CEA Sections and CFTC Rules

• CFTC Rules 1.20 to 1.30 (Customer property) CFTC Rule 1.20 (Segregation)
  CFTC Rule 1.21 (Care of customer money)
  CFTC Rule 1.22 (Use of customer funds)
  CFTC Rule 1.23 (FCM residual interest)
  CFTC Rule 1.24 (Segregated funds; exclusions)
  CFTC Rule 1.25 (Investment of customer funds)
  CFTC Rule 1.26 (Deposit of instruments)
  CFTC Rule 1.27 (Record of investments)
  CFTC Rule 1.28 (Appraisal)
  CFTC Rule 1.29 (Gains and losses)
  CFTC Rule 1.30 (Loans by FCMs)
  CFTC Rule 1.32 (Reporting of segregated amount computations)

• CFTC Rule 1.49 (Denomination of customer funds)
• CFTC Rule 1.57 (Account handling)
• CFTC Rule 1.65 (Bulk transfers)
• CFTC Rule 4.20 (Handling of customer funds)
• CFTC Rule 5.23 (Bulk transfers)
• CFTC Rule 5.8 (Retail forex)
• CFTC Rules Part 22 (Cleared swaps collateral) CFTC Rule 22.2 (Treatment by FCMs)
  CFTC Rule 22.3 (Treatment by DCOs)
  CFTC Rule 22.4 (Permitted depositories)
  CFTC Rule 22.5 (Written acknowledgment)
  CFTC Rule 22.6 (Cleared swaps customer accounts)
  CFTC Rule 22.7 (Permitted depositories)
  CFTC Rule 22.8 (Cleared swaps customer accounts)
  CFTC Rule 22.9 (Cleared swaps customer collateral)
  CFTC Rule 22.12 (Cleared swaps customer collateral)
  CFTC Rule 22.13 (Additions to customer collateral)
  CFTC Rule 22.14 (FCM failure to meet margin call)
  CFTC Rule 22.15 (Treatment of customer collateral)
  CFTC Rule 22.16 (Disclosures)
  CFTC Rule 22.17 (Disbursements)
• CFTC Rules 23.100 to 23.199: Subpart E (Margin requirements for swap dealers)
• CFTC Rule 23.157 (Custodial arrangements)
• CFTC Rules 23.700 to 23.704: Subpart L (Segregation of margin for uncleared swaps) CFTC Rule 23.701 (Right to segregation)
  CFTC Rule 23.703 (Investment of segregated margin)
  CFTC Rule 23.704 (Non-segregated margin)
• CFTC Rules Part 30 (Foreign futures and options) CFTC Rule 30.1 (Definitions)
  CFTC Rule 30.7 (Foreign futures/option secured amount)
  Appendix B to CFTC Rules Part 30 (Secured amount requirement)
  Appendix E to CFTC Rules Part 30 (Secured amount acknowledgment)
  Appendix F to CFTC Rules Part 30 (Acknowledgment letter)
• CFTC Rules: 31.7 | 31.12 (LTM segregation)
• CFTC Rule 31.18 (LTM margin calls)
• CFTC Rule 31.23 (Right to rescind)
• CFTC Rule 31.28 (SRO requirements)
• CFTC Rules Part 166 (Customer protection rules)
  • CFTC Rule 166.1 (Definitions)
  • CFTC Rule 166.2 (Authorization to trade)
• CFTC Rule 170.5 (Fraud prevention)

NFA Financial Requirements

• Section 4 (Treatment of customer property)
• Section 14 (Assets to liabilities of retail FX)
• Section 16 (Collateral disbursements)

NFA Compliance Rules

• Rule 2-27 (Transfer of customer accounts)
• Rule 2-33 (Omnibus accounts)
• Rule 2-40 (Bulk assignment of forex positions)