C.F.R. » Title 17 » CHAPTER I—COMMODITY FUTURES TRADING COMMISSION › PART 170—REGISTERED FUTURES ASSOCIATIONS › Subpart A—Standards Governing Commission Review of Applications for Registration as a Futures Association Under Section 17 of the Act

17 C.F.R. § 170.5

Prevention of fraudulent and manipulative practices (section 17(b)(7) of the Act)

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A futures association must establish and maintain a program for the protection of customers and option customers, including the adoption of rules to protect customers and option customers and customer funds and to promote fair dealing with the public. These rules shall set forth the ethical standards for members of the association in their business dealings with the public. An applicant association must also demonstrate its capability to foster a professional atmosphere among its members, including an acceptance of an adherence to the ethical standards, and to monitor and enforce compliance with the customer and option customer protection program and rules.

(Secs. 2(a)(1), 4c(a)-(d), 4d, 4f, 4g, 4k, 4m, 4n, 8a, 15 and 17, Commodity Exchange Act (7 U.S.C. 2, 4, 6c(a)-(d), 6d, 6f, 6g, 6k, 6m, 6n, 12a, 19 and 21; 5 U.S.C. 552 and 552b)) [47 FR 57020, Dec. 22, 1982]
Notes of Decisions
Cited in 2 cases, 2001–2018 · leading case: Mbh Commodity Advisors, Inc. & Jacob Bernstein v. Commodity Futures Trading Comm'n, 250 F.3d 1052 (7th Cir. 2001).
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Mbh Commodity Advisors, Inc. & Jacob Bernstein v. Commodity Futures Trading Comm'n, 250 F.3d 1052 (7th Cir. 2001). “§ 21 (p)(3); 17 C.F.R. § 170.5 . In addition, these rules *1057 must be “designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, in general, to protect the public interest, and to remove impediments to and perfect…”
Troyer v. Nat'l Futures Ass'n, 290 F. Supp. 3d 874 (N.D. Ind. 2018). “§ 21 (p)(3) ; 17 C.F.R. § 170.5 ). "In addition, these rules must be 'designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, in general, to protect the public interest, and to remove impediments to and perfect the…”
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