Code of Federal Regulations

  1. Title 17
  2. Chapter I
Title 17 Commodity and Securities Exchanges Part / Section
Chapter I Commodity Futures Trading Commission 1 – 199
Part 1 General Regulations Under the Commodity Exchange Act 1.1 – 1.75
Definitions Definitions 1.1 – 1.9
Minimum Financial and Related Reporting Requirements Minimum Financial and Related Reporting Requirements 1.10 – 1.18
Prohibited Trading in Commodity Options Prohibited Trading in Commodity Options 1.19
Customers' Money, Securities, and Property Customers' Money, Securities, and Property 1.20 – 1.30
Recordkeeping Recordkeeping 1.31 – 1.39
Miscellaneous Miscellaneous 1.40 – 1.75
Part 2 Official Seal 2.1 – 2.4
§ 2.1 Description.
§ 2.2 Authority to affix seal.
§ 2.3 Prohibitions against misuse of seal.
§ 2.4 Employee Recreation Association's use of Commission seal.
Part 3 Registration 3.1 – 3.75
Subpart A Registration 3.1 – 3.33
Subpart B Temporary Licenses 3.40 – 3.47
Subpart C Denial, Suspension or Revocation of Registration 3.50 – 3.64
Subpart D Notice Under Section 4k(5) of the Act 3.70
Subpart E Delegation and Reservation of Authority 3.75
Appendix A to Part 3
Interpretative Statement With Respect to Section 8a(2)(C) and (E) and Section 8a(3)(J) and (M) of the Commodity Exchange Act
Appendix B to Part 3
Statement of Acceptable Practices With Respect to Ethics Training
Appendix C to Part 3
Guidance on the Application of § 3.3(e), Chief Compliance Officer Annual Report Form and Content
Part 4 Commodity Pool Operators and Commodity Trading Advisors 4.1 – 4.41
Subpart A General Provisions, Definitions and Exemptions 4.1 – 4.17
Subpart B Commodity Pool Operators 4.20 – 4.27
Subpart C Commodity Trading Advisors 4.30 – 4.36
Subpart D Advertising 4.40 – 4.41
Appendix A to Part 4
Form CPO-PQR
Appendix B to Part 4
Adjustments for Additions and Withdrawals in the Computation of Rate of Return
Appendix C to Part 4
Form CTA-PR
Part 5 Off-Exchange Foreign Currency Transactions 5.1 – 5.25
§ 5.1 Definitions.
§ 5.2 Prohibited transactions.
§ 5.3 Registration of persons engaged in retail forex transactions.
§ 5.4 Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors.
§ 5.5 Distribution of “Risk Disclosure Statement” by retail foreign exchange dealers, futures commission merchants and introducing brokers regarding retail forex transactions.
§ 5.6 Maintenance of minimum financial requirements by retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions.
§ 5.7 Minimum financial requirements for retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions.
§ 5.8 Aggregate retail forex assets.
§ 5.9 Security deposits for retail forex transactions.
§ 5.10 Risk assessment recordkeeping requirements for retail foreign exchange dealers.
§ 5.11 Risk assessment reporting requirements for retail foreign exchange dealers.
§ 5.12 Financial reports of retail foreign exchange dealers.
§ 5.13 Reporting to customers of retail foreign exchange dealers and futures commission merchants; monthly and confirmation statements.
§ 5.14 Records to be kept by retail foreign exchange dealers and futures commission merchants.
§ 5.15 Unlawful representations.
§ 5.16 Prohibition of guarantees against loss.
§ 5.17 Authorization to trade.
§ 5.18 Trading and operational standards.
§ 5.19 Pending legal proceedings.
§ 5.20 Special calls for account and transaction information.
§ 5.21 Supervision.
§ 5.22 Registered futures association membership.
§ 5.23 Notice of bulk transfers and bulk liquidations.
§ 5.24 Applicability of other parts of this chapter
§ 5.25 Applicability of the Act.
Part 7 Registered Entity Rules Altered or Supplemented by the Commission 7.1
Subpart A General Provisions 7.1
Subparts B-C Subparts B-C [Reserved]
Part 8 Part 8 [Reserved]
Part 9 Rules Relating to Review of Exchange Disciplinary, Access Denial or Other Adverse Actions 9.1 – 9.33
Subpart A General Provisions 9.1 – 9.9
Subpart B Notice and Effective Date of Disciplinary Action or Access Denial Action 9.10 – 9.19
Subpart C Initial Procedure With Respect to Appeals 9.20 – 9.29
Subpart D Commission Review of Disciplinary, Access Denial or Other Adverse Action 9.30 – 9.33
Part 10 Rules of Practice 10.1 – 10.114
Subpart A General Provisions 10.1 – 10.12
Subpart B Institution of Adjudica- tory Proceedings; Pleadings; Motions 10.21 – 10.26
Subpart C Parties and Limited Participation 10.31 – 10.36
Subpart D Prehearing Procedures; Prehearing Conferences; Discovery; Depositions 10.41 – 10.44
Subpart E Hearings 10.61 – 10.69
Subpart F Post Hearing Procedures; Initial Decisions 10.81 – 10.84
Subpart G Disposition Without Full Hearing 10.91 – 10.94
Subpart H Appeals to the Commission; Settlements 10.101 – 10.109
Subpart I Restitution Orders 10.110 – 10.114
Part 11 Rules Relating to Investigations 11.1 – 11.8
§ 11.1 Scope and applicability of rules.
