7 U.S.C. § 6e
Dealings by unregistered floor trader or broker prohibited
It shall be unlawful for any person to act as floor trader in executing purchases and sales, or as floor broker in executing any orders for the purchase or sale, of any commodity for future delivery, or involving any contracts of sale of any commodity for future delivery, on or subject to the rules of any contract market or derivatives transaction execution facility unless such person shall have registered, under this chapter, with the Commission as such floor trader or floor broker and such registration shall not have expired nor been suspended nor revoked.
Notes of Decisions
Cited in 17
cases, 1937–2015 · leading case: Commodity Futures Trading Comm'n v. Jack W. Savage, 611 F.2d 270 (9th Cir. 1980).
Commodity Futures Trading Comm'n v. Jack W. Savage, 611 F.2d 270 (9th Cir. 1980). “§ 6d (futures commission merchants); 7 U.S.C. § 6e (floor brokers); 7 U.S.C. § 6k (associates of futures commission merchants); and 7 U.”
Kelley v. Carr, 567 F. Supp. 831 (W.D. Mich. 1983). “7 U.S.C. § 6e(b) (Supp. V, 1975). The Act authorized the Commission “to make and promulgate such rules and regulations as, in the judgment of the Commission, are reasonably necessary to effectuate any of the provisions or to accomplish any of the purposes of this chapter.”
Dunn v. Commodity Futures Trading Comm'n, 519 U.S. 465 (1997). “” 7 U. S. C. § 6e(b). The regulations at issue here further make it unlawful “for any person directly or indirectly .”
Taylor v. Bear Stearns & Co., 572 F. Supp. 667 (N.D. Ga. 1983). “7 U.S.C. § 6e(a). These provisions are intended to prevent transactions that are reported as though they were at arm’s length and represented genuine supply-demand, but are in fact collusive and artificial; such transactions mislead market watchers as to the true volume of…”
JCC, Inc. v. Commodity Futures Trading Comm'n, 63 F.3d 1557 (11th Cir. 1995). “Kahn was also registered as a floor broker and as an associated person ("AP”) of JCC as required by 7 U.S.C. §§ 6e and 6k. The term “floor broker" is defined in the Commission's regulations to mean: any person who, in or surrounding any pit, ring, post or other place provided by…”
Craig J. Lacrosse, Petitioner, v. Commodity Futures Trading Comm'n, Respondent, 137 F.3d 925 (7th Cir. 1998). “§ 6b, and one misdemeanor violation of § 4e(a)(A) of the Act, 7 U.S.C. § 6e(a)(A). In June 1991, the United States District Court for the Northern District of Illinois sentenced LaCrosse to three years probation and over $9,000 in restitution and fines.”
Commodity Futures Trading Comm'n v. White Pine Trust Corp., 574 F.3d 1219 (9th Cir. 2009). “9(a) and (c), and one count of offer and sale of illegal off-exchange options contracts in violation of 7 U.S.C. § 6e(b) and 17 C.F.R. § 32.11 (a).”
Commodity Futures Trading Comm'n v. Sterling Trading Grp., Inc., 605 F. Supp. 2d 1245 (S.D. Fla. 2009). “” 7 U.S.C. § 6e(b). Section 32.11 was in effect prior to the enactment of the CFMA, which left section § 32.”
Commodity Futures Trading Comm'n v. J. S. Love & Assocs. Options, Ltd., 422 F. Supp. 652 (S.D.N.Y. 1976). “01 ( 17 C.F.R. § 30.01 , 40 Fed.Reg. 26504 (June 24, 1975)), promulgated pursuant to § 4c(b) of the 1974 Act which provides for the CFTC’s regulation of, inter alia, commodity options trading.”
Sec. & Exch. Comm'n v. Badian, 822 F. Supp. 2d 352 (S.D.N.Y. 2011). “7 U.S.C. § 6e(a) (proscribing the use of wash trades to manipulate commodities prices).”
