[Code of Federal Regulations]
[Title 17, Volume 1]
[Revised as of April 1, 2006]
From the U.S. Government Printing Office via GPO Access
[CITE: 17CFR30.1]

[Page 330-331]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER I--COMMODITY FUTURES TRADING COMMISSION
 
PART 30_FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS--Table of 
Contents
 
Sec.  30.1  Definitions.




Sec.
30.1 Definitions.
30.2 Applicability of the Act and rules.
30.3 Prohibited transactions.
30.4 Registration required.

[[Page 331]]

30.5 Alternative procedures for non-domestic persons.
30.6 Disclosure.
30.7 Treatment of foreign futures or foreign options secured amount.
30.8 Quarterly reporting requirements.
30.9 Fraudulent transactions prohibited.
30.10 Petitions for exemption.
30.11 Applicability of state law.
30.12 Direct foreign order transmittal.

Appendix A to Part 30--Interpretative Statement With Respect to the 
          Commission's Exemptive Authority Under Sec.  30.10 of Its 
          Rules
Appendix B to Part 30--Interpretative Statement With Respect to the 
          Secured Amount Requirement Set Forth in Sec.  30.7
Appendix C to Part 30--Foreign Petitioners Granted Relief From the 
          Application of Certain of the Part 30 Rules Pursuant to Sec.  
          30.10
Appendix D to Part 30--Information That a Foreign Board of Trade Should 
          Submit When Seeking No-Action Relief To Offer and Sell, to 
          Persons Located in the United States, a Futures Contract on a 
          Foreign Non-Narrow-Based Security Index Traded on That Foreign 
          Board of Trade

    Authority: 7 U.S.C. 1a, 2, 6, 6c, and 12a, unless otherwise noted.

    Source: 52 FR 28998, Aug. 5, 1987, unless otherwise noted.


    For the purposes of this part:
    (a) Foreign futures means any contract for the purchase or sale of 
any commodity for future delivery made, or to be made, on or subject to 
the rules of any foreign board of trade.
    (b) Foreign option means any transaction or agreement which is or is 
held out to be of the character of, or is commonly known to the trade 
as, an ``option'', ``privilege'', ``indemnity'', ``bid'', ``offer'', 
``put'', ``call'', ``advance guaranty'' or ``decline guaranty'', made or 
to be made on or subject to the rules of any foreign board of trade.
    (c) Foreign futures or foreign options customer means any person 
located in the United States, its territories or possessions who trades 
in foreign futures or foreign options: Provided, That an owner or holder 
of a proprietary account as defined in paragraph (y) of Sec.  1.3 of 
this chapter shall not be deemed to be a foreign futures or foreign 
options customer within the meaning of Sec. Sec.  30.6 and 30.7 of this 
part.
    (d) Foreign futures and options customer omnibus account is defined 
as an account in which the transactions of one or more foreign futures 
and foreign options customers are combined and carried in the name of 
the originating futures commission merchant rather than in the name of 
each individual foreign futures or foreign options customer.
    (e) Foreign futures and options broker (FFOB) is defined as a non-
U.S. person that is a member of a foreign board of trade, as defined in 
Sec.  1.3(ss) of this chapter, licensed, authorized or otherwise subject 
to regulation in the jurisdiction in which the foreign board of trade is 
located; or a foreign affiliate of a U.S. futures commission merchant, 
licensed, authorized or otherwise subject to regulation in the 
jurisdiction in which the affiliate is located.

[52 FR 28998, Aug. 5, 1987, as amended at 65 FR 47280, Aug. 2, 2000]