Chapter 1

Short title

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

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

Public disclosure

Registration of commodity dealers and associated persons; regulation of registered entities

Trading ban violations; prohibition

Disciplinary actions

Commission action for noncompliance with export sales reporting requirements

Violations generally; punishment; costs of prosecution

Violations, prohibition against dealings in motion picture box office receipts or onion futures; punishment

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

Enjoining or restraining violations

Jurisdiction of States

Manipulations or other violations; cease and desist orders against persons other than registered entities; punishment

Responsibility as principal; minor violations

Cotton futures contracts

Commission operations

Service fees and National Futures Association study

Separability

Separability of 1936 amendment

Separability of 1968 amendment

Complaints against registered persons

Consideration of costs and benefits and antitrust laws

Definitions

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

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

Market reports

Registered futures associations

Research and information programs; reports to Congress

Standardized contracts for certain commodities

Customer property with respect to commodity broker debtors; definitions

Swap data repositories

Private rights of action

Commodity whistleblower incentives and protection

Definitions

Exclusion of identified banking product

Exclusion of certain other identified banking products

Administration of the predominance test

Contract enforcement

Findings and purpose

Regulation of futures trading and foreign transactions

Excessive speculation

Contracts designed to defraud or mislead

Enforcement authority

Prohibited transactions

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

Dealings by unregistered floor trader or broker prohibited

Registration and financial requirements; risk assessment

Reporting and recordkeeping

False self-representation as registered entity member prohibited

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

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

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

Commodity trading advisors and commodity pool operators; Congressional finding

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

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

Fraud and misrepresentation by commodity trading advisors, commodity pool operators, and associated persons

Standards and examinations

Special procedures to encourage and facilitate bona fide hedging by agricultural producers

Reporting and recordkeeping for uncleared swaps

Registration and regulation of swap dealers and major swap participants

Large swap trader reporting

Derivatives clearing organizations

Suspension or revocation of designation as registered entity

Designation of securities exchanges and associations as contract markets

Privacy

Swap execution facilities

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

Prohibition regarding manipulation and false information

Assessment of money penalties

Rules prohibiting deceptive and other abusive telemarketing acts or practices

Notice of investigations and enforcement actions