Commodity Futures Trading v. Am. Bd. of Trade, Inc., 473 F. Supp. 1177 (S.D.N.Y. 1979). “9 *1180 Thus 7 U.S.C. § 6e(b) authorizes the Commission to promulgate regulations prohibiting options with respect to all commodities regulated under the Act other than those to which 7 U.”
John H. Ryan v. Commodity Futures Trading Comm'n, 145 F.3d 910 (7th Cir. 1998). “After a three-month jury trial, Ryan was convicted of 1) entering into a prearranged accommodation trade in violation of § 4c(a)(A) of the Act, 7 U.S.C. § 6e(a)(3)(A); 2) aiding and abetting another trader in offsetting orders in violation of § 4d(D) of the Act, 7 U.”
7 U.S.C. § 6e(a): 2 cases
Taylor v. Bear Stearns & Co., 572 F. Supp. 667 (N.D. Ga. 1983). “7 U.S.C. § 6e(a). These provisions are intended to prevent transactions that are reported as though they were at arm’s length and represented genuine supply-demand, but are in fact collusive and artificial; such transactions mislead market watchers as to the true volume of…”
Sec. & Exch. Comm'n v. Badian, 822 F. Supp. 2d 352 (S.D.N.Y. 2011). “7 U.S.C. § 6e(a) (proscribing the use of wash trades to manipulate commodities prices).”
7 U.S.C. § 6e(a)(3)(A): 1 case
John H. Ryan v. Commodity Futures Trading Comm'n, 145 F.3d 910 (7th Cir. 1998). “After a three-month jury trial, Ryan was convicted of 1) entering into a prearranged accommodation trade in violation of § 4c(a)(A) of the Act, 7 U.S.C. § 6e(a)(3)(A); 2) aiding and abetting another trader in offsetting orders in violation of § 4d(D) of the Act, 7 U.”
7 U.S.C. § 6e(a)(A): 1 case
Craig J. Lacrosse, Petitioner, v. Commodity Futures Trading Comm'n, Respondent, 137 F.3d 925 (7th Cir. 1998). “§ 6b, and one misdemeanor violation of § 4e(a)(A) of the Act, 7 U.S.C. § 6e(a)(A). In June 1991, the United States District Court for the Northern District of Illinois sentenced LaCrosse to three years probation and over $9,000 in restitution and fines.”
7 U.S.C. § 6e(b): 7 cases
Kelley v. Carr, 567 F. Supp. 831 (W.D. Mich. 1983). “7 U.S.C. § 6e(b) (Supp. V, 1975). The Act authorized the Commission “to make and promulgate such rules and regulations as, in the judgment of the Commission, are reasonably necessary to effectuate any of the provisions or to accomplish any of the purposes of this chapter.”
Dunn v. Commodity Futures Trading Comm'n, 519 U.S. 465 (1997). “” 7 U. S. C. § 6e(b). The regulations at issue here further make it unlawful “for any person directly or indirectly .”
Commodity Futures Trading Comm'n v. White Pine Trust Corp., 574 F.3d 1219 (9th Cir. 2009). “9(a) and (c), and one count of offer and sale of illegal off-exchange options contracts in violation of 7 U.S.C. § 6e(b) and 17 C.F.R. § 32.11 (a).”
Commodity Futures Trading Comm'n v. Sterling Trading Grp., Inc., 605 F. Supp. 2d 1245 (S.D. Fla. 2009). “” 7 U.S.C. § 6e(b). Section 32.11 was in effect prior to the enactment of the CFMA, which left section § 32.”
Commodity Futures Trading Comm'n v. J. S. Love & Assocs. Options, Ltd., 422 F. Supp. 652 (S.D.N.Y. 1976). “01 ( 17 C.F.R. § 30.01 , 40 Fed.Reg. 26504 (June 24, 1975)), promulgated pursuant to § 4c(b) of the 1974 Act which provides for the CFTC’s regulation of, inter alia, commodity options trading.”
7 U.S.C. § 6e(c): 1 case
United States v. Michael Burke AKA Eric Boone, 694 F.2d 632 (9th Cir. 1982).
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