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Title 17 → Chapter I

TITLE 17—Commodity and Securities Exchanges

CHAPTER I—COMMODITY FUTURES TRADING COMMISSION

rule
PartTable of
Contents		Headings
rule
1
1.1 to 1.75
GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT
2
2.1 to 2.4
OFFICIAL SEAL
3
3.1 to 3.75
REGISTRATION
4
4.1 to 4.41
COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS
5
5.1 to 5.25
OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS
7
7.1
REGISTERED ENTITY RULES ALTERED OR SUPPLEMENTED BY THE COMMISSION
8
[RESERVED]
9
9.1 to 9.33
RULES RELATING TO REVIEW OF EXCHANGE DISCIPLINARY, ACCESS DENIAL OR OTHER ADVERSE ACTIONS
10
10.1 to 10.114
RULES OF PRACTICE
11
11.1 to 11.8
RULES RELATING TO INVESTIGATIONS
12
12.1 to 12.408
RULES RELATING TO REPARATIONS
13
13.1 to 13.2
PROCEDURES FOR PETITIONS FOR RULEMAKING
14
14.1 to 14.10
RULES RELATING TO SUSPENSION OR DISBARMENT FROM APPEARANCE AND PRACTICE
15
15.00 to 15.06
REPORTS—GENERAL PROVISIONS
16
16.00 to 16.07
REPORTS BY CONTRACT MARKETS AND SWAP EXECUTION FACILITIES
17
17.00 to 17.04
REPORTS BY REPORTING MARKETS, FUTURES COMMISSION MERCHANTS, CLEARING MEMBERS, AND FOREIGN BROKERS
18
18.00 to 18.06
REPORTS BY TRADERS
19
19.00 to 19.04—19.10
REPORTS BY PERSONS HOLDING REPORTABLE POSITIONS IN EXCESS OF POSITION LIMITS, AND BY MERCHANTS AND DEALERS IN COTTON
20
20.1 to 20.11
LARGE TRADER REPORTING FOR PHYSICAL COMMODITY SWAPS
21
21.00 to 21.06
SPECIAL CALLS
22
22.1 to 22.17
CLEARED SWAPS
23
23.1-23.20 to 23.704
SWAP DEALERS AND MAJOR SWAP PARTICIPANTS
30
30.1 to 30.13
FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS
31
31.1-31.2 to 31.29
LEVERAGE TRANSACTIONS
32
32.1 to 32.5
REGULATION OF COMMODITY OPTION TRANSACTIONS
33
33.1 to 33.11
REGULATION OF COMMODITY OPTION TRANSACTIONS THAT ARE OPTIONS ON CONTRACTS OF SALE OF A COMMODITY FOR FUTURE DELIVERY
34
34.1 to 34.3
REGULATION OF HYBRID INSTRUMENTS
35
35.1
SWAPS IN AN AGRICULTURAL COMMODITY (AGRICULTURAL SWAPS)
36
36.1
TRADE EXECUTION REQUIREMENT
37
37.1 to 37.1501
SWAP EXECUTION FACILITIES
38
38.1 to 38.1201
DESIGNATED CONTRACT MARKETS
39
39.1 to 39.51
DERIVATIVES CLEARING ORGANIZATIONS
40
40.1 to 40.12
PROVISIONS COMMON TO REGISTERED ENTITIES
41
41.1 to 41.49
SECURITY FUTURES PRODUCTS
42
42.1 to 42.2
ANTI-MONEY LAUNDERING, TERRORIST FINANCING
43
43.1 to 43.7
REAL-TIME PUBLIC REPORTING
44
44.00 to 44.03
INTERIM FINAL RULE FOR PRE-ENACTMENT SWAP TRANSACTIONS
45
45.1 to 45.15
SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS
46
46.1 to 46.11
SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS: PRE-ENACTMENT AND TRANSITION SWAPS
48
48.1 to 48.11
REGISTRATION OF FOREIGN BOARDS OF TRADE
49
49.1 to 49.31
SWAP DATA REPOSITORIES
50
50.1 to 50.79
CLEARING REQUIREMENT AND RELATED RULES
75
75.1 to 75.21
PROPRIETARY TRADING AND CERTAIN INTERESTS IN AND RELATIONSHIPS WITH COVERED FUNDS
100
100.1
DELIVERY PERIOD REQUIRED
140
140.1 to 140.735-8
ORGANIZATION, FUNCTIONS, AND PROCEDURES OF THE COMMISSION
141
141.1 to 141.12
SALARY OFFSET
142
142.1 to 142.2
INDEMNIFICATION OF CFTC EMPLOYEES
143
143.1 to 143.10
COLLECTION OF CLAIMS OWED THE UNITED STATES ARISING FROM ACTIVITIES UNDER THE COMMISSION'S JURISDICTION
144
144.0 to 144.6
PROCEDURES REGARDING THE DISCLOSURE OF INFORMATION AND THE TESTIMONY OF PRESENT OR FORMER OFFICERS AND EMPLOYEES IN RESPONSE TO SUBPOENAS OR OTHER DEMANDS OF A COURT
145
145.0 to 145.9
COMMISSION RECORDS AND INFORMATION
146
146.1 to 146.13
RECORDS MAINTAINED ON INDIVIDUALS
147
147.1 to 147.10
OPEN COMMISSION MEETINGS
148
148.1 to 148.30
IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN COVERED ADJUDICATORY PROCEEDINGS BEFORE THE COMMISSION
149
149.101 to 149.170
ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE COMMODITY FUTURES TRADING COMMISSION
150
150.1 to 150.9
LIMITS ON POSITIONS
151
[RESERVED]
155
155.1 to 155.10
TRADING STANDARDS
156
156.1 to 156.4
BROKER ASSOCIATIONS
160
160.1 to 160.30
PRIVACY OF CONSUMER FINANCIAL INFORMATION UNDER TITLE V OF THE GRAMM-LEACH-BLILEY ACT
162
162.1 to 162.32
PROTECTION OF CONSUMER INFORMATION UNDER THE FAIR CREDIT REPORTING ACT
165
165.1 to 165.20
WHISTLEBLOWER RULES
166
166.1 to 166.5
CUSTOMER PROTECTION RULES
170
170.1 to 170.17
REGISTERED FUTURES ASSOCIATIONS
171
171.1 to 171.50
RULES RELATING TO REVIEW OF NATIONAL FUTURES ASSOCIATION DECISIONS IN DISCIPLINARY, MEMBERSHIP DENIAL, REGISTRATION AND MEMBER RESPONSIBILITY ACTIONS
180
180.1 to 180.2
PROHIBITION AGAINST MANIPULATION
190
190.01 to 190.10
BANKRUPTCY
191-199
[RESERVED]

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