§ 11.2 Authority to conduct investigations.
§ 11.3 Confidentiality of investigations.
§ 11.4 Subpoenas.
§ 11.5 Transcripts.
§ 11.6 Oath; false statements.
§ 11.7 Rights of witnesses.
§ 11.8 Sequestration.
Appendix A to Part 11
Informal Procedure Relating to the Recommendation of Enforcement Proceedings
Part 12 Rules Relating to Reparations 12.1 – 12.408
Subpart A General Information and Preliminary Consideration of Pleadings 12.1 – 12.27
Subpart B Discovery 12.30 – 12.36
Subpart C Rules Applicable to Voluntary Decisional Proceedings 12.100 – 12.106
Subpart D Rules Applicable to Summary Decisional Proceedings 12.200 – 12.210
Subpart E Rules Applicable to Formal Decisional Proceedings 12.300 – 12.315
Subpart F Commission Review of Decisions 12.400 – 12.408
Part 13 Procedures for Petitions for Rulemaking 13.1 – 13.2
§ 13.1 Petition for issuance, amendment, or repeal of a rule.
§ 13.2 § 13.2 [Reserved]
Part 14 Rules Relating to Suspension or Disbarment from Appearance and Practice 14.1 – 14.10
§ 14.1 Scope.
§ 14.2 Definitions of appearance and practice.
§ 14.3 Hearings.
§ 14.4 Violation of Commodity Exchange Act.
§ 14.5 Criminal conviction.
§ 14.6 Disbarment or suspension by licensing authority.
§ 14.7 Finding of violation of Commodity Exchange Act or Federal securities laws in another proceeding.
§ 14.8 Lack of requisite qualifications, character and integrity.
§ 14.9 Duty to file information concerning adverse judicial or administrative action.
§ 14.10 Reinstatement.
Part 15 Reports—General Provisions 15.00 – 15.06
§ 15.00 Definitions of terms used in parts 15 to 19, and 21 of this chapter.
§ 15.01 Persons required to report.
§ 15.02 Reporting forms.
§ 15.03 Reporting levels.
§ 15.04 Reportable trading volume level.
§ 15.05 Designation of agent for foreign persons.
§ 15.06 Delegations.
Part 16 Reports by Contract Markets and Swap Execution Facilities 16.00 – 16.07
§ 16.00 Clearing member reports.
§ 16.01 Publication of market data on futures, swaps and options thereon: trading volume, open contracts, prices, and critical dates.
§ 16.02 Daily trade and supporting data reports.
§§ 16.03-16.05 §§ 16.03-16.05 [Reserved]
§ 16.06 Errors or omissions.
§ 16.07 Delegation of authority to the Director of the Division of Data and to the Director of the Division of Market Oversight.
Part 17 Reports by Reporting Markets, Futures Commission Merchants, Clearing Members, and Foreign Brokers 17.00 – 17.04
§ 17.00 Information to be furnished by futures commission merchants, clearing members and foreign brokers.
§ 17.01 Identification of special accounts, volume threshold accounts, and omnibus accounts.
§ 17.02 Form, manner and time of filing reports.
§ 17.03 Delegation of authority to the Director of the Division of Data or the Director of the Division of Market Oversight.
§ 17.04 Reporting omnibus accounts to reporting firms.
Appendix A to Part 17
Form 102
Appendix B to Part 17
Form 71
Appendix C to Part 17
Data Elements
Part 18 Reports by Traders 18.00 – 18.06
§ 18.00 Information to be furnished by traders.
§ 18.01 Interest in or control of several accounts.
§ 18.02 § 18.02 [Reserved]
§ 18.03 Delegation of authority.
§ 18.04 Statement of reporting trader.
§ 18.05 Maintenance of books and records.
§ 18.06 § 18.06 [Reserved]
Appendix A to Part 18
Form 40
Part 19 Reports by Persons Holding Reportable Positions in Excess of Position Limits, and by Merchants and Dealers in Cotton 19.00 – 19.10
§ 19.00 Who shall furnish information.
§ 19.01 § 19.01 [Reserved]
§ 19.02 Reports pertaining to cotton on call purchases and sales.
§ 19.03 Delegation of authority to the Director of the Division of Enforcement.
§§ 19.04-19.10 §§ 19.04-19.10 [Reserved]
Appendix A to Part 19
Form 304
Part 20 Large Trader Reporting for Physical Commodity Swaps 20.1 – 20.11
§ 20.1 Definitions.
§ 20.2 Covered contracts.
§ 20.3 Clearing organizations.
§ 20.4 Reporting entities.
§ 20.5 Series S filings.
§ 20.6 Maintenance of books and records.
§ 20.7 Form and manner of reporting and submitting information or filings.
§ 20.8 Delegation of authority.
§ 20.9 Sunset provision.
§ 20.10 Compliance schedule.
§ 20.11 Diversified commodity indices.
Appendix A to Part 20
Guidelines on Futures Equivalency
Appendix B to Part 20
Explanatory Guidance on Data Record Layouts
Part 21 Special Calls 21.00 – 21.06
§ 21.00 Preparation and transmission of information upon special call.
