...

  19. 17 CFR 10.42 - Discovery.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Discovery. 10.42 Section 10.42 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES OF PRACTICE Prehearing... legal theories upon which it will rely; (iii) The identity, and the city and state of residence, of each...

  20. 17 CFR 10.42 - Discovery.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Discovery. 10.42 Section 10.42 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES OF PRACTICE Prehearing... legal theories upon which it will rely; (iii) The identity, and the city and state of residence, of each...

  1. 17 CFR 10.42 - Discovery.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Discovery. 10.42 Section 10.42 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES OF PRACTICE Prehearing... legal theories upon which it will rely; (iii) The identity, and the city and state of residence, of each...

  2. 17 CFR 162.10-162.20 - [Reserved

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false [Reserved] 162.10-162.20 Section 162.10-162.20 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PROTECTION OF CONSUMER INFORMATION UNDER THE FAIR CREDIT REPORTING ACT Business Affiliate Marketing Rules §§ 162...

  3. 17 CFR 162.10-162.20 - [Reserved

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false [Reserved] 162.10-162.20 Section 162.10-162.20 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PROTECTION OF CONSUMER INFORMATION UNDER THE FAIR CREDIT REPORTING ACT Business Affiliate Marketing Rules §§ 162...

  4. 17 CFR 11.7 - Rights of witnesses.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Rights of witnesses. 11.7 Section 11.7 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO... Counsel, an Associate Director, or a Regional Counsel of the Division of Enforcement, or a Regional...

  5. 17 CFR 15.03 - Reporting levels.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Reporting levels. 15.03 Section 15.03 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REPORTS-GENERAL... $10.00 if in the money upon expiration. Major foreign currency is the currency, and the cross-rates...

  6. 17 CFR 49.6 - Registration of successor entities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Registration of successor entities. 49.6 Section 49.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SWAP DATA REPOSITORIES § 49.6 Registration of successor entities. (a) In the event of a corporate...

  7. 17 CFR 49.6 - Registration of successor entities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Registration of successor entities. 49.6 Section 49.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SWAP DATA REPOSITORIES § 49.6 Registration of successor entities. (a) In the event of a corporate...

  8. 17 CFR 160.8 - Revised privacy notices.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 2 2014-04-01 2014-04-01 false Revised privacy notices. 160.8 Section 160.8 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION (CONTINUED) PRIVACY OF CONSUMER FINANCIAL INFORMATION UNDER TITLE V OF THE GRAMM-LEACH-BLILEY ACT Privacy and Opt Out...

  9. 17 CFR 171.3 - Business address; hours.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Business address; hours. 171.3 Section 171.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO... MEMBER RESPONSIBILITY ACTIONS General Provisions § 171.3 Business address; hours. The principal office of...

  10. 17 CFR 12.3 - Business address; hours.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Business address; hours. 12.3 Section 12.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REPARATIONS General Information and Preliminary Consideration of Pleadings § 12.3 Business address; hours. The...

  11. 17 CFR 12.3 - Business address; hours.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Business address; hours. 12.3 Section 12.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REPARATIONS General Information and Preliminary Consideration of Pleadings § 12.3 Business address; hours. The...

  12. 17 CFR 171.3 - Business address; hours.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Business address; hours. 171.3 Section 171.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO... MEMBER RESPONSIBILITY ACTIONS General Provisions § 171.3 Business address; hours. The principal office of...

  13. 17 CFR 12.3 - Business address; hours.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Business address; hours. 12.3 Section 12.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REPARATIONS General Information and Preliminary Consideration of Pleadings § 12.3 Business address; hours. The...

  14. 17 CFR 166.5 - Dispute settlement procedures.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Dispute settlement procedures. 166.5 Section 166.5 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION CUSTOMER PROTECTION RULES § 166.5 Dispute settlement procedures. (a) Definitions. (1) The term claim or grievance as...

  15. 17 CFR 166.1 - Definitions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Definitions. 166.1 Section 166.1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION CUSTOMER PROTECTION RULES § 166.1 Definitions. (a) The term Commission registrant as used in this part means any person who is...

  16. 17 CFR 166.4 - Branch offices.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Branch offices. 166.4 Section 166.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION CUSTOMER PROTECTION RULES § 166.4 Branch offices. Each branch office of each Commission registrant must use the name of the...

  17. 17 CFR 166.2 - Authorization to trade.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Authorization to trade. 166.2 Section 166.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION CUSTOMER PROTECTION RULES § 166.2 Authorization to trade. No futures commission merchant, introducing broker or any of their...

  18. 17 CFR 37.8 - Information relating to transactions on derivatives transaction execution facilities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Information relating to transactions on derivatives transaction execution facilities. 37.8 Section 37.8 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES TRANSACTION EXECUTION FACILITIES § 37.8...

  19. 17 CFR 41.24 - Rule amendments to security futures products.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... rule amendment relating to a security futures product if the registered derivatives transaction... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Rule amendments to security futures products. 41.24 Section 41.24 Commodity and Securities Exchanges COMMODITY FUTURES TRADING...

  20. 17 CFR 155.4 - Trading standards for introducing brokers.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Trading standards for introducing brokers. 155.4 Section 155.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION TRADING STANDARDS § 155.4 Trading standards for introducing brokers. (a) Each introducing broker...

  1. 17 CFR 31.22 - Prohibited trading in leverage contracts.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Prohibited trading in leverage contracts. 31.22 Section 31.22 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION LEVERAGE TRANSACTIONS § 31.22 Prohibited trading in leverage contracts. No futures commission merchant or...

  2. 17 CFR 38.255 - Risk controls for trading.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Risk controls for trading. 38.255 Section 38.255 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DESIGNATED CONTRACT MARKETS Prevention of Market Disruption § 38.255 Risk controls for trading. The designated...

  3. 17 CFR 31.22 - Prohibited trading in leverage contracts.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Prohibited trading in leverage contracts. 31.22 Section 31.22 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION LEVERAGE TRANSACTIONS § 31.22 Prohibited trading in leverage contracts. No futures commission merchant or...

  4. 17 CFR 38.255 - Risk controls for trading.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Risk controls for trading. 38.255 Section 38.255 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DESIGNATED CONTRACT MARKETS Prevention of Market Disruption § 38.255 Risk controls for trading. The designated...

  5. 17 CFR 15.04 - Reportable trading volume level.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Reportable trading volume level. 15.04 Section 15.04 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REPORTS-GENERAL PROVISIONS § 15.04 Reportable trading volume level. The volume quantity for the purpose of...

  6. 17 CFR 155.4 - Trading standards for introducing brokers.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Trading standards for introducing brokers. 155.4 Section 155.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION TRADING STANDARDS § 155.4 Trading standards for introducing brokers. (a) Each introducing broker...

  7. 17 CFR 31.22 - Prohibited trading in leverage contracts.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Prohibited trading in leverage contracts. 31.22 Section 31.22 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION LEVERAGE TRANSACTIONS § 31.22 Prohibited trading in leverage contracts. No futures commission merchant or...

  8. 17 CFR 40.1 - Definitions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Definitions. 40.1 Section 40.1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PROVISIONS COMMON TO REGISTERED ENTITIES § 40.1 Definitions. As used in this part: (a) Business day means the intraday period of time...

