Title 31

PART 1026

Part 1026 - Rules For Futures Commission Merchants And Introducing Brokers In Commodities

PART 1026 - RULES FOR FUTURES COMMISSION MERCHANTS AND INTRODUCING BROKERS IN COMMODITIES Authority:12 U.S.C. 1829b and 1951-1959; 31 U.S.C. 5311-5314 and 5316-5332; title III, sec. 314, Pub. L. 107-56, 115 Stat. 307; sec. 701, Pub. L. 114-74, 129 Stat. 599. Source:75 FR 65812, Oct. 26, 2010, unless otherwise noted.

• Authority: 12 U.S.C. 1829b and 1951-1959; 31 U.S.C. 5311-5314 and 5316-5332; title III, sec. 314, Pub. L. 107-56, 115 Stat. 307; sec. 701, Pub. L. 114-74, 129 Stat. 599.
• Source: 75 FR 65812, Oct. 26, 2010, unless otherwise noted.

31:3.1.6.1.10.1	SUBPART A	Subpart A - Definitions
31:3.1.6.1.10.1.5.1	SECTION 1026.100	1026.100 Definitions.
31:3.1.6.1.10.2	SUBPART B	Subpart B - Programs
31:3.1.6.1.10.2.5.1	SECTION 1026.200	1026.200 General.
31:3.1.6.1.10.2.5.2	SECTION 1026.210	1026.210 Anti-money laundering program requirements for futures commission merchants and introducing brokers in commodities.
31:3.1.6.1.10.2.5.3	SECTION 1026.220	1026.220 Customer identification programs for futures commission merchants and introducing brokers.
31:3.1.6.1.10.3	SUBPART C	Subpart C - Reports Required To Be Made by Futures Commission Merchants and Introducing Brokers in Commodities
31:3.1.6.1.10.3.5.1	SECTION 1026.300	1026.300 General.
31:3.1.6.1.10.3.5.2	SECTION 1026.310	1026.310 Reports of transactions in currency.
31:3.1.6.1.10.3.5.3	SECTION 1026.311	1026.311 Filing obligations.
31:3.1.6.1.10.3.5.4	SECTION 1026.312	1026.312 Identification required.
31:3.1.6.1.10.3.5.5	SECTION 1026.313	1026.313 Aggregation.
31:3.1.6.1.10.3.5.6	SECTION 1026.314	1026.314 Structured transactions.
31:3.1.6.1.10.3.5.7	SECTION 1026.315	1026.315 Exemptions.
31:3.1.6.1.10.3.5.8	SECTION 1026.320	1026.320 Reports by futures commission merchants and introducing brokers in commodities of suspicious transactions.
31:3.1.6.1.10.4	SUBPART D	Subpart D - Records Required To Be Maintained By Futures Commission Merchants and Introducing Brokers in Commodities
31:3.1.6.1.10.4.5.1	SECTION 1026.400	1026.400 General.
31:3.1.6.1.10.4.5.2	SECTION 1026.410	1026.410 Recordkeeping.
31:3.1.6.1.10.5	SUBPART E	Subpart E - Special Information Sharing Procedures To Deter Money Laundering and Terrorist Activity
31:3.1.6.1.10.5.5.1	SECTION 1026.500	1026.500 General.
31:3.1.6.1.10.5.5.2	SECTION 1026.520	1026.520 Special information sharing procedures to deter money laundering and terrorist activity for futures commission merchants and introducing brokers in commodities.
31:3.1.6.1.10.5.5.3	SECTION 1026.530	1026.530 [Reserved]
31:3.1.6.1.10.5.5.4	SECTION 1026.540	1026.540 Voluntary information sharing among financial institutions.
31:3.1.6.1.10.6	SUBPART F	Subpart F - Special Standards of Diligence; Prohibitions; and Special Measures for Futures Commission Merchants and Introducing Brokers in Commodities
31:3.1.6.1.10.6.5.1	SECTION 1026.600	1026.600 General.
31:3.1.6.1.10.6.5.2	SECTION 1026.610	1026.610 Due diligence programs for correspondent accounts for foreign financial institutions.
31:3.1.6.1.10.6.5.3	SECTION 1026.620	1026.620 Due diligence programs for private banking accounts.
31:3.1.6.1.10.6.5.4	SECTION 1026.630	1026.630 Prohibition on correspondent accounts for foreign shell banks; records concerning owners of foreign banks and agents for service of legal process.
31:3.1.6.1.10.6.5.5	SECTION 1026.640	1026.640 [Reserved]
31:3.1.6.1.10.6.5.6	SECTION 1026.670	1026.670 Summons or subpoena of foreign bank records; termination of correspondent relationship.

---