§ 21.01 Special calls for information on controlled accounts from futures commission merchants, clearing members and introducing brokers.
§ 21.02 Special calls for information on open contracts in accounts carried or introduced by futures commission merchants, clearing members, members of reporting markets, introducing brokers, and foreign brokers.
§ 21.03 Selected special calls-duties of foreign brokers, domestic and foreign traders, futures commission merchants, clearing members, introducing brokers, and reporting markets.
§ 21.04 Special calls for information on customer accounts or related cleared positions.
§ 21.05 Delegation of authority.
§ 21.06 Delegation of authority to the Director of the Division of Clearing and Risk.
Part 22 Cleared Swaps 22.1 – 22.17
§ 22.1 Definitions.
§ 22.2 Futures Commission Merchants: Treatment of Cleared Swaps and Associated Cleared Swaps Customer Collateral.
§ 22.3 Derivatives clearing organizations: Treatment of cleared swaps customer collateral.
§ 22.4 Futures Commission Merchants and derivatives clearing organizations: Permitted Depositories.
§ 22.5 Futures commission merchants and derivatives clearing organizations: Written acknowledgement.
§ 22.6 Futures commission merchants and derivatives clearing organizations: Naming of Cleared Swaps Customer Accounts.
§ 22.7 Permitted depositories: Treatment of Cleared Swaps Customer Collateral.
§ 22.8 Situs of Cleared Swaps Customer Accounts.
§ 22.9 Denomination of Cleared Swaps Customer Collateral and location of depositories.
§ 22.10 Application of other regulatory provisions.
§ 22.11 Information to be provided regarding Cleared Swaps Customers and their Cleared Swaps.
§ 22.12 Information to be maintained regarding Cleared Swaps Customer Collateral.
§ 22.13 Additions to Cleared Swaps Customer Collateral.
§ 22.14 Futures Commission Merchant failure to meet a Cleared Swaps Customer Margin Call in full.
§ 22.15 Treatment of Cleared Swaps Customer Collateral on an individual basis.
§ 22.16 Disclosures to Cleared Swaps Customers.
§ 22.17 Policies and procedures governing disbursements of Cleared Swaps Customer Collateral from Cleared Swaps Customer Accounts.
Part 23 Swap Dealers and Major Swap Participants 23.1 – 23.704
Subpart A Subpart A [Reserved]
§§ 23.1-23.20 §§ 23.1-23.20 [Reserved]
Subpart B Registration 23.21 – 23.40
Subpart E Capital and Margin Requirements for Swap Dealers and Major Swap Participants 23.100 – 23.199
Subpart F Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants 23.200 – 23.206
Subpart H Business Conduct Standards for Swap Dealers and Major Swap Participants Dealing With Counterparties, Including Special Entities 23.400 – 23.451
Subpart I Swap Documentation 23.500 – 23.506
Subpart J Duties of Swap Dealers and Major Swap Participants 23.600 – 23.611
Subpart K Subpart K [Reserved]
Subpart L Segregation of Assets Held as Collateral in Uncleared Swap Transactions 23.700 – 23.704
Part 30 Foreign Futures and Foreign Options Transactions 30.1 – 30.13
§ 30.1 Definitions.
§ 30.2 Applicability of the Act and rules.
§ 30.3 Prohibited transactions.
§ 30.4 Registration required.
§ 30.5 Alternative procedures for non-domestic persons.
§ 30.6 Disclosure.
§ 30.7 Treatment of foreign futures or foreign options secured amount.
§ 30.8 § 30.8 [Reserved]
§ 30.9 Fraudulent transactions prohibited.
§ 30.10 Petitions for exemption.
§ 30.11 Applicability of state law.
§ 30.12 Direct foreign order transmittal.
§ 30.13 Commission certification.
Appendix A to Part 30
Interpretative Statement With Respect to the Commission's Exemptive Authority Under § 30.10 of Its Rules
Appendix B to Part 30
Interpretative Statement With Respect to the Secured Amount Requirement Set Forth in § 30.7
Appendix C to Part 30
Foreign Petitioners Granted Relief From the Application of Certain of the Part 30 Rules Pursuant to § 30.10
Appendix D to Part 30
Commission Certification With Respect to Foreign Futures and Options Contracts on a Non-Narrow-Based Security Index
Appendix E to Part 30
Acknowledgment Letter for CFTC Regulation 30.7 Customer Secured Account
Appendix F to Part 30
Acknowledgment Letter for CFTC Regulation 30.7 Customer Secured Government Money Market Fund Account
Part 31 Leverage Transactions 31.1 – 31.29
§§ 31.1-31.2 §§ 31.1-31.2 [Reserved]
§ 31.3 Fraud in connection with certain transactions in silver or gold bullion or bulk coins, or other commodities.
§ 31.4 Definitions.
§ 31.5 Unlawful conduct.
§ 31.6 Registration of leverage commodities.
§ 31.7 Maintenance of minimum financial, cover and segregation requirements by leverage transaction merchants.
§ 31.8 Cover of leverage contracts.
§ 31.9 Minimum financial requirements.
§ 31.10 Repurchase and resale of leverage contracts by leverage transaction merchants.
§ 31.11 Disclosure.
§ 31.12 Segregation.
§ 31.13 Financial reports of leverage transaction merchants.