  9. 17 CFR 12.3 - Business address; hours.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Business address; hours. 12.3 Section 12.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REPARATIONS General Information and Preliminary Consideration of Pleadings § 12.3 Business address; hours. The...

  10. 17 CFR 171.3 - Business address; hours.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Business address; hours. 171.3 Section 171.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO... MEMBER RESPONSIBILITY ACTIONS General Provisions § 171.3 Business address; hours. The principal office of...

  11. 17 CFR 31.22 - Prohibited trading in leverage contracts.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Prohibited trading in leverage contracts. 31.22 Section 31.22 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION LEVERAGE TRANSACTIONS § 31.22 Prohibited trading in leverage contracts. No futures commission merchant or...

  12. 17 CFR 200.660 - Communications.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Communications. 200.660 Section 200.660 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION... Communications. (a) The agency shall take appropriate steps to ensure effective communication with applicants...

  13. 17 CFR 200.660 - Communications.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Communications. 200.660 Section 200.660 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION... Communications. (a) The agency shall take appropriate steps to ensure effective communication with applicants...

  14. 17 CFR 200.660 - Communications.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Communications. 200.660 Section 200.660 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION... Communications. (a) The agency shall take appropriate steps to ensure effective communication with applicants...

  15. 17 CFR 8.06 - Investigations.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ....06 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS Disciplinary Procedure § 8.06 Investigations. (a) Each exchange shall establish and maintain a disciplinary procedure which requires the enforcement staff of the...

  16. 17 CFR 4.41 - Advertising by commodity pool operators, commodity trading advisors, and the principals thereof.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... operators, commodity trading advisors, and the principals thereof. 4.41 Section 4.41 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS Advertising § 4.41 Advertising by commodity pool operators, commodity trading advisors, and the...

  17. 17 CFR 141.5 - Hearing.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Hearing. 141.5 Section 141.5 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SALARY OFFSET § 141.5 Hearing. (a) Request for hearing. (1) An employee must file a petition for a hearing in accordance with the...

  18. 17 CFR 49.17 - Access to SDR data.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Access to SDR data. 49.17 Section 49.17 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SWAP DATA REPOSITORIES § 49.17 Access to SDR data. (a) Purpose. This Section provides a procedure by which the Commission...

  19. 17 CFR 17.02 - Form, manner and time of filing reports.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Form, manner and time of filing reports. 17.02 Section 17.02 Commodity and Securities Exchanges COMMODITY FUTURES TRADING... markets located in that time zone, and central time for information concerning all other markets. (b...

  20. 17 CFR 143.7 - Delegation of authority to the Executive Director.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Delegation of authority to the Executive Director. 143.7 Section 143.7 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION COLLECTION OF CLAIMS OWED THE UNITED STATES ARISING FROM ACTIVITIES UNDER THE COMMISSION'S...

  1. 17 CFR 36.1 - Scope.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Scope. 36.1 Section 36.1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXEMPT MARKETS § 36.1 Scope. The provisions of this part apply to any board of trade or electronic trading facility eligible for exemption...

  2. 17 CFR 38.651 - Protection of markets and market participants.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... and the structure of the market to detect trade practice and market abuses and to discipline such... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Protection of markets and market participants. 38.651 Section 38.651 Commodity and Securities Exchanges COMMODITY FUTURES TRADING...

  3. 17 CFR 38.651 - Protection of markets and market participants.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... and the structure of the market to detect trade practice and market abuses and to discipline such... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Protection of markets and market participants. 38.651 Section 38.651 Commodity and Securities Exchanges COMMODITY FUTURES TRADING...

  4. 17 CFR 15.02 - Reporting forms.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Reporting forms. 15.02 Section 15.02 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REPORTS-GENERAL... Commission or via the Internet (http://www.cftc.gov). Forms to be used for the filing of reports follow, and...

  5. 17 CFR 15.02 - Reporting forms.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Reporting forms. 15.02 Section 15.02 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REPORTS-GENERAL... Commission or via the Internet (http://www.cftc.gov). Forms to be used for the filing of reports follow, and...

  6. 17 CFR 15.02 - Reporting forms.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Reporting forms. 15.02 Section 15.02 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REPORTS-GENERAL... Commission or via the Internet (http://www.cftc.gov). Forms to be used for the filing of reports follow, and...

  7. 17 CFR 15.02 - Reporting forms.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Reporting forms. 15.02 Section 15.02 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REPORTS-GENERAL... Commission or via the Internet (http://www.cftc.gov). Forms to be used for the filing of reports follow, and...

  8. 17 CFR 30.11 - Applicability of state law.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Applicability of state law. 30.11 Section 30.11 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS § 30.11 Applicability of state law. Pursuant to section 12(e)(2...

  9. 17 CFR 171.4 - Computation of time.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Computation of time. 171.4 Section 171.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO... computing any period of time prescribed by these rules or allowed by the Commission, the day of the act...

  10. 17 CFR 12.5 - Computation of time.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Computation of time. 12.5 Section 12.5 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO... general. In computing any period of time prescribed by these rules or allowed by the Commission, the...

  11. 17 CFR 171.33 - Final decision by the Commission.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Final decision by the Commission. 171.33 Section 171.33 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION... substantially correct and that none of the arguments on appeal made by the appellant raise important questions...

  12. 17 CFR 9.33 - Final decision by the Commission.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Final decision by the Commission. 9.33 Section 9.33 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES... appellant raise important questions of law or policy, the Commission may, by appropriate order, summarily...

  13. 17 CFR 49.6 - Registration of successor entities.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 2 2014-04-01 2014-04-01 false Registration of successor entities. 49.6 Section 49.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION (CONTINUED) SWAP DATA REPOSITORIES § 49.6 Registration of successor entities. (a) In the event of a corporate...

  14. 17 CFR 145.7 - Requests for Commission records and copies thereof.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Requests for Commission records and copies thereof. 145.7 Section 145.7 Commodity and Securities Exchanges COMMODITY FUTURES... issue an initial determination with respect to a FOIA request within twenty business days after receipt...

  15. 17 CFR 1.4 - Use of electronic signatures.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Use of electronic signatures... REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.4 Use of electronic signatures. For purposes of... pool participant or a client of a commodity trading advisor, an electronic signature executed by the...

  16. 17 CFR 1.4 - Use of electronic signatures.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Use of electronic signatures... REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.4 Use of electronic signatures. For purposes of... broker, a pool participant or a client of a commodity trading advisor, an electronic signature executed...

  17. 17 CFR 1.4 - Use of electronic signatures.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Use of electronic signatures... REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.4 Use of electronic signatures. For purposes of... pool participant or a client of a commodity trading advisor, an electronic signature executed by the...

  18. 17 CFR 160.8 - Revised privacy notices.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Revised privacy notices. 160.8 Section 160.8 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PRIVACY OF CONSUMER FINANCIAL INFORMATION Privacy and Opt Out Notices § 160.8 Revised privacy notices. (a) General rule. Except...

  19. 17 CFR 160.8 - Revised privacy notices.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Revised privacy notices. 160.8 Section 160.8 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PRIVACY OF CONSUMER FINANCIAL INFORMATION UNDER TITLE V OF THE GRAMM-LEACH-BLILEY ACT Privacy and Opt Out Notices § 160.8...

