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Federal law — U.S. Code and appendices · legal_authorities
This chapter may be cited as the “Commodity Exchange Act.”
Source: Supplied U.S. Code snapshot — release unconfirmed · 7 U.S.C. § 1
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Source file: Laws/federal/codes/united-states-code/title-7/section-1-short-title--12d97c1d07.md
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Source location: Title 7, Chapter 1, § 1; chapter-001-commodity-exchanges.md
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Federal law — U.S. Code and appendices · legal_authorities
### Statutory Notes Section, act Sept. 21, 1922, ch. 369, § 11, 42 Stat. 1003, provided that violations of this chapter occurring before Nov. 1, 1922, should not be punishable.
Source: Supplied U.S. Code snapshot — release unconfirmed · 7 U.S.C. § 14
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Jurisdiction of Commission; Commodity Futures Trading Commission** (1) **Jurisdiction of Commission** (A) *In general* — The Commission shall have exclusive jurisdiction, except to the extent otherwise provided in the Wall Street Transparency and Accountability Act of 2010 (including an amendment made by that Act) and subparagraphs (C), (D), and (I) of this paragraph and subsections (c) and (f), with respect to accounts, agreements (including any transaction which is of the character of, or is commonly known to the trade as, an “option”, “privilege”, “indemnity”, “bid”, “offer”, “put”, “call”, “advance guaranty”, or “decline guaranty”), and transactions involving swaps or contracts of sale of a commodity for future delivery (including significant price discovery contracts), traded or executed on a contract market designated pursuant to [section 7 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title7-section7&num=0&edition=prelim) or a swap execution facility pursuant to [section 7b–3 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title7-section7b-3&num=0&edition=prelim) or any other board of trade, exchange, or market, and transactions subject to regulation by the Commission pursuant to [section 23 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title7-section23&num=0&edition=prelim). Except as hereinabove provided, nothing contained in this section shall (I) supersede or limit the jurisdiction at any time conferred on the Securities and Exchange Commission or other regulatory authorities under the laws of the United States or of any State, or (II) restrict the Securities and Exchange Commission and such other authorities from carrying out their duties and responsibilities in
Source: Supplied U.S. Code snapshot — release unconfirmed · 7 U.S.C. § 2
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Federal law — U.S. Code and appendices · legal_authorities
### Statutory Notes Section, Pub. L. 93–463, title II, § 217, Oct. 23, 1974, 88 Stat. 1405, related to leverage contracts for gold and silver. See [section 23(b) of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title7-section23/b&num=0&edition=prelim). #### Effective Date of Repeal Repeal effective Oct. 1, 1978, see section 28 of Pub. L. 95–405, set out as an Effective Date of 1978 Amendment note under [section 2 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title7-section2&num=0&edition=prelim).
Source: Supplied U.S. Code snapshot — release unconfirmed · 7 U.S.C. § 15a
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Federal law — U.S. Code and appendices · legal_authorities
As used in this chapter— (1) “agency of the United States” means any executive department as defined in [section 101 of title 5](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title5-section101&num=0&edition=prelim), United States Code, a military department as defined in [section 102 of title 5](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title5-section102&num=0&edition=prelim), United States Code, the Nuclear Regulatory Commission, the Board of Governors of the Federal Reserve System, the China Trade Act registrar appointed under 53 Stat. 1432 (15 U.S.C. sec. 143), the Commodity Futures Trading Commission, the Federal Communications Commission, the Federal Deposit Insurance Corporation, the Federal Maritime Commission, the Federal Power Commission, the Federal Trade Commission, the Surface Transportation Board, the National Labor Relations Board, the National Transportation Safety Board, the Railroad Retirement Board, an arbitration board established under 48 Stat. 1193 (45 U.S.C. sec. 157), the Securities and Exchange Commission, or a board established under 49 Stat. 31 (15 U.S.C. sec. 715d); (2) “other information” includes any book, paper, document, record, recording, or other material; (3) “proceeding before an agency of the United States” means any proceeding before such an agency with respect to which it is authorized to issue subpenas and to take testimony or receive other information from witnesses under oath; and (4) “court of the United States” means any of the following courts: the Supreme Court of the United States, a United States court of appeals, a United States district court established under chapter 5, title 28, United States Code, a United States bankruptcy court established under chapter 6, title 28, United States
Source: Supplied U.S. Code snapshot — release unconfirmed · 18 U.S.C. § 6001