§ 31.14 Recordkeeping.
§ 31.15 Reporting to leverage customers.
§ 31.16 Monthly reporting requirements.
§ 31.17 Records of leverage transactions.
§ 31.18 Margin calls.
§ 31.19 Unlawful representations.
§ 31.20 Prohibition of guarantees against loss.
§ 31.21 Leverage contracts entered into prior to April 13, 1984; subsequent transactions.
§ 31.22 Prohibited trading in leverage contracts.
§ 31.23 Limited right to rescind first leverage contract.
§ 31.24 § 31.24 [Reserved]
§ 31.25 Bid and ask prices; carrying charges.
§ 31.26 Quarterly reporting requirement.
§ 31.27 Registered futures association membership.
§ 31.28 Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation and sales practice requirements.
§ 31.29 Arbitration or other dispute settlement procedures.
Appendix A to Part 31
Schedule of Fees for Registration of Leverage Commodities
Part 32 Regulation of Commodity Option Transactions 32.1 – 32.5
§ 32.1 Scope.
§ 32.2 Commodity option transactions; general authorization.
§ 32.3 Trade options.
§ 32.4 Fraud in connection with commodity option transactions.
§ 32.5 Option transactions entered into prior to the effective date of this part.
Part 33 Regulation of Commodity Option Transactions That Are Options on Contracts of Sale of a Commodity for Future Delivery 33.1 – 33.11
§ 33.1 Definitions.
§ 33.2 Applicability of Act and rules; scope of part 33.
§ 33.3 Unlawful commodity option transactions.
§ 33.4 Designation as a contract market for the trading of commodity options.
§ 33.5 Application for designation as a contract market for the trading of commodity options.
§ 33.6 Suspension or revocation of designation as a contract market for the trading of commodity options.
§ 33.7 Disclosure.
§ 33.8 Promotional material.
§ 33.9 Unlawful activities.
§ 33.10 Fraud in connection with commodity option transactions.
§ 33.11 Exemptions.
Part 34 Regulation of Hybrid Instruments 34.1 – 34.3
§ 34.1 Scope.
§ 34.2 Definitions.
§ 34.3 Hybrid instrument exemption.
Part 35 Swaps in an Agricultural Commodity (Agricultural Swaps) 35.1
§ 35.1 Agricultural swaps, generally.
Part 36 Trade Execution Requirement 36.1
§ 36.1 Exemptions to trade execution requirement.
Part 37 Swap Execution Facilities 37.1 – 37.1501
Subpart A General Provisions 37.1 – 37.12
Subpart B Compliance With Core Principles 37.100
Subpart C Compliance With Rules 37.200 – 37.206
Subpart D Swaps Not Readily Susceptible to Manipulation 37.300 – 37.301
Subpart E Monitoring of Trading and Trade Processing 37.400 – 37.408
Subpart F Ability to Obtain Information 37.500 – 37.504
Subpart G Position Limits or Accountability 37.600 – 37.601
Subpart H Financial Integrity of Transactions 37.700 – 37.703
Subpart I Emergency Authority 37.800 – 37.801
Subpart J Timely Publication of Trading Information 37.900 – 37.901
Subpart K Recordkeeping and Reporting 37.1000 – 37.1001
Subpart L Antitrust Considerations 37.1100 – 37.1101
Subpart M Conflicts of Interest 37.1200
Subpart N Financial Resources 37.1300 – 37.1307
Subpart O System Safeguards 37.1400 – 37.1401
Subpart P Designation of Chief Compliance Officer 37.1500 – 37.1501
Appendix A to Part 37
Form SEF
Appendix B to Part 37
Guidance on, and Acceptable Practices in, Compliance with Core Principles
Part 38 Designated Contract Markets 38.1 – 38.1201
Subpart A General Provisions 38.1 – 38.12
Subpart B Designation as Contract Market 38.100
Subpart C Compliance With Rules 38.150 – 38.160
Subpart D Contracts Not Readily Subject to Manipulation 38.200 – 38.201
Subpart E Prevention of Market Disruption 38.250 – 38.258
Subpart F Position Limitations or Accountability 38.300 – 38.301
Subpart G Emergency Authority 38.350 – 38.351
Subpart H Availability of General Information 38.400 – 38.401
Subpart I Daily Publication of Trading Information 38.450 – 38.451
Subpart J Execution of Transactions 38.500
Subpart K Trade Information 38.550 – 38.553
Subpart L Financial Integrity of Transactions 38.600 – 38.607
Subpart M Protection of Markets and Market Participants 38.650 – 38.651
Subpart N Disciplinary Procedures 38.700 – 38.712
Subpart O Dispute Resolution 38.750 – 38.751
Subpart P Governance Fitness Standards 38.800 – 38.801
Subpart Q Conflicts of Interest 38.850 – 38.851
Subpart R Composition of Governing Boards of Contract Markets 38.900
Subpart S Recordkeeping 38.950 – 38.951
Subpart T Antitrust Considerations 38.1000 – 38.1001
Subpart U System Safeguards 38.1050 – 38.1051
Subpart V Financial Resources 38.1100 – 38.1101
Subpart W Diversity of Board of Directors 38.1150
Subpart X Securities and Exchange Commission 38.1200 – 38.1201
Appendix A to Part 38
Form DCM
Appendix B to Part 38
Guidance on, and Acceptable Practices in, Compliance With Core Principles
Appendix C to Part 38
Demonstration of Compliance That a Contract Is Not Readily Susceptible to Manipulation
Part 39 Derivatives Clearing Organizations 39.1 – 39.51
Subpart A General Provisions Applicable to Derivatives Clearing Organizations 39.1 – 39.8
Subpart B Compliance with Core Principles 39.9 – 39.29
Subpart C Provisions Applicable to Systemically Important Derivatives Clearing Organizations and Derivatives Clearing Organizations That Elect To Be Subject to the Provisions of This Subpart 39.30 – 39.49
Subpart D Provisions Applicable to Derivatives Clearing Organizations Subject to Compliance with Core Principles Through Compliance with Home Country Regulatory Regime 39.50 – 39.51
Appendix A to Part 39
Form DCO Derivatives Clearing Organization Application for Registration
Appendix B to Part 39
Subpart C Election Form
Appendix C to Part 39
Daily Reporting Data Fields
Part 40 Provisions Common to Registered Entities 40.1 – 40.12
§ 40.1 Definitions.
