Federal Register

Code of Federal Regulations (CFR)

CFR TITLE 17

List of Subjects revised as of July 1, 2015.

17 CFR Part 1_General regulations under the Commodity Exchange Act.
Commodity futures
Reporting and recordkeeping requirements
17 CFR Part 2_Official seal.
Seals and insignia
17 CFR Part 3_Registration.
Administrative practice and procedure
Commodity futures
Reporting and recordkeeping requirements
17 CFR Part 4_Commodity pool operators and commodity trading advisers.
Advertising
Brokers
Commodity futures
Consumer protection
Reporting and recordkeeping requirements
17 CFR Part 5_Off-Exchange Foreign Currency Transactions.
Commodity futures
Consumer protection
Foreign currencies
Reporting and recordkeeping requirements
Securities
Trade practices
17 CFR Part 7_Registered entity rules altered or supplemented by the Commission.
Commodity futures
Consumer protection
17 CFR Part 9_Rules relating to review of exchange disciplinary, access denial or other adverse actions.
Administrative practice and procedure
Reporting and recordkeeping requirements
17 CFR Part 10_Rules of practice.
Administrative practice and procedure
Authority delegations (Government agencies)
Swaps
17 CFR Part 11_Rules relating to investigations.
Administrative practice and procedure
Investigations
17 CFR Part 12_Rules relating to reparations.
Administrative practice and procedure
Consumer protection
17 CFR Part 13_Public rulemaking procedures.
Administrative practice and procedure
17 CFR Part 14_Rules relating to suspension or disbarment from appearance and practice.
Administrative practice and procedure
Lawyers
17 CFR Part 15_Reports_general provisions.
Brokers
Reporting and recordkeeping requirements
17 CFR Part 16_Reports by reporting markets.
Reporting and recordkeeping requirements
17 CFR Part 17_Reports by reporting markets, futures commission merchants, clearing members, and foreign brokers.
Brokers
Reporting and recordkeeping requirements
17 CFR Part 18_Reports by traders.
Reporting and recordkeeping requirements
17 CFR Part 19_Reports by persons holding bona fide hedge positions pursuant to l.3(z) of this chapter and by merchants and dealers in cotton.
