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1 headnote for commission merchants

- Commission merchants

More than 10.000 documents for commission merchants

- 17 CFR 17.00 - Information to be furnished by futures commission merchants, clearing members and foreign brokers.
- Code of Federal Regulations - Title 17: Commodity and Securities Exchanges
- 17 CFR 1.17 - Minimum financial requirements for futures commission merchants and introducing brokers.
- Code of Federal Regulations - Title 17: Commodity and Securities Exchanges
- Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants
The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to implement certain provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd- Frank Act). These regulations set forth reporting and recordkeeping requirements and daily trading records requirements for swap dealers (SDs) and major swap participants (MSPs). These regulations also set forth certain duties imposed upon SDs and MSPs registered with the Commission with regard to: Risk management procedures; monitoring of trading to prevent violations of applicable position limits; diligent supervision; business continuity and disaster recovery; disclosure and the ability of regulators to obtain general information; and antitrust considerations. In addition, these regul...
- Federal Register Nbr. 77 FR 20128, April 03, 2012
- Rules and Regulations
- Commodity Futures Trading Commission

- 17 CFR 1.10 - Financial reports of futures commission merchants and introducing brokers.
- Code of Federal Regulations - Title 17: Commodity and Securities Exchanges
- 31 CFR 103.123 - Customer identification programs for futures commission merchants and introducing brokers.
- Code of Federal Regulations - Title 31: Money and Finance: Treasury
- 17 CFR 1.15 - Risk assessment reporting requirements for futures commission merchants.
- Code of Federal Regulations - Title 17: Commodity and Securities Exchanges
- 17 CFR 1.14 - Risk assessment recordkeeping requirements for futures commission merchants.
- Code of Federal Regulations - Title 17: Commodity and Securities Exchanges
- 17 CFR 3.12 - Registration of associated persons of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators and leverage transaction merchants.
- Code of Federal Regulations - Title 17: Commodity and Securities Exchanges
- 17 CFR 1.55 - Distribution of “Risk Disclosure Statement” by futures commission merchants and introducing brokers.
- Code of Federal Regulations - Title 17: Commodity and Securities Exchanges
- 17 CFR 1.12 - Maintenance of minimum financial requirements by futures commission merchants and introducing brokers.
- Code of Federal Regulations - Title 17: Commodity and Securities Exchanges