§ 40.2 Listing products for trading by certification.
§ 40.3 Voluntary submission of new products for Commission review and approval.
§ 40.4 Amendments to terms or conditions of enumerated agricultural products.
§ 40.5 Voluntary submission of rules for Commission review and approval.
§ 40.6 Self-certification of rules.
§ 40.7 Delegations.
§ 40.8 Availability of public information.
§ 40.9 § 40.9 [Reserved]
§ 40.10 Special certification procedures for submission of rules by systemically important derivatives clearing organizations.
§ 40.11 Review of event contracts based upon certain excluded commodities.
§ 40.12 Staying of certification and tolling of review period pending jurisdictional determination.
Appendix A to Part 40
Schedule of Fees
Appendixes B-C to Part 40 Appendixes B-C to Part 40 [Reserved]
Appendix D to Part 40
Submission Instructions for Rules and Products
Appendix E to Part 40
Guidance on Compliance With the Materiality Assessment in § 40.4
Part 41 Security Futures Products 41.1 – 41.49
Subpart A General Provisions 41.1 – 41.9
Subpart B Narrow-Based Security Indexes 41.11 – 41.15
Subpart C Requirements and Standards for Listing Security Futures Products 41.21 – 41.27
Subpart D Notice-Designated Contract Markets in Security Futures Products 41.31 – 41.34
Subpart E Customer Accounts and Margin Requirements 41.41 – 41.49
Part 42 Anti-Money Laundering, Terrorist Financing 42.1 – 42.2
Subpart A General Provisions 42.1 – 42.2
Part 43 Real-Time Public Reporting 43.1 – 43.7
§ 43.1 Purpose, scope, and rules of construction.
§ 43.2 Definitions.
§ 43.3 Method and timing for real-time public reporting.
§ 43.4 Swap transaction and pricing data to be publicly disseminated in real-time.
§ 43.5 Time delays for public dissemination of swap transaction and pricing data.
§ 43.6 Block trades and large notional off-facility swaps.
§ 43.7 Delegation of authority.
Appendix A to Part 43
Swap Transaction and Pricing Data Elements
Appendix B to Part 43
Enumerated Physical Commodity Contracts and Other Contracts
Appendix C to Part 43
Time Delays for Public Dissemination
Appendix D to Part 43
Other Commodity Swap Categories
Appendix E to Part 43
Other Commodity Geographic Identification for Public Dissemination Pursuant to § 43.4(c)(4)(iii)
Appendix F to Part 43
Initial Appropriate Minimum Block Sizes by Asset Class for Block Trades and Large Notional Off-Facility Swaps
Part 44 Interim Final Rule for Pre-Enactment Swap Transactions 44.00 – 44.03
§ 44.00 Definition of terms used in part 44 of this chapter.
§ 44.01 Effective date.
§ 44.02 Reporting pre-enactment swaps to a swap data repository or the Commission.
§ 44.03 Reporting transition swaps to a swap data repository or to the Commission.
Part 45 Swap Data Recordkeeping and Reporting Requirements 45.1 – 45.15
§ 45.1 Definitions.
§ 45.2 Swap recordkeeping.
§ 45.3 Swap data reporting: Creation data.
§ 45.4 Swap data reporting: Continuation data.
§ 45.5 Unique transaction identifiers.
§ 45.6 Legal entity identifiers.
§ 45.7 Unique product identifiers.
§ 45.8 Determination of which counterparty shall report.
§ 45.9 Third-party facilitation of data reporting.
§ 45.10 Reporting to a single swap data repository.
§ 45.11 Data reporting for swaps in a swap asset class not accepted by any swap data repository.
§ 45.12 § 45.12 [Reserved]
§ 45.13 Required data standards.
§ 45.14 Correcting errors in swap data and verification of swap data accuracy.
§ 45.15 Delegation of authority.
Appendix 1 to Part 45
Swap Data Elements
Part 46 Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps 46.1 – 46.11
§ 46.1 Definitions.
§ 46.2 Recordkeeping for pre-enactment swaps and transition swaps.
§ 46.3 Data reporting for pre-enactment swaps and transition swaps.
§ 46.4 Unique identifiers.
