US Code
CHAPTER 1— COMMODITY EXCHANGES
§ 9c. Notice of investigations and enforcement actions

US Code

Title 7— AGRICULTURE

CHAPTER 1— COMMODITY EXCHANGES

§ 1. Short title

§ 1a. Definitions

§ 1b. Requirements of Secretary of the Treasury regarding exemption of foreign exchange swaps and foreign exchange forwards from definition of the term “swap”

§ 2. Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce

§§ 2a to 4a. Transferred

§ 5. Findings and purpose

§ 6. Regulation of futures trading and foreign transactions

§ 6a. Excessive speculation

§ 6b. Contracts designed to defraud or mislead

§ 6b–1. Enforcement authority

§ 6c. Prohibited transactions

§ 6d. Dealing by unregistered futures commission merchants or introducing brokers prohibited; duties in handling customer receipts; conflict-of-interest systems and procedures; Chief Compliance Officer; rules to avoid duplicative regulations; swap requirements; portfolio margining accounts

§ 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

§ 6i. Reports of deals equal to or in excess of trading limits; books and records; cash and controlled transactions

§ 6j. Restrictions on dual trading in security futures products on designated contract markets and registered derivatives transaction execution facilities

§ 6k. Registration of associates of futures commission merchants, commodity pool operators, and commodity trading advisors; required disclosure of disqualifications; exemptions for associated persons

§ 6l. Commodity trading advisors and commodity pool operators; Congressional finding

§ 6m. Use of mails or other means or instrumentalities of interstate commerce by commodity trading advisors and commodity pool operators; relation to other law

§ 6n. Registration of commodity trading advisors and commodity pool operators; application; expiration and renewal; record keeping and reports; disclosure; statements of account

§ 6o. Fraud and misrepresentation by commodity trading advisors, commodity pool operators, and associated persons

§ 6o–1. Transferred

§ 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. Repealed. , ,

§ 7a–1. Derivatives clearing organizations

§ 7a–2. Common provisions applicable to registered entities

§ 7a–3. Repealed. , ,

§ 7b. Suspension or revocation of designation as registered entity

§ 7b–1. Designation of securities exchanges and associations as contract markets

§ 7b–2. Privacy

§ 7b–3. Swap execution facilities

§ 8. Application for designation as contract market or derivatives transaction execution facility; time; suspension or revocation of designation; hearing; review by court of appeals

§ 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

§ 10. Repealed. , , eff.

§ 10a. Cooperative associations and corporations, exclusion from board of trade; rules of board inapplicable to payment of compensation by association

§ 11. Vacation on request of designation or registration as “registered entity”; redesignation or reregistration

§ 12. Public disclosure

§§ 12–1 to 12–3. Omitted

§ 12a. Registration of commodity dealers and associated persons; regulation of registered entities

§ 12b. Trading ban violations; prohibition

§ 12c. Disciplinary actions

§ 12d. Commission action for noncompliance with export sales reporting requirements

§ 12e. Repealed. , , , 2763A–410

§ 13. Violations generally; punishment; costs of prosecution

§ 13–1. Violations, prohibition against dealings in motion picture box office receipts or onion futures; punishment

§ 13a. Nonenforcement of rules of government or other violations; cease and desist orders; fines and penalties; imprisonment; misdemeanor; separate offenses

§ 13a–1. Enjoining or restraining violations

§ 13a–2. Jurisdiction of States

§ 13b. Manipulations or other violations; cease and desist orders against persons other than registered entities; punishment

§ 13c. Responsibility as principal; minor violations

§ 14. Repealed. , ,

§ 15. Omitted

§ 15a. Repealed. , ,

§ 15b. Cotton futures contracts

§ 16. Commission operations

§ 16a. Service fees and National Futures Association study

§ 17. Separability

§ 17a. Separability of 1936 amendment

§ 17b. Separability of 1968 amendment

§ 18. Complaints against registered persons

§ 19. Consideration of costs and benefits and antitrust laws

§ 20. Market reports

§ 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

§ 24a. Swap data repositories

§ 25. Private rights of action

§ 26. Commodity whistleblower incentives and protection

§ 27. Definitions

§ 27a. Exclusion of identified banking product

§ 27b. Repealed. , ,

§ 27c. Exclusion of certain other identified banking products

§ 27d. Administration of the predominance test

§ 27e. Repealed. , ,

§ 27f. Contract enforcement