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§ 1.72 - Restrictions on customer clearing arrangements.

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No futures commission merchant providing clearing services to customers shall enter into an arrangement that:

Discloses to the futures commission merchant or any swap dealer or major swap participant the identity of a customer's original executing counterparty;

Limits the number of counterparties with whom a customer may enter into a trade;

Restricts the size of the position a customer may take with any individual counterparty, apart from an overall limit for all positions held by the customer at the futures commission merchant;

Impairs a customer's access to execution of a trade on terms that have a reasonable relationship to the best terms available; or

Prevents compliance with the timeframes set forth in § 1.74(b), § 23.610(b), or § 39.12(b)(7) of this chapter.

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§ 1.71 - Conflicts of interest policies and procedures by futures commission merchants and introducing brokers.
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§ 1.73 - Clearing futures commission merchant risk management.