§ 6i. Reports of deals equal to or in excess of trading limits; books and records; cash and controlled transactions
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/usc/title-7/section-6iA research copy — for the controlling text, always check the official state or federal source. Not legal advice.
It shall be unlawful for any person to make any contract for the purchase or sale of any commodity for future delivery on or subject to the rules of any contract market or derivatives transaction execution facility, or any significant price discovery contract traded or executed on an electronic trading facility or any agreement, contract, or transaction that is treated by a derivatives clearing organization, whether registered or not registered, as fungible with a significant price discovery contract—
(1)if such person shall directly or indirectly make such contracts with respect to any commodity or any future of such commodity during any one day in an amount equal to or in excess of such amount as shall be fixed from time to time by the Commission, and
(2)if such person shall directly or indirectly have or obtain a long or short position in any commodity or any future of such commodity equal to or in excess of such amount as shall be fixed from time to time by the Commission,
unless such person files or causes to be filed with the properly designated officer of the Commission such reports regarding any transactions or positions described in clauses
(1)and
(2)hereof as the Commission may by rule or regulation require and unless, in accordance with rules and regulations of the Commission, such person shall keep books and records of all such transactions and positions and transactions and positions in any such commodity traded on or subject to the rules of any other board of trade or electronic trading facility, and of cash or spot transactions in, and inventories and purchase and sale commitments of such commodity. Such books and records shall show complete details concerning all such transactions, positions, inventories, and commitments, including the names and addresses of all persons having any interest therein, and shall be open at all times to inspection by any representative of the Commission or the Department of Justice. For the purposes of this section, the futures and cash or spot transactions and positions of any person shall include such transactions and positions of any persons directly or indirectly controlled by such person.
(Sept. 21, 1922, ch. 369, § 4i, as added June 15, 1936, ch. 545, § 5, 49 Stat. 1496; amended Pub. L. 90–258, § 9, Feb. 19, 1968, 82 Stat. 28; Pub. L. 93–463, title I, § 103(a), (f), Oct. 23, 1974, 88 Stat. 1392; Pub. L. 97–444, title II, § 211, Jan. 11, 1983, 96 Stat. 2303; Pub. L. 106–554, § 1(a)(5) [title I, § 123(a)(9)], Dec. 21, 2000, 114 Stat. 2763, 2763A–407; Pub. L. 110–234, title XIII, § 13202(b), May 22, 2008, 122 Stat. 1439; Pub. L. 110–246, § 4(a), title XIII, § 13202(b), June 18, 2008, 122 Stat. 1664, 2201.)
Connections41 cite this · traces to 3
Cited by 41 sections
statutes-at-large
- Public Law 93–463To amend the Commodity Exchange Act to strengthen the regulation of futures trading, to bring all agricultural and other commodities traded on exchanges under regulation, and for other purposes
- Public Law 90–253
- Public Law 106–554Making consolidated appropriations for the fiscal year ending September 30, 2001, and for other purposes
- Public Law 110–234To provide for the continuation of agricultural programs through fiscal year 2012, and for other purposes
- Public Law 110–246To provide for the continuation of agricultural and other programs of the Department of Agriculture through fiscal year 2012, and for other purposes
- Public Law 97–444To extend the Commodity Exchange Act, and for other purposes.s Jan. 11, 1983 [[H
register
- Proposed RulesProposed rules
- Rules and RegulationsNotice; publication of existence and character of revised systems of records and proposed routine uses
- NoticesPublication of annual notice of the existence and character of each system of records that the Commodity Futures Trading Commission (“Commission”) maintains that contains information about individuals
- NoticesNotice of proposed rulemaking
- Rules and RegulationsFinal rule
- Rules and RegulationsProposed rules
- UnknownFinal rules
- Proposed RulesNotice of proposed rulemaking
- Rules and RegulationsFinal amendments
- Proposed RulesNotice of proposed rulemaking (“Notice”)
- NoticesSECURITIES AND EXCHANGE COMMISSION
- NoticesFinal rule
statute-compilations
bill
- Sec. 405Elimination of obsolete references to electronic trading facilities
- Sec. 410Elimination of obsolete references to derivative transaction execution facilities
- Sec. 405Elimination of obsolete references to electronic trading facilities
- Sec. 410Elimination of obsolete references to derivative transaction execution facilities
- Sec. 405Elimination of obsolete references to electronic trading facilities
- Sec. 410Elimination of obsolete references to derivative transaction execution facilities
- Sec. 405Elimination of obsolete references to electronic trading facilities
- Sec. 410Elimination of obsolete references to derivative transaction execution facilities
- Sec. 402Elimination of obsolete references to derivative transaction execution facilities
- Sec. 403Elimination of obsolete references to electronic trading facilities
- Sec. 405Elimination of obsolete references to electronic trading facilities
- Sec. 410Elimination of obsolete references to derivative transaction execution facilities
- Sec. 405Elimination of obsolete references to electronic trading facilities
- Sec. 410Elimination of obsolete references to derivative transaction execution facilities
- Sec. 405Elimination of obsolete references to electronic trading facilities
- Sec. 410Elimination of obsolete references to derivative transaction execution facilities
- Sec. 205Elimination of obsolete references to electronic trading facilities
- Sec. 210Elimination of obsolete references to derivative transaction execution facilities
- Sec. 205Elimination of obsolete references to electronic trading facilities
- Sec. 209Elimination of obsolete references to derivative transaction execution facilities
- Sec. 205Elimination of obsolete references to electronic trading facilities
- Sec. 209Elimination of obsolete references to derivative transaction execution facilities
29 references not yet in our index
- Sept. 21, 1922, ch. 369, § 4i
- June 15, 1936, ch. 545, § 5
- 49 Stat. 1496
- Pub. L. 90–258, § 9
- 82 Stat. 28
- Pub. L. 93–463, title I, § 103(a)
- 88 Stat. 1392
- Pub. L. 97–444, title II, § 211
- 96 Stat. 2303
- Pub. L. 106–554, § 1(a)(5) [title I, § 123(a)(9)]
- 114 Stat. 2763
- Pub. L. 110–234, title XIII, § 13202(b)
- 122 Stat. 1439
- Pub. L. 110–246, § 4(a)
- 122 Stat. 1664
- Pub. L. 110–234
- Pub. L. 110–246
- section 4(a) of Pub. L. 110–246
- Pub. L. 110–246, § 13202(b)
- Pub. L. 106–554
- Pub. L. 97–444
- Pub. L. 93–463
- Pub. L. 90–258
- section 4 of Pub. L. 110–246
- section 13202(b) of Pub. L. 110–246
- section 13204(a) of Pub. L. 110–246
- section 239 of Pub. L. 97–444
- section 418 of Pub. L. 93–463
- section 28 of Pub. L. 90–258
Citation graph
cites case law
§ 6i
Reports of deals equal to or in excess of trading limits; books and records; cash and controlled transactions
Bills×22
Fed. Reg.×12
Stat.×6
Stat. Comp.×1
ActSept. 21, 1922, ch. 369, § 4i
ActJune 15, 1936, ch. 545, § 5
Stat.49 Stat. 1496
Pub. L.Pub. L. 90–258, § 9
Stat.82 Stat. 28
Cites 32 · showing 8Cited by 41 across 4 sources