[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: 17CFR33.9]

[Page 405-406]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER I--COMMODITY FUTURES TRADING COMMISSION
 
PART 33_REGULATION OF DOMESTIC EXCHANGE-TRADED COMMODITY OPTION TRANSACTIONS--
 
Sec.  33.9  Unlawful activities.

    It shall be unlawful for any person:
    (a) Required to be registered with the Commission in accordance with 
the Act or these regulations expressly or impliedly to represent that 
the Commission, by declaring effective the registration of such person 
or otherwise, has directly or indirectly approved such person, or any 
commodity option transaction solicited or accepted by such person;
    (b) In or in connection with an offer to enter into, the entry into, 
the confirmation of the execution of, or the maintenance of any 
commodity option transaction, expressly or impliedly to represent that 
compliance with the provisions of the Act or these regulations 
constitutes a guarantee of the fulfillment of the commodity option 
transaction;
    (c) Upon acceptance of an order for a commodity option transaction, 
to fail unreasonably to secure prompt execution of such order or upon 
rejection of an order to fail to notify the person whose order has been 
rejected of such rejection;
    (d) To manipulate or attempt to manipulate the market price of any 
commodity option on or subject to the rules of any contract market: 
Provided,

[[Page 406]]

however, That for purposes of this paragraph (d), any action taken by a 
contract market pursuant to a rule approved by the Commission or any 
emergency action which a contract market is permitted to take pursuant 
to the Act or these regulations shall not be deemed to be a 
manipulation; and
    (e) Upon acceptance of an order for a commodity option transaction 
to bucket such order.

[46 FR 54529, Nov. 3, 1981; 46 FR 55925, Nov. 13, 1981]