17 CFR Chapter I COMMODITY FUTURES TRADING COMMISSION | Code of Federal Regulations | US Law | LawStack Online

17 CFR Chapter I

COMMODITY FUTURES TRADING COMMISSION

April 15, 2021

ANTI-MONEY LAUNDERING, TERRORIST FINANCING

REAL-TIME PUBLIC REPORTING

INTERIM FINAL RULE FOR PRE-ENACTMENT SWAP TRANSACTIONS

GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT

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

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

SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS

DESIGNATED CONTRACT MARKETS

DERIVATIVES CLEARING ORGANIZATIONS

PROVISIONS COMMON TO REGISTERED ENTITIES

SECURITY FUTURES PRODUCTS

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

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

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