Users of Regulation D (§§230.500 et seq.) should note the following: (a) Regulation D relates to transactions exempted from the registration requirements of section 5 ...
If a registration statement is prepared on a form available solely to investment companies registered under the Investment Company Act of 1940, or a business ...
This chapter may be cited as the “Commodity Exchange Act.” Prior Provisions This chapter superseded act Aug. 24, 1921, ch. 86, 42 Stat. 187, known ...
As used in this chapter: (1) Alternative trading system The term “alternative trading system” means an organization, association, or group of persons that— (A) is ...
(a) Required considerations In determining whether to exempt foreign exchange swaps and foreign exchange forwards from the definition of the term “swap”, the Secretary of ...
Section 2. Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures...
(a) Jurisdiction of Commission; Commodity Futures Trading Commission (1) Jurisdiction of Commission (A) In general The Commission shall have exclusive jurisdiction, except to the extent ...
Codification Section 2a, act Sept. 21, 1922, ch. 369, §2(a)(1)(C), formerly §2(a)(1)(B), as added Pub. L. 97–444, title I, §101(a)(3), Jan. 11, 1983, 96 Stat. ...
(a) Findings The transactions subject to this chapter are entered into regularly in interstate and international commerce and are affected with a national public interest ...
(a) Restriction on futures trading Unless exempted by the Commission pursuant to subsection (c) or by subsection (e), it shall be unlawful for any person ...
(a) Burden on interstate commerce; trading or position limits (1) In general Excessive speculation in any commodity under contracts of sale of such commodity for ...