Code of Federal Regulations

General Regulations Under the Commodity Exchange Act

Official Seal

Registration

Commodity Pool Operators and Commodity Trading Advisors

Off-Exchange Foreign Currency Transactions

Registered Entity Rules Altered or Supplemented by the Commission

Rules Relating to Review of Exchange Disciplinary, Access Denial or Other Adverse Actions

Rules of Practice

Rules Relating to Investigations

Rules Relating to Reparations

Procedures for Petitions for Rulemaking

Rules Relating to Suspension or Disbarment from Appearance and Practice

Reports—General Provisions

Reports by Contract Markets and Swap Execution Facilities

Reports by Reporting Markets, Futures Commission Merchants, Clearing Members, and Foreign Brokers

Reports by Traders

Reports by Persons Holding Reportable Positions in Excess of Position Limits, and by Merchants and Dealers in Cotton

Large Trader Reporting for Physical Commodity Swaps

Special Calls

Cleared Swaps

Swap Dealers and Major Swap Participants

Foreign Futures and Foreign Options Transactions

Leverage Transactions

Regulation of Commodity Option Transactions

Regulation of Commodity Option Transactions That Are Options on Contracts of Sale of a Commodity for Future Delivery

Regulation of Hybrid Instruments

Swaps in an Agricultural Commodity (Agricultural Swaps)

Trade Execution Requirement

Swap Execution Facilities

Designated Contract Markets

Derivatives Clearing Organizations

Provisions Common to Registered Entities

Security Futures Products

Anti-Money Laundering, Terrorist Financing

Real-Time Public Reporting

Interim Final Rule for Pre-Enactment Swap Transactions

Swap Data Recordkeeping and Reporting Requirements

Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps

Registration of Foreign Boards of Trade

Swap Data Repositories

Clearing Requirement and Related Rules

Proprietary Trading and Certain Interests in and Relationships with Covered Funds

Delivery Period Required

Organization, Functions, and Procedures of the Commission

Salary Offset

Indemnification of CFTC Employees

Collection of Claims Owed the United States Arising from Activities Under the Commission's Jurisdiction

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

Commission Records and Information

Records Maintained on Individuals

Open Commission Meetings

Implementation of the Equal Access to Justice Act in Covered Adjudicatory Proceedings Before the Commission

Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Commodity Futures Trading Commission

Limits on Positions

Trading Standards

Broker Associations

Privacy of Consumer Financial Information Under Title V of the Gramm-Leach-Bliley Act

Protection of Consumer Information Under the Fair Credit Reporting Act

Whistleblower Rules

Customer Protection Rules

Registered Futures Associations

Rules Relating to Review of National Futures Association Decisions in Disciplinary, Membership Denial, Registration and Member Responsibility Actions

Prohibition Against Manipulation

Bankruptcy Rules

Organization; Conduct and Ethics; and Information and Requests

Rules of Practice

Informal and Other Procedures

Rules Relating to Investigations

Rules Relating to Debt Collection

Standards of Professional Conduct for Attorneys Appearing and Practicing Before the Commission in the Representation of an Issuer

Forms Prescribed Under the Commission's Rules of Practice

Form and Content of and Requirements for Financial Statements, Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, and Energy Policy and Conservation Act of 1975

Regulation Crowdfunding, General Rules and Regulations

Standard Instructions for Filing Forms Under Securities Act of 1933, Securities Exchange Act of 1934 and Energy Policy and Conservation Act of 1975—Regulation S-K

General Rules and Regulations, Securities Act of 1933

Part § 232

Regulation S-T—General Rules and Regulations for Electronic Filings

Forms Prescribed Under the Securities Act of 1933

General Rules and Regulations, Securities Exchange Act of 1934

Regulations M, Sho, ATS, AC, NMS, SE, and SBSR, and Customer Margin Requirements for Security Futures

Regulation FD

Regulation G

Regulation Blackout Trading Restriction

Credit Risk Retention

Regulation R—Exemptions and Definitions Related to the Exceptions for Banks from the Definition of Broker

Regulations S-P, S-AM, and S-ID

Forms, Securities Exchange Act of 1934

Further Forms, Securities Exchange Act of 1934

Cross-Border Antifraud Law-Enforcement Authority

Proprietary Trading and Certain Interests in and Relationships with Covered Funds

General Rules and Regulations, Trust Indenture Act of 1939

Forms Prescribed Under the Trust Indenture Act of 1939

Rules and Regulations, Investment Company Act of 1940

Forms Prescribed Under the Investment Company Act of 1940

Rules and Regulations, Investment Advisers Act of 1940

Forms Prescribed Under the Investment Advisers Act of 1940

Rules and Regulations Pursuant to Section 15(a) of the Bretton Woods Agreements Act

General Rules and Regulations Pursuant to Section 11(a) of the Inter-American Development Bank Act

General Rules and Regulations Pursuant to Section 11(a) of the Asian Development Bank Act

General Rules and Regulations Pursuant to Section 9(a) of the African Development Bank Act

General Rules and Regulations Pursuant to Section 13(a) of the International Finance Corporation Act

General Rules and Regulations Pursuant to Section 9(a) of the European Bank for Reconstruction and Development Act

Rules of the Securities Investor Protection Corporation

Forms, Securities Investor Protection Corporation

Orderly Liquidation of Covered Brokers or Dealers

Rules of General Application

Exemptions

Financial Responsibility

Protection of Customer Securities and Balances

Recordkeeping and Preservation of Records

Reports and Audit

Large Position Reporting

Forms, Section 15C of the Securities Exchange Act of 1934

Custodial Holdings of Government Securities by Depository Institutions