CFTC Regulations

TITLE 17—Commodity and Securities Exchanges

CHAPTER I—COMMODITY FUTURES TRADING COMMISSION

 

Part

Table of Contents

Headings

 

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 13.6

PUBLIC RULEMAKING PROCEDURES

 

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 19.03-19.10

REPORTS BY PERSONS HOLDING BONA FIDE HEDGE POSITIONS 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

 

[RESERVED]

 

37

37.1 to 37.1501

SWAP EXECUTION FACILITIES

 

38

38.1 to 38.1201

DESIGNATED CONTRACT MARKETS

 

39

39.1 to 39.42

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 45.14

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 49.27

SWAP DATA REPOSITORIES

 

50

50.1 to 50.52

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

155.1 to 155.10

LIMITS ON POSITIONS

 

151

151.1 to 151.13

POSITION LIMITS FOR FUTURES AND SWAPS

 

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]