Cotton
Grains
Reporting and recordkeeping requirements
17 CFR Part 20_Large trader reporting for physical commodity swaps.
Administrative practice and procedure
Reporting and recordkeeping requirements
17 CFR Part 21_Special calls.
Brokers
Reporting and recordkeeping requirements
17 CFR Part 22_Cleared swaps.
Brokers
Consumer protection
Reporting and recordkeeping requirements
Swaps
17 CFR Part 23_Swap dealers and major swap participants.
Swaps
17 CFR Part 30_Foreign futures and foreign options transactions.
Consumer protection
Fraud
17 CFR Part 31_Leverage transactions.
Consumer protection
Currency
Fraud
Gold
Reporting and recordkeeping requirements
Silver
17 CFR Part 32_Regulation of commodity option transactions.
Administrative practice and procedure
Brokers
Consumer protection
Fraud
Reporting and recordkeeping requirements
17 CFR Part 33_Regulation of domestic exchange-traded commodity option transactions.
Consumer protection
Fraud
Reporting and recordkeeping requirements
17 CFR Part 34_Regulation of hybrid instruments.
Commodity futures
17 CFR Part 35_Swaps in an agricultural commodity (agricultural swaps).
Commodity futures
17 CFR Part 36_Exempt markets.
Commodity futures
17 CFR Part 37_Swap execution facilities.
Commodity futures
Reporting and recordkeeping requirements
Swaps
17 CFR Part 38_Designated contract markets.
Commodity futures
Reporting and recordkeeping requirements
17 CFR Part 39_Derivatives clearing organizations.
Consumer protection
Reporting and recordkeeping requirements
17 CFR Part 40_Provisions common to registered entities.
Commodity futures
Reporting and recordkeeping requirements
17 CFR Part 41_Security futures products.
Brokers
Reporting and recordkeeping requirements
Securities
17 CFR Part 42_Anti-money laundering, terrorist financing.
Brokers
Reporting and recordkeeping requirements
Terrorism
17 CFR Part 43_Real-time public reporting.
Consumer protection
Reporting and recordkeeping requirements
Swaps
17 CFR Part 44_Interim final rules for pre-enactment swap transactions.
Reporting and recordkeeping requirements
17 CFR Part 45_Swap data recordkeeping and reporting.
Swaps
17 CFR Part 46_Swap data recordkeeping and reporting requirements: pre-enactment and transition swaps.
Swaps
17 CFR Part 48_Registration of foreign boards of trade.
Reporting and recordkeeping requirements
17 CFR Part 49_Swap data repositories.
Administrative practice and procedure
Reporting and recordkeeping requirements
17 CFR Part 50_Clearing requirement and related rules.
Business and industry
Swaps
17 CFR Part 75_Proprietary trading and certain interests in and relationships with covered funds.
Banks, banking
Credit
Government securities
Insurance
Investments
National banks
Penalties
Reporting and recordkeeping requirements
Savings associations
Securities
Swaps
Trusts and trustees
17 CFR Part 100_Delivery period required.
Commodity futures
Grains
17 CFR Part 140_Organization, functions, and procedures of the Commission.
Authority delegations (Government agencies)
Conflicts of interest
Organization and functions (Government agencies)
17 CFR Part 141_Salary offset.
Claims
Government securities
Wages
17 CFR Part 142_Indemnification of CFTC employees.
Claims
Government employees
17 CFR Part 143_Collection of claims owed the United States arising from activities under the Commission's jurisdiction.
Claims
Wages
17 CFR 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.
Administrative practice and procedure
Courts
Government employees
17 CFR Part 145_Commission records and information.
Conflicts of interest
Freedom of information
17 CFR Part 146_Records maintained on individuals.
Privacy
17 CFR Part 147_Open Commission meetings.
Sunshine Act
17 CFR Part 148_Implementation of the Equal Access to Justice Act in covered adjudicatory proceedings before the Commission.
Claims
Equal access to justice
Lawyers
17 CFR Part 149_Enforcement of nondiscrimination on basis of handicap in programs or activities conducted by the Commodity Futures Trading Commission.
Administrative practice and procedure
Civil rights
Equal employment opportunity
Federal buildings and facilities
Individuals with disabilities
17 CFR Part 150_Limits on positions.
Cotton
Grains
17 CFR Part 151_Position limits for futures and swaps.
Swaps
17 CFR Part 155_Trading standards.
Brokers
Reporting and recordkeeping requirements
17 CFR Part 156_Broker associations.
Brokers
Reporting and recordkeeping requirements
17 CFR Part 160_Privacy of consumer financial information under Title V of the Gramm-Leach-Bliley Act.
Administrative practice and procedure
Brokers
Consumer protection
Privacy
Reporting and recordkeeping requirements
17 CFR Part 162_Protection of consumer information under the Fair Credit Reporting Act.
Administrative practice and procedure
Brokers
Privacy
Reporting and recordkeeping requirements
17 CFR Part 165_Whistleblower rules.
Administrative practice and procedure
Government employees
Investigations
Whistleblowing
17 CFR Part 166_Customer protection rules.
Brokers
Commodity futures
Consumer protection
Reporting and recordkeeping requirements
17 CFR Part 170_Registered futures associations.
Authority delegations (Government agencies)
Commodity futures
Reporting and recordkeeping requirements
17 CFR Part 171_Rules relating to review of National Futures Association decisions in disciplinary, membership denial, registration and member responsibility actions.