  20. 17 CFR 160.8 - Revised privacy notices.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Revised privacy notices. 160.8 Section 160.8 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PRIVACY OF CONSUMER FINANCIAL INFORMATION UNDER TITLE V OF THE GRAMM-LEACH-BLILEY ACT Privacy and Opt Out Notices § 160.8...

  1. 17 CFR 160.8 - Revised privacy notices.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Revised privacy notices. 160.8 Section 160.8 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PRIVACY OF CONSUMER FINANCIAL INFORMATION Privacy and Opt Out Notices § 160.8 Revised privacy notices. (a) General rule. Except...

  2. 17 CFR 10.4 - Business address; hours.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Business address; hours. 10.4 Section 10.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES OF PRACTICE General Provisions § 10.4 Business address; hours. The Office of Proceedings is located at Three Lafayette...

  3. 17 CFR 10.4 - Business address; hours.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Business address; hours. 10.4 Section 10.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES OF PRACTICE General Provisions § 10.4 Business address; hours. The Office of Proceedings is located at Three Lafayette...

  4. 17 CFR 10.4 - Business address; hours.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Business address; hours. 10.4 Section 10.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES OF PRACTICE General Provisions § 10.4 Business address; hours. The Office of Proceedings is located at Three Lafayette...

  5. 17 CFR 10.65 - Record of hearing.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Record of hearing. 10.65 Section 10.65 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES OF PRACTICE Hearings § 10.65 Record of hearing. (a) Reporting and transcription. Hearings for the purpose of taking...

  6. 17 CFR 10.65 - Record of hearing.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Record of hearing. 10.65 Section 10.65 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES OF PRACTICE Hearings § 10.65 Record of hearing. (a) Reporting and transcription. Hearings for the purpose of taking...

  7. 17 CFR 141.8 - Procedures for salary offset.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Procedures for salary offset. 141.8 Section 141.8 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SALARY OFFSET § 141.8 Procedures for salary offset. (a) Deductions to liquidate an employee's debt will be by...

  8. 17 CFR 42.2 - Compliance with Bank Secrecy Act.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Compliance with Bank Secrecy Act. 42.2 Section 42.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION ANTI-MONEY LAUNDERING, TERRORIST FINANCING General Provisions § 42.2 Compliance with Bank Secrecy Act. Every...

  9. 78 FR 53509 - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving a Proposed Rule Change, as...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-29

    ... for the following securities: Index-Linked Exchangeable Notes; Equity Gold Shares; Trust Certificates; Commodity-Based Trust Shares; Currency Trust Shares; Commodity Index Trust Shares; Commodity Futures Trust Shares; Partnership Units; Trust Units; Managed Trust Securities; and Currency Warrants (together with...

  10. 17 CFR 41.23 - Listing of security futures products for trading.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... security futures products for trading, a designated contract market or registered derivatives transaction... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Listing of security futures products for trading. 41.23 Section 41.23 Commodity and Securities Exchanges COMMODITY FUTURES TRADING...

  11. 17 CFR 40.2 - Listing products for trading by certification.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Listing products for trading by certification. 40.2 Section 40.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PROVISIONS COMMON TO REGISTERED ENTITIES § 40.2 Listing products for trading by certification. (a...

  12. 17 CFR 37.405 - Risk controls for trading.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Risk controls for trading. 37.405 Section 37.405 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SWAP EXECUTION FACILITIES Monitoring of Trading and Trade Processing § 37.405 Risk controls for trading. The swap...

  13. 17 CFR 40.2 - Listing products for trading by certification.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Listing products for trading by certification. 40.2 Section 40.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PROVISIONS COMMON TO REGISTERED ENTITIES § 40.2 Listing products for trading by certification. (a...

  14. 17 CFR 40.2 - Listing products for trading by certification.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Listing products for trading by certification. 40.2 Section 40.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PROVISIONS COMMON TO REGISTERED ENTITIES § 40.2 Listing products for trading by certification. (a...

  15. 17 CFR 9.26 - Participation of Commission staff.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Participation of Commission staff. 9.26 Section 9.26 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES... Respect to Appeals § 9.26 Participation of Commission staff. Within twenty days after receipt of the...

  16. 17 CFR 9.26 - Participation of Commission staff.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Participation of Commission staff. 9.26 Section 9.26 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES... Respect to Appeals § 9.26 Participation of Commission staff. Within twenty days after receipt of the...

  17. 17 CFR 9.26 - Participation of Commission staff.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Participation of Commission staff. 9.26 Section 9.26 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES... Respect to Appeals § 9.26 Participation of Commission staff. Within twenty days after receipt of the...

  18. 17 CFR 9.26 - Participation of Commission staff.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Participation of Commission staff. 9.26 Section 9.26 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES... Respect to Appeals § 9.26 Participation of Commission staff. Within twenty days after receipt of the...

  19. 17 CFR 9.26 - Participation of Commission staff.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Participation of Commission staff. 9.26 Section 9.26 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES... Respect to Appeals § 9.26 Participation of Commission staff. Within twenty days after receipt of the...

  20. 17 CFR 10.4 - Business address; hours.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Business address; hours. 10.4 Section 10.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES OF PRACTICE General Provisions § 10.4 Business address; hours. The Office of Proceedings is located at Three Lafayette...

  1. 17 CFR 200.610 - Self-evaluation.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... handicaps or organizations representing individuals with handicaps, to participate in the self-evaluation... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Self-evaluation. 200.610 Section 200.610 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION...

  2. 17 CFR 200.551 - Applicability.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Applicability. 200.551 Section 200.551 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Regulations Pertaining to the Protection of the Environment...

  3. 17 CFR 200.114 - Sanctions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Sanctions. 200.114 Section 200.114 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte Communications Between Persons...

  4. 17 CFR 200.110 - Purpose.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Purpose. 200.110 Section 200.110 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte Communications Between Persons...

  5. 17 CFR 200.110 - Purpose.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Purpose. 200.110 Section 200.110 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte Communications Between Persons...

  6. 17 CFR 200.110 - Purpose.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Purpose. 200.110 Section 200.110 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte Communications Between Persons...

  7. 17 CFR 200.114 - Sanctions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Sanctions. 200.114 Section 200.114 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte Communications Between Persons...

  8. 17 CFR 200.114 - Sanctions.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Sanctions. 200.114 Section 200.114 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte Communications Between Persons...

  9. 17 CFR 200.114 - Sanctions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Sanctions. 200.114 Section 200.114 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte Communications Between Persons...

  10. 17 CFR 200.114 - Sanctions.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Sanctions. 200.114 Section 200.114 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte Communications Between Persons...

  11. 17 CFR 200.110 - Purpose.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Purpose. 200.110 Section 200.110 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte Communications Between Persons...

  12. 17 CFR 200.110 - Purpose.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Purpose. 200.110 Section 200.110 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte Communications Between Persons...

  13. 17 CFR 256.931 - Rents.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Rents. 256.931 Section 256.931 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) UNIFORM SYSTEM OF ACCOUNTS..., computers, data processing equipment, micro-wave and telecommunication equipment, airplanes, automobiles...

  14. 17 CFR 200.506 - Derivative classification.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Derivative classification. 200.506 Section 200.506 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Classification and Declassification of National Security...

  15. 17 CFR 240.11a1-4(T) - Bond transactions on national securities exchanges.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Bond transactions on national securities exchanges. 240.11a1-4(T) Section 240.11a1-4(T) Commodity and Securities Exchanges SECURITIES AND....11a1-4(T) Bond transactions on national securities exchanges. A transaction in a bond, note, debenture...

