[Code of Federal Regulations]
[Title 17, Volume 1]
[Revised as of April 1, 2007]
From the U.S. Government Printing Office via GPO Access
[CITE: 17CFR1.36]

[Page 87-88]
 
              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, 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

[[Page 88]]

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]