Books and Records

(a) No person shall be registered as a futures commission merchant or as an introducing broker under the Act unless, commencing on the date his ...

(a) Each futures commission merchant which invests customer funds, and each derivatives clearing organization which invests customer funds of its clearing members' customers, shall keep ...

(a) Definitions. For purposes of this section: Electronic regulatory records means all regulatory records other than regulatory records exclusively created and maintained by a records ...

(a) Futures commission merchants, retail foreign exchange dealers, introducing brokers, and members of designated contract markets or swap execution facilities. (1) Futures commission merchants, retail ...

(a) Each futures commission merchant and each retail foreign exchange dealer shall maintain, as provided in §1.31, a record of all securities and property received ...

(a) Each futures commission merchant, retail foreign exchange dealer, introducing broker, and member of a contract market shall keep a record in permanent form which ...

Each commodity pool operator registered or required to be registered under the Act must make and keep the following books and records in an accurate, ...

(a) Every volume threshold account controller; person who owns a volume threshold account; reportable sub-account controller; person who owns a reportable sub-account; and trader who ...

(a) Every clearing organization shall keep all records of transactions in paired swaps or swaptions, and methods used to convert paired swaps or swaptions into ...

(a) All books, records and other documents required to be kept by this part shall be kept in accordance with the provisions of §1.31 of ...