  16. 17 CFR 240.11a1-4(T) - Bond transactions on national securities exchanges.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Bond transactions on national securities exchanges. 240.11a1-4(T) Section 240.11a1-4(T) Commodity and Securities Exchanges SECURITIES AND....11a1-4(T) Bond transactions on national securities exchanges. A transaction in a bond, note, debenture...

  17. 17 CFR 240.12d1-5 - Operation of certification on subsequent amendments.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Operation of certification on subsequent amendments. 240.12d1-5 Section 240.12d1-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  18. 17 CFR 240.12d1-5 - Operation of certification on subsequent amendments.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Operation of certification on subsequent amendments. 240.12d1-5 Section 240.12d1-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  19. 17 CFR 240.12d1-5 - Operation of certification on subsequent amendments.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Operation of certification on subsequent amendments. 240.12d1-5 Section 240.12d1-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  20. 17 CFR 240.12d1-5 - Operation of certification on subsequent amendments.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Operation of certification on subsequent amendments. 240.12d1-5 Section 240.12d1-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  1. 17 CFR 240.12d1-5 - Operation of certification on subsequent amendments.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Operation of certification on subsequent amendments. 240.12d1-5 Section 240.12d1-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  2. 17 CFR 240.19c-1 - Governing certain off-board agency transactions by members of national securities exchanges.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Governing certain off-board agency transactions by members of national securities exchanges. 240.19c-1 Section 240.19c-1 Commodity... members of national securities exchanges. The rules of each national securities exchange shall provide as...

  3. 17 CFR 240.17Ad-19 - Requirements for cancellation, processing, storage, transportation, and destruction or other...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Requirements for cancellation....17Ad-19 Section 240.17Ad-19 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  4. 17 CFR 240.17g-4 - Prevention of misuse of material nonpublic information.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Prevention of misuse of material nonpublic information. 240.17g-4 Section 240.17g-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  5. 17 CFR 240.17g-4 - Prevention of misuse of material nonpublic information.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Prevention of misuse of material nonpublic information. 240.17g-4 Section 240.17g-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  6. 17 CFR 240.17g-4 - Prevention of misuse of material nonpublic information.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Prevention of misuse of material nonpublic information. 240.17g-4 Section 240.17g-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  7. 17 CFR 240.17g-4 - Prevention of misuse of material nonpublic information.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Prevention of misuse of material nonpublic information. 240.17g-4 Section 240.17g-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  8. 17 CFR 249.331 - Form N-CSR, certified shareholder report.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form N-CSR, certified shareholder report. 249.331 Section 249.331 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Required Under Sections 13 and 15(d) of the Securities Exchange Act of 1934 § 249.331 Form N-CSR, certified...

  9. 17 CFR 249.331 - Form N-CSR, certified shareholder report.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form N-CSR, certified shareholder report. 249.331 Section 249.331 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Required Under Sections 13 and 15(d) of the Securities Exchange Act of 1934 § 249.331 Form N-CSR, certified...

  10. 17 CFR 210.6-10 - What schedules are to be filed.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false What schedules are to be filed. 210.6-10 Section 210.6-10 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE...

  11. 17 CFR 210.6A-05 - What schedules are to be filed.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false What schedules are to be filed. 210.6A-05 Section 210.6A-05 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE...

  12. 17 CFR 240.0-2 - Business hours of the Commission.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Business hours of the Commission. 240.0-2 Section 240.0-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Securities Exchange Act of 1934 Rules of General Application § 240.0-2 Business hours of the Commission. (a...

  13. 17 CFR 240.12a-5 - Temporary exemption of substituted or additional securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Temporary exemption of substituted or additional securities. 240.12a-5 Section 240.12a-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  14. 17 CFR 240.14d-2 - Commencement of a tender offer.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Commencement of a tender offer. 240.14d-2 Section 240.14d-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  15. 17 CFR 240.14a-12 - Solicitation before furnishing a proxy statement.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Solicitation before furnishing a proxy statement. 240.14a-12 Section 240.14a-12 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and...

  16. 17 CFR 240.17a-23 - Recordkeeping and reporting requirements relating to broker-dealer trading systems.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Recordkeeping and reporting requirements relating to broker-dealer trading systems. 240.17a-23 Section 240.17a-23 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  17. 17 CFR 240.17a-23 - Recordkeeping and reporting requirements relating to broker-dealer trading systems.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Recordkeeping and reporting requirements relating to broker-dealer trading systems. 240.17a-23 Section 240.17a-23 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  18. 17 CFR 240.17a-23 - Recordkeeping and reporting requirements relating to broker-dealer trading systems.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Recordkeeping and reporting requirements relating to broker-dealer trading systems. 240.17a-23 Section 240.17a-23 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  19. 17 CFR 240.17a-23 - Recordkeeping and reporting requirements relating to broker-dealer trading systems.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Recordkeeping and reporting requirements relating to broker-dealer trading systems. 240.17a-23 Section 240.17a-23 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  20. 17 CFR 229.308 - (Item 308) Internal control over financial reporting.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false (Item 308) Internal control over financial reporting. 229.308 Section 229.308 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND...

  1. 17 CFR 229.308 - (Item 308) Internal control over financial reporting.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false (Item 308) Internal control over financial reporting. 229.308 Section 229.308 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND...

  2. 17 CFR 229.308 - (Item 308) Internal control over financial reporting.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false (Item 308) Internal control over financial reporting. 229.308 Section 229.308 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND...

  3. 17 CFR 229.308 - (Item 308) Internal control over financial reporting.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false (Item 308) Internal control over financial reporting. 229.308 Section 229.308 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND...

  4. 17 CFR 240.16c-4 - Derivative securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Derivative securities. 240.16c-4 Section 240.16c-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED... Exchange Act of 1934 Exemption of Certain Transactions from Section 16(c) § 240.16c-4 Derivative securities...

  5. 17 CFR 240.12b-37 - Satisfaction of filing requirements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Satisfaction of filing requirements. 240.12b-37 Section 240.12b-37 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Under the Securities Exchange Act of 1934 Special Provisions § 240.12b-37 Satisfaction of filing...

  6. 17 CFR 210.12-25 - Supplementary profit and loss information.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Supplementary profit and loss information. 210.12-25 Section 210.12-25 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, PUBLIC UTILITY...

  7. 17 CFR 242.403 - Required margin.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Required margin. 242.403 Section 242.403 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS M, SHO, ATS, AC, AND NMS AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES Customer Margin...

  8. 17 CFR 200.10 - The Commission.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false The Commission. 200.10 Section 200.10 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Organization and Program Management General Organization § 200.10...

  9. 17 CFR 200.10 - The Commission.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false The Commission. 200.10 Section 200.10 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Organization and Program Management General Organization § 200.10...

  10. 17 CFR 200.16a - Inspector General.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Inspector General. 200.16a Section 200.16a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Organization and Program Management General Organization...

  11. 17 CFR 200.10 - The Commission.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false The Commission. 200.10 Section 200.10 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Organization and Program Management General Organization § 200.10...

  12. 17 CFR 200.17 - Chief Management Analyst.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Chief Management Analyst. 200.17 Section 200.17 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Organization and Program Management General Organization...