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Definitions** When used in this chapter, unless the context otherwise requires— (1) The term “exchange” means any organization, association, or group of persons, whether incorporated or unincorporated, which constitutes, maintains, or provides a market place or facilities for bringing together purchasers and sellers of securities or for otherwise performing with respect to securities the functions commonly performed by a stock exchange as that term is generally understood, and includes the market place and the market facilities maintained by such exchange. (2) The term “facility” when used with respect to an exchange includes its premises, tangible or intangible property whether on the premises or not, any right to the use of such premises or property or any service thereof for the purpose of effecting or reporting a transaction on an exchange (including, among other things, any system of communication to or from the exchange, by ticker or otherwise, maintained by or with the consent of the exchange), and any right of the exchange to the use of any property or service. (3) (A) The term “member” when used with respect to a national securities exchange means (i) any natural person permitted to effect transactions on the floor of the exchange without the services of another person acting as broker, (ii) any registered broker or dealer with which such a natural person is associated, (iii) any registered broker or dealer permitted to designate as a representative such a natural person, and (iv) any other registered broker or dealer which agrees to be regulated by such exchange and with respect to which the exchange undertakes to enforce compliance with the provisions of this chapter, the rules and regulations thereunder, and its own rules. For purposes of section
Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 78c
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Registration** (1) **Swap dealers** — It shall be unlawful for any person to act as a swap dealer unless the person is registered as a swap dealer with the Commission. (2) **Major swap participants** — It shall be unlawful for any person to act as a major swap participant unless the person is registered as a major swap participant with the Commission. **(b) Requirements** (1) **In general** — A person shall register as a swap dealer or major swap participant by filing a registration application with the Commission. (2) **Contents** (A) *In general* — The application shall be made in such form and manner as prescribed by the Commission, and shall contain such information, as the Commission considers necessary concerning the business in which the applicant is or will be engaged. (B) *Continual reporting* — A person that is registered as a swap dealer or major swap participant shall continue to submit to the Commission reports that contain such information pertaining to the business of the person as the Commission may require. (3) **Expiration** — Each registration under this section shall expire at such time as the Commission may prescribe by rule or regulation. (4) **Rules** — Except as provided in subsections (d) and (e), the Commission may prescribe rules applicable to swap dealers and major swap participants, including rules that limit the activities of swap dealers and major swap participants. (5) **Transition** — Rules under this section shall provide for the registration of swap dealers and major swap participants not later than 1 year after July 21, 2010. (6) **Statutory disqualification** — Except to the extent otherwise specifically provided by rule, regulation, or order, it shall be unlawful for a swap dealer or a major swap participant to
Source: Supplied U.S. Code snapshot — release unconfirmed · 7 U.S.C. § 6s
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Definitions** In this section: (1) **Agricultural commodity** — The term “agricultural commodity” has the meaning given the term in [section 5602 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title7-section5602&num=0&edition=prelim). (2) **Geographically disadvantaged farmer or rancher** — The term “geographically disadvantaged farmer or rancher” has the meaning given the term in section 10906(a) of the Farm Security and Rural Investment Act of 2002 ([7 U.S.C. 2204](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title7-section2204&num=0&edition=prelim) note; Public Law 107–171). **(b) Authorization** Subject to the availability of funds under subsection (d), the Secretary may provide geographically disadvantaged farmers or ranchers direct reimbursement payments for activities described in subsection (c). **(c) Transportation** (1) **In general** — Subject to paragraphs (2) and (3), the Secretary may provide direct reimbursement payments to a geographically disadvantaged farmer or rancher to transport an agricultural commodity, or inputs used to produce an agricultural commodity, during a fiscal year. (2) **Proof of eligibility** — To be eligible to receive assistance under paragraph (1), a geographically disadvantaged farmer or rancher shall demonstrate to the Secretary that transportation of the agricultural commodity or inputs occurred over a distance of more than 30 miles, as determined by the Secretary. (3) **Amount** (A) *In general* — Subject to paragraph (2), the amount of direct reimbursement payments made to a geographically disadvantaged farmer or rancher under this section for a fiscal year shall equal the product obtained by multiplying— (i) the amount of costs incurred by the geographically di
Source: Supplied U.S. Code snapshot — release unconfirmed · 7 U.S.C. § 8701
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Federal law — U.S. Code and appendices · legal_authorities
The Secretary of Agriculture may establish a program to train farmers and ranchers in advanced techniques for the marketing of agricultural commodities, livestock, and aquacultural products produced by such farmers and ranchers, including (where appropriate as determined by the Secretary) training in the use of futures and options markets.
