[Code of Federal Regulations]
[Title 17, Volume 1]
[Revised as of April 1, 2002]
From the U.S. Government Printing Office via GPO Access
[CITE: 17CFR1.36]

[Page 82-83]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER I--COMMODITY FUTURES TRADING COMMISSION
 
PART 1--GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT--Table of Contents
 
Sec. 1.36  Record of securities and property received from customers and option customers.

    (a) Each futures commission merchant shall maintain, as provided in 
Sec. 1.31, a record of all securities and property received from 
customers or option customers in lieu of money to margin, purchase, 
guarantee, or secure the commodity or commodity option transactions of 
such customers or option customers. Such record shall show separately 
for each customer or option customer: a description of the securities or 
property received; the name and address of such customer or option 
customer; the dates when the securities or property were received; the 
identity of the depositories or other places where such securities or 
property are segregated; the dates of deposits and withdrawals from such 
depositories; and the dates of return of such securities or property to 
such customer or option customer, or other disposition thereof,

[[Page 83]]

together with the facts and circumstances of such other disposition. In 
the event any futures commission merchant deposits with the clearing 
organization of a contract market, directly or with a bank or trust 
company acting as custodian for such clearing organization, securities 
and/or property which belong to a particular customer or option 
customer, such futures commission merchant shall obtain written 
acknowledgment from such clearing organization that it was informed that 
such securities or property belong to customers or option customers of 
the futures commission merchant making the deposit. Such acknowledgment 
shall be retained as provided in Sec. 1.31.
    (b) Each clearing organization of a contract market which receives 
from members securities or property belonging to particular customers or 
option customers of such members in lieu of money to margin, purchase, 
guarantee, or secure the commodity or commodity option transactions of 
such customers or option customers, or receives notice that any such 
securities or property have been received by a bank or trust company 
acting as custodian for such clearing organization, shall maintain, as 
provided in Sec. 1.31, a record which will show separately for each 
member, the dates when such securities or property were received, the 
identity of the depositories or other places where such securities or 
property are segregated, the dates such securities or property were 
returned to the member, or otherwise disposed of, together with the 
facts and circumstances of such other disposition including the 
authorization therefor.

(Approved by the Office of Management and Budget under control numbers 
3038-0007 and 3038-0024)

[46 FR 54522, Nov. 3, 1981, as amended at 46 FR 63035, Dec. 30, 1981; 48 
FR 8435, Mar. 1, 1983]