Recordkeeping

Sections

• 1.31
  § 1.31 Regulatory records; retention and production.
• 1.32
  § 1.32 Reporting of segregated account computation and details regarding the holding of futures customer funds.
• 1.33
  § 1.33 Monthly and confirmation statements.
• 1.34
  § 1.34 Monthly record, “point balance”.
• 1.35
  § 1.35 Records of commodity interest and related cash or forward transactions.
• 1.36
  § 1.36 Record of securities and property received from customers.
• 1.37
  § 1.37 Customer's name, address, and occupation recorded; record of guarantor or controller of account.
• 1.38
  § 1.38 Execution of transactions.
• 1.39
  § 1.39 Simultaneous buying and selling orders of different principals; execution of, for and between principals.