CFTC Rules & Regulations

4.22   Reporting to pool participants.

[Title 17: Commodity and Securities Exchanges]

PART 1—GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT 

Miscellaneous 

1.49   Denomination of customer funds and location of depositories.

(a) Definitions. For purposes of this section:

(1) Money center country. This term means Canada, France, Italy, Germany, Japan, and the United Kingdom.

(2) Money center currency. This term means the currency of any money center country and the Euro.

[Title 17: Commodity and Securities Exchanges]

PART 1—GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT 

Customers' Money, Securities, and Property 

1.25   Investment of customer funds.

(a) Permitted investments. (1) Subject to the terms and conditions set forth in this section, a futures commission merchant or a derivatives clearing organization may invest customer money in the following instruments (permitted investments):

[Title 17: Commodity and Securities Exchanges]

PART 1—GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT 

Minimum Financial and Related Reporting Requirements 

1.17   Minimum financial requirements for futures commission merchants and introducing brokers.

Link to an amendment published at 75 FR 69282, Dec. 31, 2009.

1.15   Risk assessment reporting requirements for futures commission merchants.

1.14   Risk assessment recordkeeping requirements for futures commission merchants.

(a) Requirement to maintain and preserve information. (1) Each futures commission merchant registered with the Commission pursuant to Section 4d of the Act, unless exempt pursuant to paragraph (d) of this section, shall prepare, maintain and preserve the following information: