17 CFR Part 140 — Organization, Functions, and Procedures of the Commission
Subpart A — Organization
Subpart B — Functions
- § 140.10— The Commission.
- § 140.11— Emergency action by the senior Commissioner available.
- § 140.12— Disposition of business by seriatim Commission consideration.
- § 140.13— Vacancy in position of Chairman.
- § 140.14— Delegation of authority to the Secretary of the Commission.
- § 140.20— Designation of senior official to oversee Commission use of national security information.
- § 140.21— Definitions.
- § 140.22— Procedures.
- § 140.23— General access requirements.
- § 140.24— Control and accountability procedures.
- § 140.72— Delegation of authority to disclose confidential information to a registered entity, swap execution facility, swap data repository, registered futures association or self-regulatory organization.
- § 140.73— Delegation of authority to disclose information to United States, States, and foreign government agencies and foreign futures authorities.
- § 140.74— Delegation of authority to issue special calls for Series 03 Reports.
- § 140.75— Delegation of authority to the Director of the Division of Clearing and Risk and to the Director of the Market Participants Division.
- § 140.76— Delegation of authority to disclose information in a receivership or bankruptcy proceeding.
- § 140.77— Delegation of authority to determine that applications for contract market designation, swap execution facility registration, or swap data repository registration are materially incomplete.
- § 140.80— Disclosure of information pursuant to a subpoena or summons.
- § 140.91— Delegation of authority to the Director of the Division of Clearing and Risk and to the Market Participants Division.
- § 140.92— Delegation of authority to grant registrations and renewals thereof.
- § 140.93— Delegation of authority to the Director of the Market Participants Division.
- § 140.94— Delegation of authority to the Director of the Market Participants Division and to the Director of the Division of Clearing and Risk.
- § 140.95— Delegation of authority with respect to withdrawals from registration.
- § 140.96— Delegation of authority to publish in the Federal Register.
- § 140.98— Publication of no-action, interpretative and exemption letters and other written communications.
- § 140.99— Requests for exemptive, no-action and interpretative letters.
Subpart C — Regulation Concerning Conduct of Members and Employees and Former Members and Employees of the Commission
- § 140.735-1— Authority and purpose.
- § 140.735-2— Prohibited transactions.
- § 140.735-2a— Prohibited interests.
- § 140.735-3— Non-governmental employment and other outside activity.
- § 140.735-4— Receipt and disposition of foreign gifts and decorations.
- § 140.735-5— Disclosure of information.
- § 140.735-6— Practice by former members and employees of the Commission.
- § 140.735-7— Statutory violations applicable to conduct of Commission members and employees.
- § 140.735-8— Interpretative and advisory service.