Administrative practice and procedure
17 CFR Part 180_Prohibition against manipulation.
Administrative practice and procedure
Commodity futures
17 CFR Part 190_Bankruptcy.
Bankruptcy
Brokers
Reporting and recordkeeping requirements
17 CFR Part 200_Organization; conduct and ethics; and information and requests.
Administrative practice and procedure
Authority delegations (Government agencies)
Civil rights
Classified information
Conflicts of interest
Environmental impact statements
Equal employment opportunity
Federal buildings and facilities
Freedom of information
Government securities
Organization and functions (Government agencies)
Privacy
Reporting and recordkeeping requirements
Sunshine Act
17 CFR Part 201_Rules of practice.
Administrative practice and procedure
Brokers
Claims
Confidential business information
Equal access to justice
Lawyers
Penalties
Securities
17 CFR Part 202_Informal and other procedures.
Administrative practice and procedure
Securities
17 CFR Part 203_Rules relating to investigations.
Administrative practice and procedure
Investigations
Securities
17 CFR Part 204_Rules relating to debt collection.
Claims
Government securities
Income taxes
Reporting and recordkeeping requirements
Wages
17 CFR Part 205_Standards of professional conduct for attorneys appearing and practicing before the Commission in the representation of an issuer.
Conflicts of interest
Lawyers
Reporting and recordkeeping requirements
17 CFR Part 209_Forms prescribed under the Commission's rules of practice.
Administrative practice and procedure
17 CFR Part 210_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.
Accountants
Accounting
Banks, banking
Employee benefit plans
Holding companies
Insurance companies
Investment companies
Oil and gas exploration
Reporting and recordkeeping requirements
Securities
Utilities
17 CFR Part 211_Interpretations relating to financial reporting matters.
Accounting
Reporting and recordkeeping requirements
Securities
17 CFR Part 229_Standard instructions for filing forms under Securities Act of 1933, Securities Exchange Act of 1934, and Energy Policy and Conservation Act of 1975.
Reporting and recordkeeping requirements
Securities
17 CFR Part 230_General rules and regulations, Securities Act of 1933.
Advertising
Confidential business information
Investment companies
Reporting and recordkeeping requirements
Securities
17 CFR Part 231_Interpretative releases relating to the Securities Act of 1933 and general rules and regulations thereunder.
Securities
17 CFR Part 232_Regulation S-T_general rules and regulations for electronic filings.
Administrative practice and procedure
Confidential business information
Reporting and recordkeeping requirements
Securities
17 CFR Part 239_Forms prescribed under the Securities Act of 1933.
Reporting and recordkeeping requirements
Securities
17 CFR Part 240_General rules and regulations, Securities Exchange Act of 1934.
Brokers
Confidential business information
Fraud
Reporting and recordkeeping requirements
Securities
17 CFR Part 241_Interpretative releases relating to the Securities Exchange Act of 1934 and general rules and regulations thereunder.
Securities
17 CFR Part 242_Regulations M, SHO, ATS, AC, and NMS and customer margin requirements for security futures.
Brokers
Fraud
Reporting and recordkeeping requirements
Securities
17 CFR Part 243_Regulation FD.
Reporting and recordkeeping requirements
Securities
17 CFR Part 244_Regulation G.
Reporting and recordkeeping requirements
Securities
17 CFR Part 245_Regulation blackout trading restriction (Regulation BTR_Blackout trading restriction.
Reporting and recordkeeping requirements
Securities
17 CFR Part 246_Credit risk retention.
Reporting and recordkeeping requirements
Securities
17 CFR Part 247_Regulation R-exemptions and definitions related to the exceptions for banks from the definition of broker.
Banks, banking
Securities
17 CFR Part 248_Regulations S-P, S-AM, and S-ID.
Brokers
Confidential business information
Consumer protection
Credit
Fraud
Investment companies
Privacy
Reporting and recordkeeping requirements
Securities
Security measures
17 CFR Part 249_Forms, Securities Exchange Act of 1934.
Brokers
Reporting and recordkeeping requirements
Securities
17 CFR Part 249b_Further forms, Securities Exchange Act of 1934.
Brokers
Reporting and recordkeeping requirements
17 CFR Part 250_Cross-border antifraud law-enforcement authority.
Securities
17 CFR Part 255_Proprietary trading and certain interests in and relationships with covered funds.
Banks, banking
Brokers
Reporting and recordkeeping requirements
Securities
17 CFR Part 260_General rules and regulations, Trust Indenture Act of 1939.
Reporting and recordkeeping requirements
Securities
Trusts and trustees
17 CFR Part 261_Interpretative releases relating to the Trust Indenture Act of 1939 and general rules and regulations thereunder.