§ 46.5 Determination of which counterparty must report.
§ 46.6 Third-party facilitation of data reporting.
§ 46.7 Reporting to a single swap data repository.
§ 46.8 Data reporting for swaps in a swap asset class not accepted by any swap data repository.
§ 46.9 Voluntary supplemental reporting.
§ 46.10 Required data standards.
§ 46.11 Reporting of errors and omissions in previously reported data.
Appendix 1 to Part 46
Tables of Minimum Primary Economic Terms Data For Pre-Enactment and Transition Swaps
Part 48 Registration of Foreign Boards of Trade 48.1 – 48.11
§ 48.1 Scope.
§ 48.2 Definitions.
§ 48.3 Registration required.
§ 48.4 Registration eligibility and scope.
§ 48.5 Registration procedures.
§ 48.6 § 48.6 [Reserved]
§ 48.7 Requirements for registration.
§ 48.8 Conditions of registration.
§ 48.9 Revocation of registration.
§ 48.10 Additional contracts.
§ 48.11 Delegation of authority.
Appendix to Part 48
Form FBOT
Part 49 Swap Data Repositories 49.1 – 49.31
§ 49.1 Scope.
§ 49.2 Definitions.
§ 49.3 Procedures for registration.
§ 49.4 Withdrawal from registration.
§ 49.5 Equity interest transfers.
§ 49.6 Request for transfer of registration.
§ 49.7 Swap data repositories located in foreign jurisdictions.
§ 49.8 Procedures for implementing swap data repository rules.
§ 49.9 Open swaps reports provided to the Commission.
§ 49.10 Acceptance and validation of data.
§ 49.11 Verification of swap data accuracy.
§ 49.12 Swap data repository recordkeeping requirements.
§ 49.13 Monitoring, screening and analyzing swap data.
§ 49.14 Monitoring, screening and analyzing end-user clearing exemption claims by individual and affiliated entities.
§ 49.15 Real-time public reporting by swap data repositories.
§ 49.16 Privacy and confidentiality requirements of swap data repositories.
§ 49.17 Access to SDR data.
§ 49.18 Confidentiality arrangement.
§ 49.19 Core principles applicable to swap data repositories.
§ 49.20 Governance arrangements (Core Principle 2).
§ 49.21 Conflicts of interest (Core Principle 3).
§ 49.22 Chief compliance officer.
§ 49.23 Emergency authority policies and procedures.
§ 49.24 System safeguards.
§ 49.25 Financial resources.
§ 49.26 Disclosure requirements of swap data repositories.
§ 49.27 Access and fees.
§ 49.28 Operating hours of swap data repositories.
§ 49.29 Information relating to swap data repository compliance.
§ 49.30 Form and manner of reporting and submitting information to the Commission.
§ 49.31 Delegation of authority to the Directors of the Division of Market Oversight and Division of Data relating to certain part 49 matters.
Appendix A to Part 49
Form SDR
Appendix B to Part 49
Confidentiality Arrangement for Appropriate Domestic Regulators and Appropriate Foreign Regulators to Obtain Access to Swap Data Maintained by Swap Data Respositories Pursuant to §§ 49.17(d)(6) and 49.18(a)
Part 50 Clearing Requirement and Related Rules 50.1 – 50.79
Subpart A Definitions and Clearing Requirement 50.1 – 50.11-50.24
Subpart B Clearing Requirement Compliance Schedule and Compliance Dates 50.25 – 50.49
Subpart C Exceptions and Exemptions from the Clearing Requirement 50.50 – 50.53
Subpart D Swaps Not Subject to the Clearing Requirement 50.75 – 50.79
Part 75 Proprietary Trading and Certain Interests in and Relationships with Covered Funds 75.1 – 75.21
Subpart A Authority and Definitions 75.1 – 75.2
Subpart B Proprietary Trading 75.3 – 75.9
Subpart C Covered Fund Activities and Investments 75.10 – 75.19
Subpart D Compliance Program Requirement; Violations 75.20 – 75.21
Appendix A to Part 75
Reporting and Recordkeeping Requirements for Covered Trading Activities
Part 100 Delivery Period Required 100.1
§ 100.1 Delivery period required with respect to certain grains.
Part 140 Organization, Functions, and Procedures of the Commission 140.1 – 140.735-8
Subpart A Organization 140.1 – 140.2
Subpart B Functions 140.10 – 140.99
Subpart C Regulation Concerning Conduct of Members and Employees and Former Members and Employees of the Commission 140.735-1 – 140.735-8
Subpart D XXX
Part 141 Salary Offset 141.1 – 141.12
§ 141.1 Purpose and scope.
§ 141.2 Definitions.
§ 141.3 Applicability.
§ 141.4 Notice requirements.
§ 141.5 Hearing.
§ 141.6 Written decision.
§ 141.7 Coordinating offset with another Federal agency.
§ 141.8 Procedures for salary offset.
§ 141.9 Refunds.
§ 141.10 Statute of limitations.
§ 141.11 Non-waiver of rights.
§ 141.12 Interest, penalties, and administrative costs.
Part 142 Indemnification of CFTC Employees 142.1 – 142.2
§ 142.1 Purpose and scope.
§ 142.2 Policy.
