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Rules & Regulations

(a) Security futures products based on a single security. A futures contract on a single security is eligible to be traded as a security futures ...
(a) Failure to satisfy margin call. If any margin call required by this Regulation (Subpart E, §§41.42 through 41.49) is not met in full, the ...
Registered entities and swap counterparties must report required swap creation data electronically to a swap data repository as set forth in this section and in ...
(a) Determination of which counterparty must report swap data concerning each pre-enactment or transition swap shall be made as follows: (1) If only one counterparty ...
(a) Application. This section applies to all financial interests of a Commission member or employee of the Commission, including financial interests held by the member ...
(a) Compliance with core principles. To be registered, and maintain registration, a swap data repository shall comply with the core principles as described in this ...
(a) Authority. This part is issued by the Commission under section 13 of the Bank Holding Company Act of 1956, as amended (12 U.S.C. 1851). ...
A period of seven business days is required during which contracts for future delivery in the current delivery month of wheat, corn, oats, barley, rye, ...
(a) Pursuant to sections 2(a)(11) and 8(b) of the Act, the Commission hereby delegates, until such time as the Commission orders otherwise, to the Director ...
(a) Request for hearing. (1) An employee must file a petition for a hearing in accordance with the instructions outlined in the Commission's notice to ...
(a) The Commission hereby delegates, until such time as the Commission orders otherwise, to the Executive Director or to any Commission employee under the Executive ...
(a) Whenever this part directs that a request be directed to the Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts Compliance, the ...
(a) Pursuant to section (j) of the Privacy Act of 1974, the Commission has deemed it necessary to adopt the following exemptions to specified provisions ...
(a) In general. Any person may submit a request to the Commission and the Securities and Exchange Commission to provide a joint interpretation of whether ...
(a) Permitted investments. (1) Subject to the terms and conditions set forth in this section, a futures commission merchant or a derivatives clearing organization may ...
(a) Application of purchases and sales. (1) Except with respect to purchases or sales which are for omnibus accounts, or where the customer or account ...
(a) Immediately upon instituting any proceeding in any Federal district court for violation of the Act or any rule, regulation or order thereunder against any ...
Notwithstanding any other provision of this chapter, the Commission, the Directors of the Division of Swap Dealer and Intermediary Oversight or Division of Enforcement or ...
(a) Notice. On the basis of information obtained by the Commission, the Commission may at any time give written notice to any applicant for registration ...
It shall be unlawful for any commodity pool operator, commodity trading advisor, principal thereof or person who solicits therefor to represent or imply in any ...
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