CFTC Regulations

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]