Part 143 Collection of Claims Owed the United States Arising from Activities Under the Commission's Jurisdiction 143.1 – 143.10
§ 143.1 Purpose.
Subpart A General Provisions 143.2 – 143.8
Subpart B Administrative Wage Garnishment 143.9 – 143.10
Part 144 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 144.0 – 144.6
§ 144.0 Purpose and scope.
§ 144.1 Service upon the Commission.
§ 144.2 Service upon an employee or former employee of the Commission.
§ 144.3 Testimony by present or former Commission employees.
§ 144.4 Production or disclosure of records by present or former employees.
§ 144.5 Procedures when production or disclosure of Commission records or information relating to Commission business is sought.
§ 144.6 Fees.
Part 145 Commission Records and Information 145.0 – 145.9
§ 145.0 Definitions.
§ 145.1 Information published in the Federal Register.
§ 145.2 Records available for public inspection and copying; documents published and indexed.
§ 145.3 § 145.3 [Reserved]
§ 145.4 Public records available with identifying details deleted; nonpublic records available in abridged or summary form.
§ 145.5 Disclosure of nonpublic records.
§ 145.6 Commission offices to contact for assistance; registration records available.
§ 145.7 Requests for Commission records and copies thereof.
§ 145.8 Fees for records services.
§ 145.9 Petition for confidential treatment of information submitted to the Commission.
Appendix A to Part 145
Compilation of Commission Records Available to the Public
Appendix B to Part 145
Schedule of Fees
Appendix C to Part 145 Appendix C to Part 145 [Reserved]
Part 146 Records Maintained on Individuals 146.1 – 146.12
§ 146.1 Purpose and scope.
§ 146.2 Definitions.
§ 146.3 Requests by an individual for information or access.
§ 146.4 Procedures for identifying the individual making the request.
§ 146.5 Disclosure of requested information to individuals; fee for copies of records.
§ 146.6 Disclosure to third parties.
§ 146.7 Content of systems of records.
§ 146.8 Amendment of a record.
§ 146.9 Appeals to the Commission.
§ 146.10 Information supplied by the Commission when collecting information from an individual.
§ 146.11 Public notice of records systems.
§ 146.12 Exemptions.
Appendix A to Part 146
Fees for Copies of Records Requested Under the Privacy Act of 1974
Part 147 Open Commission Meetings 147.1 – 147.10
§ 147.1 General policy considerations, purpose and scope of rules relating to open Commission meetings.
§ 147.2 Definitions.
§ 147.3 General requirement of open meetings; grounds upon which meetings may be closed.
§ 147.4 Procedure for announcing meetings.
§ 147.5 General procedure for closing meetings.
§ 147.6 Special procedure for closing certain meetings.
§ 147.7 Maintenance of transcripts, recordings and minutes of closed meetings.
§ 147.8 Public availability of transcripts, recordings and minutes of closed meetings.
§ 147.9 Requests for copies of transcripts, recordings or minutes of closed meetings.
§ 147.10 Interpretation of this part with other provisions.
Part 148 Implementation of the Equal Access to Justice Act in Covered Adjudicatory Proceedings Before the Commission 148.1 – 148.30
Subpart A General Provisions 148.1 – 148.8
Subpart B Information Required from Applicants 148.11 – 148.14
Subpart C Procedures for Considering Applications 148.21 – 148.30
Part 149 Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Commodity Futures Trading Commission 149.101 – 149.170
§ 149.101 Purpose.
§ 149.102 Application.
§ 149.103 Definitions.
§§ 149.104-149.110 §§ 149.104-149.110 [Reserved]
§ 149.111 Notice.
§§ 149.112-149.129 §§ 149.112-149.129 [Reserved]
§ 149.130 General prohibitions against discrimination.
§§ 149.131-149.139 §§ 149.131-149.139 [Reserved]
§ 149.140 Employment.
§§ 149.141-149.148 §§ 149.141-149.148 [Reserved]
§ 149.149 Program accessibility: Discrimination prohibited.
§ 149.150 Program accessibility: Existing facilities.
§ 149.151 Program accessibility: New construction and alterations.
§§ 149.152-149.159 §§ 149.152-149.159 [Reserved]
§ 149.160 Communications.
§§ 149.161-149.169 §§ 149.161-149.169 [Reserved]
§ 149.170 Compliance procedures.
Part 150 Limits on Positions 150.1 – 150.9
§ 150.1 Definitions.
§ 150.2 Federal speculative position limits.
§ 150.3 Exemptions.
§ 150.4 Aggregation of positions.
§ 150.5 Exchange-set speculative position limits and exemptions therefrom.
§ 150.6 Scope.
§ 150.7 § 150.7 [Reserved]
§ 150.8 Severability.
§ 150.9 Process for recognizing non-enumerated bona fide hedging transactions or positions with respect to Federal speculative position limits.
Appendix A to Part 150
List of Enumerated Bona Fide Hedges
Appendix B to Part 150
Guidance on Gross Hedging Positions and Positions Held During the Spot Period
Appendix C to Part 150
Guidance Regarding the Definition of Referenced Contract
Appendix D to Part 150
Commodities Listed as Substantially the Same for Purposes of the Term “Location Basis Contract” as Used in the Referenced Contract Definition
Appendix E to Part 150
Speculative Position Limit Levels
Appendix F to Part 150
Guidance on, and Acceptable Practices in, Compliance With the Requirements for Exchange-Set Limits and Position Accountability on Commodity Derivative Contracts
Appendix G to Part 150
Guidance on Spread Transaction Exemptions Granted for Contracts that are Subject to Federal Speculative Position Limits
Part 151 Part 151 [Reserved]
Part 155 Trading Standards 155.1 – 155.10
§ 155.1 Definitions.