  13. 17 CFR 230.602 - Securities exempted.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Securities exempted. 230.602 Section 230.602 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business Investment...

  14. 17 CFR 230.602 - Securities exempted.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Securities exempted. 230.602 Section 230.602 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business Investment...

  15. 17 CFR 230.602 - Securities exempted.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Securities exempted. 230.602 Section 230.602 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business Investment...

  16. 17 CFR 200.311 - Penalties.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Penalties. 200.311 Section 200.311 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Regulations Pertaining to the Privacy of Individuals and Systems of...

  17. 17 CFR 200.311 - Penalties.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Penalties. 200.311 Section 200.311 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Regulations Pertaining to the Privacy of Individuals and Systems of...

  18. 17 CFR 256.301 - Organization.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Organization. 256.301 Section 256.301 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) UNIFORM... service company such as stock, minute books and corporate seal. Note: This account shall not include any...

  19. 17 CFR 256.301 - Organization.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Organization. 256.301 Section 256.301 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) UNIFORM... service company such as stock, minute books and corporate seal. Note: This account shall not include any...

  20. 17 CFR 230.481 - Information required in prospectuses.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Information required in prospectuses. 230.481 Section 230.481 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Investment Companies; Business Development Companies...

  1. 17 CFR 230.602 - Securities exempted.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Securities exempted. 230.602 Section 230.602 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business Investment...

  2. 17 CFR 200.550 - Purpose.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Purpose. 200.550 Section 200.550 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Regulations Pertaining to the Protection of the Environment § 200...

  3. 17 CFR 200.552 - NEPA planning.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false NEPA planning. 200.552 Section 200.552 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Regulations Pertaining to the Protection of the Environment...

  4. 17 CFR 300.200 - General.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false General. 300.200 Section 300.200 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Accounts Introduced by Other Brokers...

  5. 17 CFR 200.111 - Prohibitions; application; definitions.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Prohibitions; application; definitions. 200.111 Section 200.111 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte...

  6. 17 CFR 200.111 - Prohibitions; application; definitions.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Prohibitions; application; definitions. 200.111 Section 200.111 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte...

  7. 17 CFR 200.111 - Prohibitions; application; definitions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Prohibitions; application; definitions. 200.111 Section 200.111 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte...

  8. 17 CFR 200.111 - Prohibitions; application; definitions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Prohibitions; application; definitions. 200.111 Section 200.111 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte...

  9. 17 CFR 8.01 - Scope of rules.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ....01 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS General Provisions § 8.01 Scope of rules. This part sets forth the standards to be followed by an exchange in establishing procedures for investigating and...

  10. 17 CFR 8.19 - Appeal.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS Disciplinary Procedure § 8.19 Appeal. The rules of an exchange may permit a respondent to appeal promptly an adverse decision of a disciplinary committee in all or in...

  11. 17 CFR 8.03 - Definitions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY... or charges contained in the notice of charges. (c) Disciplinary committee means that body or bodies provided for in § 8.08. (d) Disciplinary procedure means the rules of an exchange governing the...

  12. 17 CFR 256.303 - Miscellaneous intangible plant.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Miscellaneous intangible plant. 256.303 Section 256.303 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... plant. (a) This account shall include the cost of patent rights, licenses, privileges, and other...

  13. 17 CFR 300.500 - General.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false General. 300.500 Section 300.500 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Rules Relating to Satisfaction of A...

  14. 17 CFR 256.216 - Unappropriated retained earnings.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... retained earnings. This account shall include the balance, either debit or credit, arising from earnings... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Unappropriated retained earnings. 256.216 Section 256.216 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...

  15. 17 CFR 242.402 - General provisions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false General provisions. 242.402 Section 242.402 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS M, SHO, ATS, AC, AND NMS AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES Customer Margin...

  16. 17 CFR 155.6 - Trading standards for the transaction of business on registered derivatives transaction execution...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Trading standards for the transaction of business on registered derivatives transaction execution facilities. 155.6 Section 155.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION TRADING STANDARDS § 155.6 Trading...

  17. 17 CFR 141.1 - Purpose and scope.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Purpose and scope. 141.1 Section 141.1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SALARY OFFSET § 141...: (1) The Internal Revenue Code of 1954, as amended, 26 U.S.C. 1 et seq.; (2) The Social Security Act...

  18. 76 FR 4569 - Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-26

    ... COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 165 RIN Number 3038-AD04 Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act Correction In proposed rule document 2010-29022, beginning on page 75728 in the issue of Monday, December 6, 2010, make the following correction...

  19. 17 CFR 1.30 - Loans by futures commission merchants; treatment of proceeds.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... funds on an unsecured basis to finance customers' trading, nor may a futures commission merchant loan... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Loans by futures commission merchants; treatment of proceeds. 1.30 Section 1.30 Commodity and Securities Exchanges COMMODITY FUTURES...

  20. 17 CFR 162.7 - Reasonable and simple methods of opting out.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Reasonable and simple methods of opting out. 162.7 Section 162.7 Commodity and Securities Exchanges COMMODITY FUTURES TRADING... electronically mailed or processed through an Internet Web site; (4) Providing a toll-free telephone number; or...

  1. 17 CFR 162.7 - Reasonable and simple methods of opting out.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Reasonable and simple methods of opting out. 162.7 Section 162.7 Commodity and Securities Exchanges COMMODITY FUTURES TRADING... electronically mailed or processed through an Internet Web site; (4) Providing a toll-free telephone number; or...

  2. 17 CFR 4.12 - Exemption from provisions of part 4.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Exemption from provisions of part 4. 4.12 Section 4.12 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION... pool for which it makes such claim: (A) Will be offered and sold pursuant to the Securities Act of 1933...

  3. 17 CFR 10.22 - Complaint and notice of hearing.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Complaint and notice of hearing. 10.22 Section 10.22 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES... Internet web site during the period referred to in paragraph (b)(1) of this section. [41 FR 2511, Jan. 16...

  4. 17 CFR 10.22 - Complaint and notice of hearing.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Complaint and notice of hearing. 10.22 Section 10.22 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES... Internet web site during the period referred to in paragraph (b)(1) of this section. [41 FR 2511, Jan. 16...

  5. 17 CFR 162.7 - Reasonable and simple methods of opting out.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 2 2014-04-01 2014-04-01 false Reasonable and simple methods of opting out. 162.7 Section 162.7 Commodity and Securities Exchanges COMMODITY FUTURES TRADING... electronically mailed or processed through an Internet Web site; (4) Providing a toll-free telephone number; or...

  6. 17 CFR 41.12 - Indexes underlying futures contracts trading for fewer than 30 days.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Indexes underlying futures contracts trading for fewer than 30 days. 41.12 Section 41.12 Commodity and Securities Exchanges COMMODITY... reported transactions used in calculating dollar value of trading volume is reported in a currency other...

  7. 17 CFR 10.7 - Date of entry of orders.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Date of entry of orders. 10.7 Section 10.7 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES OF PRACTICE General Provisions § 10.7 Date of entry of orders. In computing any period of time involving the date of...

  8. 17 CFR 10.5 - Computation of time.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Computation of time. 10.5 Section 10.5 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES OF PRACTICE... computed is to be included unless it is a Saturday, a Sunday, or a legal holiday; in which event the period...

