Rules & Regulations

(a) Each introducing broker shall, at a minimum, establish and enforce internal rules, procedures and controls to: (1) Insure, to the extent possible, that each ...

Except as otherwise provided in this part, the Commission may, in its discretion and upon such terms and conditions as it deems appropriate, exempt any ...

For the purposes of this part, the term broker association as applied to each board of trade shall include two or more contract market members ...

(a) Registration required. It shall be unlawful for any member of a broker association to receive or to execute an order unless the broker association ...

A contract market must, as part of its responsibilities pursuant to the Act and §1.51, demonstrate effective use of broker association registration information to monitor ...

Each contract market shall make available to the public generally and upon request a list of all registered broker associations which identifies for each such ...

(a) Purpose. This part governs the treatment of nonpublic personal information about consumers by the financial institutions listed in paragraph (b) of this section. This ...

(a) Model privacy form. Use of the model privacy form in appendix A of this part, consistent with the instructions in appendix A, constitutes compliance ...

For purposes of this part, unless the context requires otherwise: (a) Affiliate of a futures commission merchant, retail foreign exchange dealer, commodity trading advisor, commodity ...

(a) Initial notice requirement. You must provide a clear and conspicuous notice that accurately reflects your privacy policies and practices to: (1) Customer. An individual ...