§ 155.2 Trading standards for floor brokers.
§ 155.3 Trading standards for futures commission merchants.
§ 155.4 Trading standards for introducing brokers.
§§ 155.5-155.6 §§ 155.5-155.6 [Reserved]
§ 155.10 Exemptions.
Part 156 Broker Associations 156.1 – 156.4
§ 156.1 Definition.
§ 156.2 Registration of broker association.
§ 156.3 Contract market program for enforcement.
§ 156.4 Disclosure of Broker Association Membership.
Part 160 Privacy of Consumer Financial Information Under Title V of the Gramm-Leach-Bliley Act 160.1 – 160.30
§ 160.1 Purpose and scope.
§ 160.2 Model privacy form and examples.
§ 160.3 Definitions.
Subpart A Privacy and Opt Out Notices 160.4 – 160.9
Subpart B Limits on Disclosures 160.10 – 160.12
Subpart C Exceptions 160.13 – 160.15
Subpart D Relation to Other Laws; Effective Date 160.16 – 160.30
Appendix A to Part 160
Model Privacy Form
Appendix B to Part 160
Sample Clauses
Part 162 Protection of Consumer Information Under the Fair Credit Reporting Act 162.1 – 162.32
§ 162.1 Purpose and scope.
§ 162.2 Definitions.
Subpart A Business Affiliate Marketing Rules 162.3 – 162.20
Subpart B Disposal Rules 162.21
Subpart C Identity Theft Red Flags 162.30 – 162.32
Appendix A to Part 162
Sample Clauses
Appendix B to Part 162
Interagency Guidelines on Identity Theft Detection, Prevention, and Mitigation
Part 165 Whistleblower Rules 165.1 – 165.20
§ 165.1 General.
§ 165.2 Definitions.
§ 165.3 Procedures for submitting original information.
§ 165.4 Confidentiality.
§ 165.5 Requirements for consideration of an award.
§ 165.6 Whistleblowers ineligible for an award.
§ 165.7 Procedures for award applications in Commission actions and related actions, and Commission award determinations.
§ 165.8 Amount of award.
§ 165.9 Criteria for determining amount of award.
§ 165.10 Contents of record for award determination.
§ 165.11 Awards based upon related actions.
§ 165.12 Payment of awards from the Fund, financing of customer education initiatives, and deposits and credits to the Fund.
§ 165.13 Appeals.
§ 165.14 Procedures applicable to the payment of awards.
§ 165.15 Administering the whistleblower program.
§ 165.16 No immunity.
§ 165.17 Awards to whistleblowers who engage in culpable conduct.
§ 165.18 Staff communications with whistleblowers from represented entities.
§ 165.19 Nonenforceability of certain provisions waiving rights and remedies or requiring arbitration of disputes.
§ 165.20 Whistleblower anti-retaliation protections.
Appendix A to Part 165
Guidance With Respect to the Protection of Whistleblowers Against Retaliation
Appendix B to Part 165
Form TCR and Form WP-APP
Part 166 Customer Protection Rules 166.1 – 166.5
§ 166.1 Definitions.
§ 166.2 Authorization to trade.
§ 166.3 Supervision.
§ 166.4 Branch offices.
§ 166.5 Dispute settlement procedures.
Part 170 Registered Futures Associations 170.1 – 170.17
Subpart A Standards Governing Commission Review of Applications for Registration as a Futures Association Under Section 17 of the Act 170.1 – 170.10
Subpart B Registration Statement of Futures Associations to be Submitted to the Commission 170.11 – 170.12
Subpart C Membership in a Registered Futures Association 170.15 – 170.17
Part 171 Rules Relating to Review of National Futures Association Decisions in Disciplinary, Membership Denial, Registration and Member Responsibility Actions 171.1 – 171.50
Subpart A General Provisions 171.1 – 171.14
Subpart B Notice and Effective Date of Final Decisions in Disciplinary, Membership Denial and Registration Actions 171.20 – 171.28
Subpart C Commission Review of Final Decisions in Disciplinary, Membership Denial and Registration Actions 171.30 – 171.34
Subpart D Commission Review of Decisions by the National Futures Association In Member Responsibility Actions 171.40 – 171.46
Subpart E Delegation of Functions 171.50
Part 180 Prohibition Against Manipulation 180.1 – 180.2
§ 180.1 Prohibition on the employment, or attempted employment, of manipulative and deceptive devices.
§ 180.2 Prohibition on price manipulation.
Part 190 Bankruptcy Rules 190.00 – 190.19
Subpart A General Provisions 190.00 – 190.02
Subpart B Futures Commission Merchant as Debtor 190.03 – 190.10
Subpart C Clearing Organization as Debtor 190.11 – 190.19
Appendix A to Part 190
Customer Proof of Claim Form
Appendix B to Part 190
Special Bankruptcy Distributions
Parts 191-199 Parts 191-199 [Reserved]