  9. 17 CFR 7.200-7.201 - [Reserved

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false [Reserved] 7.200-7.201 Section 7.200-7.201 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION CONTRACT MARKET RULES ALTERED OR SUPPLEMENTED BY THE COMMISSION Board of Trade of the City of Chicago Rules § 7.200-7...

  10. 17 CFR 7.200-7.201 - [Reserved

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false [Reserved] 7.200-7.201 Section 7.200-7.201 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION CONTRACT MARKET RULES ALTERED OR SUPPLEMENTED BY THE COMMISSION Board of Trade of the City of Chicago Rules § 7.200-7...

  11. 17 CFR 155.6 - Trading standards for the transaction of business on registered derivatives transaction execution...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Trading standards for the transaction of business on registered derivatives transaction execution facilities. 155.6 Section 155.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION TRADING STANDARDS § 155.6 Trading...

  12. 17 CFR 39.4 - Procedures for implementing derivatives clearing organization rules and clearing new products.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Procedures for implementing derivatives clearing organization rules and clearing new products. 39.4 Section 39.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES CLEARING ORGANIZATIONS § 39.4 Procedures for...

  13. 17 CFR 155.6 - Trading standards for the transaction of business on registered derivatives transaction execution...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Trading standards for the transaction of business on registered derivatives transaction execution facilities. 155.6 Section 155.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION TRADING STANDARDS § 155.6 Trading...

  14. 17 CFR Appendix D to Part 40 - Submission Cover Sheet and Instructions

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Submission Cover Sheet and Instructions D Appendix D to Part 40 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PROVISIONS COMMON TO REGISTERED ENTITIES Pt. 40, App. D Appendix D to Part 40—Submission Cover Sheet and...

  15. 17 CFR 100.1 - Delivery period required with respect to certain grains.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Delivery period required with respect to certain grains. 100.1 Section 100.1 Commodity and Securities Exchanges COMMODITY FUTURES... grains. A period of seven business days is required during which contracts for future delivery in the...

  16. 17 CFR 17.01 - Identification of special accounts, volume threshold accounts, and omnibus accounts.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Identification of special accounts, volume threshold accounts, and omnibus accounts. 17.01 Section 17.01 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REPORTS BY REPORTING MARKETS, FUTURES COMMISSION MERCHANTS, CLEARING MEMBERS, AND FOREIGN BROKERS §...

  17. 17 CFR 249.1 - Form 1, for application for, and amendments to applications for, registration as a national...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Form 1, for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Exchange Act. 249.1 Section 249.1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ...

  18. 17 CFR 249.1 - Form 1, for application for, and amendments to applications for, registration as a national...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Form 1, for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Exchange Act. 249.1 Section 249.1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ...

  19. 17 CFR 249.1 - Form 1, for application for, and amendments to applications for, registration as a national...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Form 1, for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Exchange Act. 249.1 Section 249.1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ...

  20. 17 CFR 249.1 - Form 1, for application for, and amendments to applications for, registration as a national...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Form 1, for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Exchange Act. 249.1 Section 249.1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ...

  1. 17 CFR 249.1 - Form 1, for application for, and amendments to applications for, registration as a national...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form 1, for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Exchange Act. 249.1 Section 249.1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ...

  2. 17 CFR 240.15g-100 - Schedule 15G-Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Schedule 15G-Information to be... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  3. 17 CFR 240.15g-100 - Schedule 15G-Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Schedule 15G-Information to be... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  4. 17 CFR 240.15g-100 - Schedule 15G-Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Schedule 15G-Information to be... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  5. 17 CFR 240.15a-4 - Forty-five day exemption from registration for certain members of national securities exchanges.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Forty-five day exemption from registration for certain members of national securities exchanges. 240.15a-4 Section 240.15a-4 Commodity and... national securities exchanges. (a) A natural person who is a member of a national securities exchange shall...

  6. 17 CFR 242.405 - Withdrawal of margin.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Withdrawal of margin. 242.405 Section 242.405 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS M, SHO, ATS, AC, AND NMS AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES Customer Margin...

  7. 17 CFR 229.1117 - (Item 1117) Legal proceedings.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false (Item 1117) Legal proceedings. 229.1117 Section 229.1117 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION....1117 (Item 1117) Legal proceedings. Describe briefly any legal proceedings pending against the sponsor...

  8. 17 CFR 229.1117 - (Item 1117) Legal proceedings.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false (Item 1117) Legal proceedings. 229.1117 Section 229.1117 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION....1117 (Item 1117) Legal proceedings. Describe briefly any legal proceedings pending against the sponsor...

  9. 17 CFR 229.1117 - (Item 1117) Legal proceedings.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false (Item 1117) Legal proceedings. 229.1117 Section 229.1117 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION....1117 (Item 1117) Legal proceedings. Describe briefly any legal proceedings pending against the sponsor...

  10. 17 CFR 229.1117 - (Item 1117) Legal proceedings.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false (Item 1117) Legal proceedings. 229.1117 Section 229.1117 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION....1117 (Item 1117) Legal proceedings. Describe briefly any legal proceedings pending against the sponsor...

  11. 17 CFR 204.3 - General.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false General. 204.3 Section 204.3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES RELATING TO DEBT COLLECTION...; the Social Security Act; or the tariff laws of the United States. (e) The procedures for...

  12. 17 CFR 204.62 - Definitions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Definitions. 204.62 Section 204.62 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES RELATING TO DEBT... subpart, “amounts required by law to be withheld” include amounts for deductions such as social security...

  13. 17 CFR 242.612 - Minimum pricing increment.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Minimum pricing increment. 242.612 Section 242.612 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED...-Regulation of the National Market System § 242.612 Minimum pricing increment. (a) No national securities...

  14. 17 CFR 200.510 - Access by historical researchers.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Access by historical researchers. 200.510 Section 200.510 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Security Information and Material § 200.510 Access by historical researchers. (a) Persons outside the...

  15. 17 CFR 300.300 - Definitions.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Definitions. 300.300 Section 300.300 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A... Contractual Commitments § 300.300 Definitions. For the purpose of these rules, adopted pursuant to section 8(e...

  16. 17 CFR 300.300 - Definitions.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Definitions. 300.300 Section 300.300 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A... Contractual Commitments § 300.300 Definitions. For the purpose of these rules, adopted pursuant to section 8(e...

  17. 17 CFR 300.300 - Definitions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Definitions. 300.300 Section 300.300 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A... Contractual Commitments § 300.300 Definitions. For the purpose of these rules, adopted pursuant to section 8(e...

  18. 17 CFR 300.300 - Definitions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Definitions. 300.300 Section 300.300 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A... Contractual Commitments § 300.300 Definitions. For the purpose of these rules, adopted pursuant to section 8(e...

  19. 17 CFR 200.510 - Access by historical researchers.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Access by historical researchers. 200.510 Section 200.510 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Security Information and Material § 200.510 Access by historical researchers. (a) Persons outside the...

  20. 17 CFR 200.510 - Access by historical researchers.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Access by historical researchers. 200.510 Section 200.510 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Security Information and Material § 200.510 Access by historical researchers. (a) Persons outside the...

  1. 17 CFR 200.735-5 - Securities transactions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Securities transactions. 200.735-5 Section 200.735-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Employees and Former Members and Employees of the Commission § 200.735-5 Securities transactions. Securities...

  2. 17 CFR 200.735-5 - Securities transactions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Securities transactions. 200.735-5 Section 200.735-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Employees and Former Members and Employees of the Commission § 200.735-5 Securities transactions. Securities...

