Title 17

PART 41 Part 41 - Security Futures Products

PART 41 - SECURITY FUTURES PRODUCTS Authority:Sections 206, 251 and 252, Pub. L. 106-554, 114 Stat. 2763, 7 U.S.C. 1a, 2, 6f, 6j, 7a-2, 12a; 15 U.S.C. 78g(c)(2). Source:66 FR 44511, Aug. 23, 2001, unless otherwise noted.

Authority: Sections 206, 251 and 252, Pub. L. 106-554, 114 Stat. 2763, 7 U.S.C. 1a, 2, 6f, 6j, 7a-2, 12a; 15 U.S.C. 78g(c)(2).
Source: 66 FR 44511, Aug. 23, 2001, unless otherwise noted.

17:2.0.1.1.1.1	SUBPART A	Subpart A - General Provisions
17:2.0.1.1.1.1.1.1	SECTION 41.1	41.1 Definitions.
17:2.0.1.1.1.1.1.2	SECTION 41.2	41.2 Required records.
17:2.0.1.1.1.1.1.3	SECTION 41.3	41.3 Application for an exemptive order pursuant to section 4f(a)(4)(B) of the Act.
17:2.0.1.1.1.1.1.4	SECTION 41.4-41.9	41.4-41.9 [Reserved]
17:2.0.1.1.1.2	SUBPART B	Subpart B - Narrow-Based Security Indexes
17:2.0.1.1.1.2.1.1	SECTION 41.11	41.11 Method for determining market capitalization and dollar value of average daily trading volume; application of the definition of narrow-based security index.
17:2.0.1.1.1.2.1.2	SECTION 41.12	41.12 Indexes underlying futures contracts trading for fewer than 30 days.
17:2.0.1.1.1.2.1.3	SECTION 41.13	41.13 Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade.
17:2.0.1.1.1.2.1.4	SECTION 41.14	41.14 Transition period for indexes that cease being narrow-based security indexes.
17:2.0.1.1.1.2.1.5	SECTION 41.15	41.15 Exclusion from definition of narrow-based security index for indexes composed of debt securities.
17:2.0.1.1.1.3	SUBPART C	Subpart C - Requirements and Standards for Listing Security Futures Products
17:2.0.1.1.1.3.1.1	SECTION 41.21	41.21 Requirements for underlying securities.
17:2.0.1.1.1.3.1.2	SECTION 41.22	41.22 Required certifications.
17:2.0.1.1.1.3.1.3	SECTION 41.23	41.23 Listing of security futures products for trading.
17:2.0.1.1.1.3.1.4	SECTION 41.24	41.24 Rule amendments to security futures products.
17:2.0.1.1.1.3.1.5	SECTION 41.25	41.25 Additional conditions for trading for security futures products.
17:2.0.1.1.1.3.1.6	SECTION 41.27	41.27 Prohibition of dual trading in security futures products by floor brokers.
17:2.0.1.1.1.3.1.7.1	APPENDIX Appendix A	Appendix A to Subpart C of Part 41 - Guidance on and Acceptable Practices for Position Limits and Position Accountability for Security Futures Products
17:2.0.1.1.1.4	SUBPART D	Subpart D - Notice-Designated Contract Markets in Security Futures Products
17:2.0.1.1.1.4.1.1	SECTION 41.31	41.31 Notice-designation requirements.
17:2.0.1.1.1.4.1.2	SECTION 41.32	41.32 Continuing obligations.
17:2.0.1.1.1.4.1.3	SECTION 41.33	41.33 Applications for exemptive orders.
17:2.0.1.1.1.4.1.4	SECTION 41.34	41.34 Exempt Provisions.
17:2.0.1.1.1.5	SUBPART E	Subpart E - Customer Accounts and Margin Requirements
17:2.0.1.1.1.5.1.1	SECTION 41.41	41.41 Security futures products accounts.
17:2.0.1.1.1.5.1.2	SECTION 41.42	41.42 Customer margin requirements for security futures - authority, purpose, interpretation, and scope.
17:2.0.1.1.1.5.1.3	SECTION 41.43	41.43 Definitions.
17:2.0.1.1.1.5.1.4	SECTION 41.44	41.44 General provisions.
17:2.0.1.1.1.5.1.5	SECTION 41.45	41.45 Required margin.
17:2.0.1.1.1.5.1.6	SECTION 41.46	41.46 Type, form and use of margin.
17:2.0.1.1.1.5.1.7	SECTION 41.47	41.47 Withdrawal of margin.
17:2.0.1.1.1.5.1.8	SECTION 41.48	41.48 Undermargined accounts.
17:2.0.1.1.1.5.1.9	SECTION 41.49	41.49 Filing proposed margin rule changes with the Commission.