(1) their advice, counsel, publications, writings, analyses, and reports are furnished and distributed, and their contracts, solicitations, subscriptions, agreements, and other arrangements with clients take place and are negotiated and performed by the use of the mails and other means and instrumentalities of interstate commerce;
(2) their advice, counsel, publications, writings, analyses, and reports customarily relate to and their operations are directed toward and cause the purchase and sale of commodities for future delivery on or subject to the rules of contract markets or derivatives transaction execution facilities; and
(3) the foregoing transactions occur in such volume as to affect substantially transactions on contract markets or derivatives transaction execution facilities.
Structure US Code
CHAPTER 1— COMMODITY EXCHANGES
§ 6. Regulation of futures trading and foreign transactions
§ 6b. Contracts designed to defraud or mislead
§ 6e. Dealings by unregistered floor trader or broker prohibited
§ 6f. Registration and financial requirements; risk assessment
§ 6g. Reporting and recordkeeping
§ 6h. False self-representation as registered entity member prohibited
§ 6l. Commodity trading advisors and commodity pool operators; Congressional finding
§ 6p. Standards and examinations
§ 6q. Special procedures to encourage and facilitate bona fide hedging by agricultural producers
§ 6r. Reporting and recordkeeping for uncleared swaps
§ 6s. Registration and regulation of swap dealers and major swap participants
§ 6t. Large swap trader reporting
§ 7. Designation of boards of trade as contract markets
§ 7a–1. Derivatives clearing organizations
§ 7a–2. Common provisions applicable to registered entities
§ 7b. Suspension or revocation of designation as registered entity
§ 7b–1. Designation of securities exchanges and associations as contract markets
§ 7b–3. Swap execution facilities
§ 9. Prohibition regarding manipulation and false information
§ 9a. Assessment of money penalties
§ 9b. Rules prohibiting deceptive and other abusive telemarketing acts or practices
§ 9c. Notice of investigations and enforcement actions
§ 12a. Registration of commodity dealers and associated persons; regulation of registered entities
§ 12b. Trading ban violations; prohibition
§ 12d. Commission action for noncompliance with export sales reporting requirements
§ 12e. Repealed. , , , 2763A–410
§ 13. Violations generally; punishment; costs of prosecution
§ 13a–1. Enjoining or restraining violations
§ 13a–2. Jurisdiction of States
§ 13c. Responsibility as principal; minor violations
§ 15b. Cotton futures contracts
§ 16a. Service fees and National Futures Association study
§ 17a. Separability of 1936 amendment
§ 17b. Separability of 1968 amendment
§ 18. Complaints against registered persons
§ 19. Consideration of costs and benefits and antitrust laws
§ 21. Registered futures associations
§ 22. Research and information programs; reports to Congress
§ 23. Standardized contracts for certain commodities
§ 24. Customer property with respect to commodity broker debtors; definitions
§ 25. Private rights of action
§ 26. Commodity whistleblower incentives and protection
§ 27a. Exclusion of identified banking product
§ 27c. Exclusion of certain other identified banking products