Securities
Trusts and trustees
17 CFR Part 269_Forms prescribed under the Trust Indenture Act of 1939.
Reporting and recordkeeping requirements
Securities
Trusts and trustees
17 CFR Part 270_Rules and regulations, Investment Company Act of 1940.
Confidential business information
Fraud
Investment companies
Life insurance
Reporting and recordkeeping requirements
Securities
17 CFR Part 271_Interpretative releases relating to the Investment Company Act of 1940 and general rules and regulations thereunder.
Investment companies
Securities
17 CFR Part 274_Forms prescribed under the Investment Company Act of 1940.
Electronic funds transfer
Investment companies
Reporting and recordkeeping requirements
Securities
17 CFR Part 275_Rules and regulations, Investment Advisers Act of 1940.
Reporting and recordkeeping requirements
Securities
17 CFR Part 276_Interpretative releases relating to the Investment Advisers Act of 1940 and general rules and regulations thereunder.
Securities
17 CFR Part 279_Forms prescribed under the Investment Advisers Act of 1940.
Reporting and recordkeeping requirements
Securities
17 CFR Part 281_Interpretative releases relating to corporate reorganizations under Chapter X of the Bankruptcy Act.
Bankruptcy
17 CFR Part 285_Rules and regulations pursuant to Section 15(a) of the Bretton Woods Agreements Act.
Banks, banking
International Bank for Reconstruction and Development
Reporting and recordkeeping requirements
17 CFR Part 286_General rules and regulations pursuant to Section 11(a) of the Inter-American Development Bank Act.
Banks, banking
Inter-American Development Bank
Reporting and recordkeeping requirements
17 CFR Part 287_General rules and regulations pursuant to Section 11(a) of the Asian Development Bank Act.
Asian Development Bank
Banks, banking
Reporting and recordkeeping requirements
17 CFR Part 288_General rules and regulations pursuant to Section 9(a) of the African Development Bank Act.
African Development Bank
Banks, banking
Reporting and recordkeeping requirements
17 CFR Part 289_General rules and regulations pursuant to Section 13(a) of the International Finance Corporation Act.
Banks, banking
International Finance Corporation
Reporting and recordkeeping requirements
17 CFR Part 290_General rules and regulations pursuant to Section 9(a) of the European Bank for Reconstruction and Development Act.
Banks, banking
European Bank for Reconstruction and Development
Reporting and recordkeeping requirements
17 CFR Part 300_Rules of the Securities Investor Protection Corporation.
Brokers
Securities
17 CFR Part 301_Forms, Securities Investor Protection Corporation.
Brokers
Securities
17 CFR Part 400_Rules of general application.
Administrative practice and procedure
Banks, banking
Brokers
Government securities
Reporting and recordkeeping requirements
17 CFR Part 401_Exemptions.
Banks, banking
Brokers
Government securities
17 CFR Part 402_Financial responsibility.
Brokers
Government securities
17 CFR Part 403_Protection of customer securities and balances.
Banks, banking
Brokers
Government securities
17 CFR Part 404_Recordkeeping and preservation of records.
Banks, banking
Brokers
Government securities
Reporting and recordkeeping requirements
17 CFR Part 405_Reports and audit.
Brokers
Government securities
Reporting and recordkeeping requirements
17 CFR Part 420_Large position reporting.
Banks, banking
Brokers
Government securities
Reporting and recordkeeping requirements
17 CFR Part 449_Forms, Section 15C of the Securities Exchange Act of 1934.
Banks, banking
Brokers
Government securities
Reporting and recordkeeping requirements
17 CFR Part 450_Custodial holdings of Government securities by depository institutions.
Banks, banking
Government securities
Reporting and recordkeeping requirements

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