[Code of Federal Regulations]
[Title 17, Volume 1]
[Revised as of April 1, 2003]
From the U.S. Government Printing Office via GPO Access
[CITE: 17CFR1.27]

[Page 68-69]
 
              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. 1.27  Record of investments.

    (a) Each futures commission merchant which invests customer funds, 
and each clearing organization which invests customer funds of its 
clearing members' customers or option customers, shall keep a record 
showing the following:
    (1) The date on which such investments were made;
    (2) The name of the person through whom such investments were made;
    (3) The amount of money so invested;
    (4) A description of the instruments in which such investments were 
made, including the CUSIP or ISIN numbers;
    (5) The identity of the depositories or other places where such 
instruments are segregated;

[[Page 69]]

    (6) The date on which such investments were liquidated or otherwise 
disposed of and the amount of money received of such disposition, if 
any; and
    (7) The name of the person to or through whom such investments were 
disposed of.
    (b) Each clearing organization which receives documents from its 
clearing members representing investment of customer funds shall keep a 
record showing separately for each clearing member the following:
    (1) The date on which such documents were received from the clearing 
member;
    (2) A description of such documents, including the CUSIP or ISIN 
numbers; and
    (3) The date on which such documents were returned to the clearing 
member or the details of disposition by other means.
    (c) Such records shall be retained in accordance with Sec. 1.31. No 
such investments shall be made except in instruments described in 
Sec. 1.25.

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

[46 FR 54520, Nov. 3, 1981, as amended at 46 FR 63035, Dec. 30, 1981; 62 
FR 42401, Aug. 7, 1997; 65 FR 78013, Dec. 13, 2000]