  3. 17 CFR 200.735-5 - Securities transactions.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Securities transactions. 200.735-5 Section 200.735-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Employees and Former Members and Employees of the Commission § 200.735-5 Securities transactions. Securities...

  4. 17 CFR 242.300 - Definitions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... meaning provided in § 242.600. (i) Corporate debt security shall mean any security that: (1) Evidences a... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Definitions. 242.300 Section 242.300 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS...

  5. 17 CFR 242.300 - Definitions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... meaning provided in § 242.600. (i) Corporate debt security shall mean any security that: (1) Evidences a... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Definitions. 242.300 Section 242.300 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS...

  6. 17 CFR 242.300 - Definitions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... meaning provided in § 242.600. (i) Corporate debt security shall mean any security that: (1) Evidences a... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Definitions. 242.300 Section 242.300 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS...

  7. 17 CFR 230.610 - Suspension of exemption.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Suspension of exemption. 230.610 Section 230.610 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business...

  8. 17 CFR 230.484 - Undertaking required in certain registration statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Undertaking required in certain registration statements. 230.484 Section 230.484 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Investment Companies; Business...

  9. 17 CFR 230.608 - Prohibition of certain statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Prohibition of certain statements. 230.608 Section 230.608 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small...

  10. 17 CFR 200.735-16 - Delegation.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Delegation. 200.735-16 Section 200.735-16 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT... Former Members and Employees of the Commission § 200.735-16 Delegation. Any official responsibility...

  11. 17 CFR 200.735-16 - Delegation.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Delegation. 200.735-16 Section 200.735-16 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT... Former Members and Employees of the Commission § 200.735-16 Delegation. Any official responsibility...

  12. 17 CFR 200.554 - Public availability of information.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Public availability of information. 200.554 Section 200.554 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Regulations Pertaining to the Protection of the...

  13. 17 CFR 300.100 - General.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false General. 300.100 Section 300.100 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Accounts of âseparateâ Customers of...

  14. 17 CFR 300.305 - Excluded contracts.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Excluded contracts. 300.305 Section 300.305 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Closeout Or Completion of Open...

  15. 17 CFR 300.101 - Individual accounts.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Individual accounts. 300.101 Section 300.101 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Accounts of âseparateâ...

  16. 17 CFR 300.105 - Joint accounts.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Joint accounts. 300.105 Section 300.105 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Accounts of âseparateâ...

  17. 17 CFR 200.113 - Opportunity to respond; interception.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Opportunity to respond; interception. 200.113 Section 200.113 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte...

  18. 17 CFR 200.113 - Opportunity to respond; interception.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Opportunity to respond; interception. 200.113 Section 200.113 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte...

  19. 17 CFR 200.113 - Opportunity to respond; interception.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Opportunity to respond; interception. 200.113 Section 200.113 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte...

  20. 17 CFR 200.113 - Opportunity to respond; interception.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Opportunity to respond; interception. 200.113 Section 200.113 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte...

  1. 17 CFR 200.113 - Opportunity to respond; interception.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Opportunity to respond; interception. 200.113 Section 200.113 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Code of Behavior Governing Ex Parte...

  2. 17 CFR 200.50 - Authority.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Authority. 200.50 Section 200.50 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Canons of Ethics § 200.50 Authority. The Canons of Ethics for...

  3. 17 CFR 200.507 - Declassification dates on derivative documents.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Declassification dates on derivative documents. 200.507 Section 200.507 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... of National Security Information and Material § 200.507 Declassification dates on derivative...

  4. 17 CFR 300.502 - Claim for securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Claim for securities. 300.502 Section 300.502 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Rules Relating to Satisfaction...

  5. 17 CFR 300.501 - Claim for cash.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Claim for cash. 300.501 Section 300.501 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Rules Relating to Satisfaction...

  6. 17 CFR 242.101 - Activities by distribution participants.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Activities by distribution participants. 242.101 Section 242.101 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS M, SHO, ATS, AC, AND NMS AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES...

  7. 17 CFR 4.13 - Exemption from registration as a commodity pool operator.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... a commodity pool operator. 4.13 Section 4.13 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS General Provisions, Definitions and Exemptions § 4.13 Exemption from registration as a commodity pool operator. This section is...

  8. 78 FR 55680 - Small Diameter Graphite Electrodes From the People's Republic of China: Final Results of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-11

    .... Acclcarbon Co., Ltd. 3. Allied Carbon (China) Co., Limited 4. Anssen Metallurgy Group Co., Ltd. 5. AMGL 6... International Trade Co., Ltd. 20. Dalian Horton International Trading Co., Ltd. 21. Dalian LST Metallurgy Co...

  9. 17 CFR 240.0-3 - Filing of material with the Commission.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Filing of material with the Commission. 240.0-3 Section 240.0-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Securities Exchange Act of 1934 Rules of General Application § 240.0-3 Filing of material with the Commission...

  10. 17 CFR 240.12g3-2 - Exemptions for American depositary receipts and certain foreign securities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Exemptions for American depositary receipts and certain foreign securities. 240.12g3-2 Section 240.12g3-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  11. 17 CFR 240.12g3-2 - Exemptions for American depositary receipts and certain foreign securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Exemptions for American depositary receipts and certain foreign securities. 240.12g3-2 Section 240.12g3-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  12. 17 CFR 240.12g3-2 - Exemptions for American depositary receipts and certain foreign securities.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Exemptions for American depositary receipts and certain foreign securities. 240.12g3-2 Section 240.12g3-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  13. 17 CFR 240.12g3-2 - Exemptions for American depositary receipts and certain foreign securities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Exemptions for American depositary receipts and certain foreign securities. 240.12g3-2 Section 240.12g3-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  14. 17 CFR 240.15c1-2 - Fraud and misrepresentation.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Fraud and misrepresentation. 240.15c1-2 Section 240.15c1-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Securities Exchange Act of 1934 Rules Relating to Over-The-Counter Markets § 240.15c1-2 Fraud and...

  15. 17 CFR 240.12h-1 - Exemptions from registration under section 12(g) of the Act.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemptions from registration under section 12(g) of the Act. 240.12h-1 Section 240.12h-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  16. 17 CFR 240.15g-2 - Penny stock disclosure document relating to the penny stock market.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Penny stock disclosure document relating to the penny stock market. 240.15g-2 Section 240.15g-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  17. 17 CFR 240.14d-6 - Disclosure of tender offer information to security holders.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Disclosure of tender offer information to security holders. 240.14d-6 Section 240.14d-6 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and...

