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Recordkeeping | Midpage
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Code of Federal Regulations
Title 17
Chapter I
Part 1
ECFR26e2c365a191fa7
Recordkeeping
1.31
Regulatory records; retention and production.
1.32
Reporting of segregated account computation and details regarding the holding of futures customer funds.
1.33
Monthly and confirmation statements.
1.34
Monthly record, “point balance”.
1.35
Records of commodity interest and related cash or forward transactions.
1.36
Record of securities and property received from customers.
1.37
Customer's name, address, and occupation recorded; record of guarantor or controller of account.
1.38
Execution of transactions.
1.39
Simultaneous buying and selling orders of different principals; execution of, for and between principals.