| 1. | Short title. | |
| 1a. | Definitions. | |
| 1b. | Requirements of Secretary of the Treasury regarding exemption of foreign exchange swaps and foreign exchange forwards from definition of the term “swap”. | |
| 2. | Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce. | |
| 2a to 4a. | Transferred. | |
| 5. | Findings and purpose. | |
| 6. | Regulation of futures trading and foreign transactions. | |
| 6a. | Excessive speculation. | |
| 6b. | Contracts designed to defraud or mislead. | |
| 6b–1. | Enforcement authority. | |
| 6c. | Prohibited transactions. | |
| 6d. | Dealing by unregistered futures commission merchants or introducing brokers prohibited; duties in handling customer receipts; conflict-of-interest systems and procedures; Chief Compliance Officer; rules to avoid duplicative regulations; swap requirements; portfolio margining accounts. | |
| 6e. | Dealings by unregistered floor trader or broker prohibited. | |
| 6f. | Registration and financial requirements; risk assessment. | |
| 6g. | Reporting and recordkeeping. | |
| 6h. | False self-representation as registered entity member prohibited. | |
| 6i. | Reports of deals equal to or in excess of trading limits; books and records; cash and controlled transactions. | |
| 6j. | Restrictions on dual trading in security futures products on designated contract markets and registered derivatives transaction execution facilities. | |
| 6k | Registration of associates of futures commission merchants, commodity pool operators, and commodity trading advisors; required disclosure of disqualifications; exemptions for associated persons. | |
| 6l. | Commodity trading advisors and commodity pool operators; Congressional finding. | |
| 6m. | Use of mails or other means or instrumentalities of interstate commerce by commodity trading advisors and commodity pool operators; relation to other law. | |
| 6n. | Registration of commodity trading advisors and commodity pool operators; application; expiration and renewal; record keeping and reports; disclosure; statements of account. | |
| 6o. | Fraud and misrepresentation by commodity trading advisors, commodity pool operators, and associated persons. | |
| 6o –1. | Transferred. | |
| 6p. | Standards and examinations. | |
| 6q. | Special procedures to encourage and facilitate bona fide hedging by agricultural producers. | |
| 6r. | Reporting and recordkeeping for uncleared swaps. | |
| 6s. | Registration and regulation of swap dealers and major swap participants. | |
| 6t. | Large swap trader reporting. | |
| 7. | Designation of boards of trade as contract markets. | |
| 7a. | Repealed. | |
| 7a–1. | Derivatives clearing organizations. | |
| 7a–2. | Common provisions applicable to registered entities. | |
| 7a–3. | Repealed. | |
| 7b. | Suspension or revocation of designation as registered entity. | |
| 7b–1. | Designation of securities exchanges and associations as contract markets. | |
| 7b–2. | Privacy. | |
| 7b–3. | Swap execution facilities. | |
| 8. | Application for designation as contract market or derivatives transaction execution facility; time; suspension or revocation of designation; hearing; review by court of appeals. | |
| 9. | Prohibition regarding manipulation and false information. | |
| 9a. | Assessment of money penalties. | |
| 9b. | Rules prohibiting deceptive and other abusive telemarketing acts or practices. | |
| 9c. | Notice of investigations and enforcement actions. | |
| 10. | Repealed. | |
| 10a. | Cooperative associations and corporations, exclusion from board of trade; rules of board inapplicable to payment of compensation by association. | |
| 11. | Vacation on request of designation or registration as “registered entity”; redesignation or reregistration. | |
| 12. | Public disclosure. | |
| 12–1 to 12–3. | Omitted. | |
| 12a. | Registration of commodity dealers and associated persons; regulation of registered entities. | |
| 12b. | Trading ban violations; prohibition. | |
| 12c. | Disciplinary actions. | |
| 12d. | Commission action for noncompliance with export sales reporting requirements. | |
| 12e. | Repealed. | |
| 13. | Violations generally; punishment; costs of prosecution. | |
| 13–1. | Violations, prohibition against dealings in motion picture box office receipts or onion futures; punishment. | |
| 13a. | Nonenforcement of rules of government or other violations; cease and desist orders; fines and penalties; imprisonment; misdemeanor; separate offenses. | |
| 13a–1. | Enjoining or restraining violations. | |
| 13a–2. | Jurisdiction of States. | |
| 13b. | Manipulations or other violations; cease and desist orders against persons other than registered entities; punishment. | |
| 13c. | Responsibility as principal; minor violations. | |
| 14. | Repealed. | |
| 15 , 15a. | Omitted or Repealed. | |
| 15b. | Cotton futures contracts. | |
| 16. | Commission operations. | |
| 16a. | Service fees and National Futures Association study. | |
| 17. | Separability. | |
| 17a. | Separability of 1936 amendment. | |
| 17b. | Separability of 1968 amendment. | |
| 18. | Complaints against registered persons. | |
| 19. | Consideration of costs and benefits and antitrust laws. | |
| 20. | Market reports. | |
| 21. | Registered futures associations. | |
| 22. | Research and information programs; reports to Congress. | |
| 23. | Standardized contracts for certain commodities. | |
| 24. | Customer property with respect to commodity broker debtors; definitions. | |
| 24a. | Swap data repositories. | |
| 25. | Private rights of action. | |
| 26. | Commodity whistleblower incentives and protection. | |
| 27. | Definitions. | |
| 27a. | Exclusion of identified banking product. | |
| 27b. | Repealed. | |
| 27c. | Exclusion of certain other identified banking products. | |
| 27d. | Administration of the predominance test. | |
| 27e. | Repealed. | |
| 27f. | Contract enforcement. | |
