Statute Compilations

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

FINDINGS AND PURPOSE

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

CONTRACTS DESIGNED TO DEFRAUD OR MISLEAD

**[**RESTRICTION OF FUTURES TRADING TO CONTRACT MARKETS OR DERIVATIVES TRANSACTION EXECUTION FACILITIES**]**

**[**FRAUD AND MISREPRESENTATION BY COMMODITY TRADING ADVISORS, COMMODITY POOL OPERATORS, AND ASSOCIATED PERSONS**]**

LARGE SWAP TRADER REPORTING

**[**REGISTRATION OF ASSOCIATES OF FUTURES COMMISSION MERCHANTS, COMMODITY POOL OPERATORS, AND COMMODITY TRADING ADVISORS**]**

**[**REQUIRED REGISTRATION OF FLOOR TRADERS AND FLOOR BROKERS**]**

**[**REGISTRATION OF FUTURES COMMISSION MERCHANTS, INTRODUCING BROKERS, AND FLOOR BROKERS**]**

**[**FALSE SELF-REPRESENTATION AS REGISTERED ENTITY MEMBER PROHIBITED**]**

**[**REGISTRATION OF COMMODITY TRADING ADVISORS AND COMMODITY POOL OPERATORS**]**

**[**STANDARDS AND EXAMINATIONS**]**

**[**REPORTS OF DEALS EQUAL TO OR IN EXCESS OF TRADING LIMITS**]**

**[**USE OF MAILS OR OTHER MEANS OR INSTRUMENTALITIES OF INTERSTATE COMMERCE BY COMMODITY TRADING ADVISORS AND COMMODITY POOL OPERATORS**]**

RESTRICTIONS ON DUAL TRADING IN SECURITY FUTURES PRODUCTS ON DESIGNATED CONTRACT MARKETS AND REGISTERED DERIVATIVES TRANSACTION EXECUTION FACILITIES

PROHIBITED TRANSACTIONS

**[**DEALING BY UNREGISTERED FUTURES COMMISSION MERCHANTS OR INTRODUCING MERCHANTS PROHIBITED**]**

**[**REPORTING AND RECORDKEEPING**]**

**[**COMMODITY TRADING ADVISORS AND COMMODITY POOL OPERATORS**]**

**[**EXCESSIVE SPECULATION AS BURDEN ON INTERSTATE COMMERCE**]**

SUSPENSION OR REVOCATION OF DESIGNATION AS REGISTERED ENTITY

SWAP EXECUTION FACILITIES

DERIVATIVES CLEARING ORGANIZATIONS

DESIGNATION OF SECURITIES EXCHANGES AND ASSOCIATIONS AS CONTRACT MARKETS

PRIVACY

COMMON PROVISIONS APPLICABLE TO REGISTERED ENTITIES

DESIGNATION OF BOARDS OF TRADE AS CONTRACT MARKETS

**[**APPLICATION FOR DESIGNATION AS CONTRACT MARKET OR DERIVATIVES TRANSACTION EXECUTION FACILITY**]**

**[**JURISDICTION OF STATES**]**

**[**ACTION TO ENJOIN OR RESTRAIN VIOLATIONS**]**

**[**NONENFORCEMENT OF RULES OF GOVERNMENT OR OTHER VIOLATIONS**]**

**[**COOPERATIVE ASSOCIATIONS AND CORPORATIONS, EXCLUSION FROM BOARD OF TRADE**]**

**[**VACATION OF REQUEST OF DESIGNATION AS REGISTERED ENTITY**]**

**[**REGISTRATION OF COMMODITY DEALERS AND ASSOCIATED PERSONS**]**

**[**PUBLIC DISCLOSURE**]**

**[**TRADING BAN VIOLATIONS**]**

**[**DISCIPLINARY ACTIONS**]**

**[**COMMISSION ACTION FOR NON-COMPLIANCE WITH EXPORT SALES REPORTING REQUIREMENTS**]**

**[**VIOLATIONS GENERALLY**]**

**[**SEPARABILITY OF PROVISIONS**]**

**[**COMMISSION OPERATIONS**]**

**[**RESPONSIBILITY OF PRINCIPAL**]**

**[**COMPLAINTS AGAINST REGISTERED PERSONS**]**

CONSIDERATION OF COSTS AND BENEFITS AND ANTITRUST LAWS

**[**MARKET REPORTS**]**

**[**REGISTERED FUTURES ASSOCIATIONS**]**

**[**RESEARCH AND INFORMATION PROGRAMS**]**

**[**STANDARDIZED CONTRACTS FOR CERTAIN COMMODITIES PROHIBITED**]**

**[**REGULATIONS RESPECTING COMMODITY BROKER DEBTORS**]**

SWAP DATA REPOSITORIES

**[**PRIVATE RIGHTS OF ACTION**]**

COMMODITY WHISTLEBLOWER INCENTIVES AND PROTECTION