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17 CFR Part 1 Form
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People also ask
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Who regulates futures trading in the US?
The Commodity Futures Trading Commission is an independent U.S. government agency that regulates the U.S. derivatives markets, including futures, options, and swaps. -
Who is an eligible contract participant as defined in Section 1a 18 of the Commodity Exchange Act?
The term “Eligible Contract Participant” or “ECP” is defined in Section 1a(18) of the Commodity Exchange Act and related guidance. A key way for institutions to qualify is to have more than $10 million in total assets. This test focuses on gross assets, not net assets (assets minus liabilities). -
Does a state qualify as an eligible contract participant?
Governmental entities (including the US, a state or a foreign government). Brokers and dealers subject to regulation under the Securities Exchange Act of 1934 (Exchange Act) and similarly regulated foreign entities. -
What does 17 CFR stand for?
The Code of Federal Regulations Title 17 contains the codified Federal laws and regulations that are in effect as of the date of the publication pertaining to the financial markets / commodity futures and securities exchanges. -
Is futures trading legal in USA?
The Commodity Futures Modernization Act of 2000 (CFMA) legalized the offer and sale of FSFPs in the United States. The CFMA defined SFPs, including FSFPs, as “securities” under the federal securities laws2 and as futures contracts under the CEA, thus providing the SEC and the CFTC with joint jurisdiction over SFPs. -
Is futures trading allowed in USA?
The Commodity Futures Modernization Act of 2000 (CFMA) legalized the offer and sale of FSFPs in the United States. The CFMA defined SFPs, including FSFPs, as “securities” under the federal securities laws2 and as futures contracts under the CEA, thus providing the SEC and the CFTC with joint jurisdiction over SFPs. -
Who is an eligible contract participant within the meaning of the Commodity Exchange Act section 1a 18?
(18) Eligible contract participant The term “eligible contract participant” means— (A) acting for its own account— (i) a financial institution; (ii) an insurance company that is regulated by a State, or that is regulated by a foreign government and is subject to comparable regulation as determined by the Commission, ... -
Where can you trade futures in the US?
Best online brokers for futures Interactive Brokers. E*TRADE. Charles Schwab. tastytrade. TradeStation. -
What qualifies as an eligible contract participant?
Financial institutions, insurance companies, broker-dealers, and investors with more than $10 million in assets can become ECPs. The requirements are fewer if the main activity of the ECP is hedging: $5 million in assets if hedging investment risk and $1 million if hedging commercial risk. -
Do US stocks have futures?
Since there are futures on the indexes (S&P 500, Dow 30, NASDAQ 100, Russell 2000) that trade virtually 24 hours a day, we can watch the index futures to get a feel for market direction. -
Who is an eligible contract participant in commodity pool assets?
Understanding Eligible Contract Participants Government entities, broker-dealers, and commodity pools with more than $5 million of assets under management are sometimes eligible contract participants as well. ECPs are permitted to use margin after meeting certain requirements.
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