Rules & Regulations

(a) Each introducing broker must: (1) Open and carry each customer's account with a carrying futures commission merchant on a fully-disclosed basis: Provided, however, That ...

(a) Each futures commission merchant which carries a commodity futures or commodity option position for another futures commission merchant or for a foreign broker on ...

(a) Definitions. For purposes of this section: (1) Self-regulatory organization means “self-regulatory organization,” as defined in §1.3(ee), and includes the term “clearing organization,” as defined ...

(a) Every contract market shall submit to the Commission copies of the complaint, any dispositive or partially dispositive decision, any notice of appeal filed concerning ...

(a) Definitions. For purposes of this section: (1) Self-regulatory organization means a “self-regulatory organization” as defined in §1.3(ee), and includes a “clearing organization” as defined ...

(a) Definitions. For purposes of this section: (1) Self-regulatory organization means “self-regulatory organization” as defined in §1.3(ee), not including a “clearing organization” as defined in ...

(a) Notice and Disclosure to Customers. (1) Prior to transferring a customer account to another futures commission merchant or introducing broker other than at the ...

(a) Notwithstanding any other provision of law, if a contract market submits to the National Futures Association by April 26, 1993 a list of floor ...

(a) Definitions. For purposes of this section: Final disciplinary action means any decision by or settlement with a contract market or swap execution facility in ...

(a) Definitions. For purposes of this section: (1) Disciplinary committee means any person or committee of persons, or any subcommittee thereof, that is authorized by ...