  18. 17 CFR 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Year 2000 Reports to be made by certain transfer agents. 240.17Ad-18 Section 240.17Ad-18 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  19. 17 CFR 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Year 2000 Reports to be made by certain transfer agents. 240.17Ad-18 Section 240.17Ad-18 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  20. 17 CFR 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Year 2000 Reports to be made by certain transfer agents. 240.17Ad-18 Section 240.17Ad-18 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  1. 17 CFR 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Year 2000 Reports to be made by certain transfer agents. 240.17Ad-18 Section 240.17Ad-18 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  2. 17 CFR 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Year 2000 Reports to be made by certain transfer agents. 240.17Ad-18 Section 240.17Ad-18 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  3. 17 CFR 240.36a1-1 - Exemption from Section 7 for OTC derivatives dealers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption from Section 7 for OTC derivatives dealers. 240.36a1-1 Section 240.36a1-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  4. 17 CFR 240.15b9-2 - Exemption from SRO membership for OTC derivatives dealers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption from SRO membership for OTC derivatives dealers. 240.15b9-2 Section 240.15b9-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  5. 17 CFR 240.36a1-2 - Exemption from SIPA for OTC derivatives dealers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption from SIPA for OTC derivatives dealers. 240.36a1-2 Section 240.36a1-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  6. 17 CFR 240.12h-7 - Exemption for issuers of securities that are subject to insurance regulation.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Exemption for issuers of securities that are subject to insurance regulation. 240.12h-7 Section 240.12h-7 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  7. 17 CFR 240.12h-7 - Exemption for issuers of securities that are subject to insurance regulation.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Exemption for issuers of securities that are subject to insurance regulation. 240.12h-7 Section 240.12h-7 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  8. 17 CFR 240.12h-7 - Exemption for issuers of securities that are subject to insurance regulation.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption for issuers of securities that are subject to insurance regulation. 240.12h-7 Section 240.12h-7 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  9. 17 CFR 240.12h-7 - Exemption for issuers of securities that are subject to insurance regulation.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Exemption for issuers of securities that are subject to insurance regulation. 240.12h-7 Section 240.12h-7 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  10. 17 CFR 8.12 - Right to representation.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Section 8.12 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS Disciplinary Procedure § 8.12 Right to... disciplinary proceeding. ...

  11. 17 CFR 201.58 - Judicial review.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Judicial review. 201.58 Section 201.58 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Regulations Pertaining to the Equal Access to Justice Act § 201.58 Judicial review. Judicial review of final...

  12. 17 CFR 204.56 - Administrative charges.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Administrative charges. 204.56 Section 204.56 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES RELATING TO DEBT COLLECTION Tax Refund Offset § 204.56 Administrative charges. To the extent permitted by law, all...

  13. 17 CFR 204.56 - Administrative charges.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Administrative charges. 204.56 Section 204.56 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES RELATING TO DEBT COLLECTION Tax Refund Offset § 204.56 Administrative charges. To the extent permitted by law, all...

  14. 17 CFR 229.905 - (Item 905) comparative information.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false (Item 905) comparative information. 229.905 Section 229.905 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...) comparative information. (a)(1) Describe the voting and other rights of investors in the successor under the...

  15. 17 CFR 229.905 - (Item 905) comparative information.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false (Item 905) comparative information. 229.905 Section 229.905 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...) comparative information. (a)(1) Describe the voting and other rights of investors in the successor under the...

  16. 17 CFR 229.905 - (Item 905) comparative information.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false (Item 905) comparative information. 229.905 Section 229.905 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...) comparative information. (a)(1) Describe the voting and other rights of investors in the successor under the...

  17. 17 CFR 229.905 - (Item 905) comparative information.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false (Item 905) comparative information. 229.905 Section 229.905 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...) comparative information. (a)(1) Describe the voting and other rights of investors in the successor under the...

  18. 17 CFR 229.905 - (Item 905) comparative information.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false (Item 905) comparative information. 229.905 Section 229.905 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...) comparative information. (a)(1) Describe the voting and other rights of investors in the successor under the...

  19. 17 CFR 256.123 - Investment in associate companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Investment in associate companies. 256.123 Section 256.123 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... UTILITY HOLDING COMPANY ACT OF 1935 2. Investments § 256.123 Investment in associate companies. This...

  20. 17 CFR 256.123 - Investment in associate companies.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Investment in associate companies. 256.123 Section 256.123 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... UTILITY HOLDING COMPANY ACT OF 1935 2. Investments § 256.123 Investment in associate companies. This...

  1. 17 CFR 200.69 - Conduct toward parties and their counsel.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Conduct toward parties and their counsel. 200.69 Section 200.69 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... toward parties and their counsel. Members should be temperate, attentive, patient and impartial when...

  2. 17 CFR 202.8 - Small entity compliance guides.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Small entity compliance guides. 202.8 Section 202.8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION INFORMAL AND OTHER PROCEDURES § 202.8 Small entity compliance guides. The following small entity compliance guides...

  3. 17 CFR 202.8 - Small entity compliance guides.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Small entity compliance guides. 202.8 Section 202.8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION INFORMAL AND OTHER PROCEDURES § 202.8 Small entity compliance guides. The following small entity compliance guides...

  4. 17 CFR 201.104 - Business hours.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Business hours. 201.104 Section 201.104 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Rules of Practice General Rules § 201.104 Business hours. The Headquarters office of the Commission, at...

  5. 17 CFR 287.2 - Periodic reports.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Periodic reports. 287.2 Section 287.2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT BANK ACT...

  6. 17 CFR 287.2 - Periodic reports.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Periodic reports. 287.2 Section 287.2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT BANK ACT...

  7. 17 CFR 287.2 - Periodic reports.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Periodic reports. 287.2 Section 287.2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT BANK ACT...

  8. 17 CFR 287.2 - Periodic reports.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Periodic reports. 287.2 Section 287.2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT BANK ACT...

  9. 17 CFR 287.2 - Periodic reports.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Periodic reports. 287.2 Section 287.2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT BANK ACT...

  10. 17 CFR 200.57 - Relationships with other members.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Relationships with other members. 200.57 Section 200.57 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Canons of Ethics § 200.57 Relationships with...

  11. 17 CFR 248.102 - Examples.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Examples. 248.102 Section 248.102 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS S-P, S-AM, AND S-ID Regulation S-AM: Limitations on Affiliate Marketing § 248.102 Examples. The examples...

  12. 17 CFR 248.102 - Examples.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Examples. 248.102 Section 248.102 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS S-P AND S-AM Regulation S-AM: Limitations on Affiliate Marketing § 248.102 Examples. The examples in this...

  13. 17 CFR 248.102 - Examples.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Examples. 248.102 Section 248.102 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS S-P AND S-AM Regulation S-AM: Limitations on Affiliate Marketing § 248.102 Examples. The examples in this...

  14. 17 CFR 248.102 - Examples.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Examples. 248.102 Section 248.102 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS S-P AND S-AM Regulation S-AM: Limitations on Affiliate Marketing § 248.102 Examples. The examples in this...

  15. 17 CFR 230.173 - Notice of registration.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Notice of registration. 230.173 Section 230.173 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.173 Notice of registration. (a) In a...

  16. 17 CFR 200.72 - Supervision of internal organization.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Supervision of internal organization. 200.72 Section 200.72 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Canons of Ethics § 200.72 Supervision of...

  17. 17 CFR 200.72 - Supervision of internal organization.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Supervision of internal organization. 200.72 Section 200.72 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Canons of Ethics § 200.72 Supervision of...

  18. 17 CFR 200.72 - Supervision of internal organization.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Supervision of internal organization. 200.72 Section 200.72 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Canons of Ethics § 200.72 Supervision of...

  19. 17 CFR 200.72 - Supervision of internal organization.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Supervision of internal organization. 200.72 Section 200.72 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Canons of Ethics § 200.72 Supervision of...

  20. 17 CFR 200.72 - Supervision of internal organization.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Supervision of internal organization. 200.72 Section 200.72 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Canons of Ethics § 200.72 Supervision of...

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