Recordkeeping

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Commodity Futures Trading Commission
  5. General Regulations Under the Commodity Exchange Act
  6. Recordkeeping

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Section
1.31

Regulatory records; retention and production.

Section
1.32

Reporting of segregated account computation and details regarding the holding of futures customer funds.

Section
1.33

Monthly and confirmation statements.

Section
1.34

Monthly record, “point balance”.

Section
1.35

Records of commodity interest and related cash or forward transactions.

Section
1.36

Record of securities and property received from customers.

Section
1.37

Customer's name, address, and occupation recorded; record of guarantor or controller of account.

Section
1.38

Execution of transactions.

Section
1.39

Simultaneous buying and selling orders of different principals; execution of, for and between principals.