Source: Supplied U.S. Code snapshot — release unconfirmed · 7 U.S.C. § 2271a
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Definitions** In this section: (1) **Covered judicial or administrative action** — The term “covered judicial or administrative action” means any judicial or administrative action brought by the Commission under this chapter that results in monetary sanctions exceeding $1,000,000. (2) **Fund** — The term “Fund” means the Commodity Futures Trading Commission Customer Protection Fund established under subsection (g). (3) **Monetary sanctions** — The term “monetary sanctions”, when used with respect to any judicial or administrative action means— (A) any monies, including penalties, disgorgement, restitution, and interest ordered to be paid; and (B) any monies deposited into a disgorgement fund or other fund pursuant to [section 7246(b) of title 15](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section7246/b&num=0&edition=prelim), as a result of such action or any settlement of such action. (4) **Original information** — The term “original information” means information that— (A) is derived from the independent knowledge or analysis of a whistleblower; (B) is not known to the Commission from any other source, unless the whistleblower is the original source of the information; and (C) is not exclusively derived from an allegation made in a judicial or administrative hearing, in a governmental report, hearing, audit, or investigation, or from the news media, unless the whistleblower is a source of the information. (5) **Related action** — The term “related action”, when used with respect to any judicial or administrative action brought by the Commission under this chapter, means any judicial or administrative action brought by an entity described in subclauses (I) through (VI) of subsection (h)(2)(C) that is based upon the ori
Source: Supplied U.S. Code snapshot — release unconfirmed · 7 U.S.C. § 26
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Cooperation with other agencies** The Commission may cooperate with any Department or agency of the Government, any State, territory, district, or possession, or department, agency, or political subdivision thereof, any foreign futures authority, any department or agency of a foreign government or political subdivision thereof, or any person. **(b) Employment of investigators, experts, Administrative Law Judges, consultants, clerks, and other personnel; contracts** (1) The Commission shall have the authority to employ such investigators, special experts, Administrative Law Judges, clerks, and other employees as it may from time to time find necessary for the proper performance of its duties and as may be from time to time appropriated for by Congress. (2) The Commission may employ experts and consultants in accordance with [section 3109 of title 5](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title5-section3109&num=0&edition=prelim), and compensate such persons at rates not in excess of the maximum daily rate prescribed for GS–18 under [section 5332 of title 5](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title5-section5332&num=0&edition=prelim). (3) The Commission shall also have authority to make and enter into contracts with respect to all matters which in the judgment of the Commission are necessary and appropriate to effectuate the purposes and provisions of this chapter, including, but not limited to, the rental of necessary space at the seat of Government and elsewhere. (4) The Commission may request (in accordance with the procedures set forth in subchapter II of chapter 31 of title 5) and the Office of Personnel Management shall authorize pursuant to the request, eight positions in the Senior Executive Service in addit
Source: Supplied U.S. Code snapshot — release unconfirmed · 7 U.S.C. § 16
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