Office of the Federal Register (OFR)

LoS: 17 CFR

Title 17: Commodity and Securities Exchange

List of Subjects revised as of January 1, 2024.

17 CFR Part 1_General regulations under the Commodity Exchange Act.: Administrative practice and procedure; Agricultural commodity; Agriculture; Banks, banking; Brokers; Commodity futures; Conflicts of interest; Consumer protection; Reporting and recordkeeping requirements; Savings associations; Swaps
17 CFR Part 2_Official seal.: Seals and insignia
17 CFR Part 3_Registration.: Administrative practice and procedure; Commodity futures; Consumer protection; Foreign banking; 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; Claims; Consumer protection; Organization and functions (Government agencies)
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; Commodity futures; Reporting and recordkeeping requirements; Swaps
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; Commodity futures; Reporting and recordkeeping requirements; Swaps
17 CFR Part 18_Reports by traders.: Reporting and recordkeeping requirements
17 CFR Part 19_Reports by persons holding reportable positions in excess of position limits, and by merchants and dealers in cotton.: Commodity futures; Cotton; Grains; Reporting and recordkeeping requirements; Swaps
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.: Authority delegations (Government agencies); Banks, banking; Commodity futures; Foreign banking; Foreign currencies; Freedom of information; Investments; Reporting and recordkeeping requirements; Securities; Swaps; Trade practices
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_Trade execution requirement.: Commodity futures; Trade practices
17 CFR Part 37_Swap execution facilities.: Banks, banking; 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.: Administrative practice and procedure; Business and industry; Commodity futures; Consumer protection; Credit; Foreign banking; Freedom of information; Law enforcement; Reporting and recordkeeping requirements; Swaps
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; Cooperatives; Reporting and recordkeeping requirements; 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; Penalties; 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.: Commodity futures; Cotton; Grains; Investments; 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)
17 CFR Part 201_Rules of practice.: Administrative practice and procedure; Brokers; Claims; Confidential business information; Equal access to justice; Lawyers; Penalties; Reporting and recordkeeping requirements; Securities
17 CFR Part 202_Informal and other procedures.: Administrative practice and procedure; Reporting and recordkeeping requirements; 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 227_Regulation crowdfunding, general rules and regulations.: Crowdfunding; 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_Regulation S-K.: Investment companies; Reporting and recordkeeping requirements; Securities
17 CFR Part 230_General rules and regulations, Securities Act of 1933.: 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; Electronic filing; Incorporation by reference; Investment companies; 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.: Administrative practice and procedure; Brokers; Confidential business information; Fraud; Reporting and recordkeeping requirements; Securities; Swaps
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; Confidential business information; 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.: 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.: Investment companies; Reporting and recordkeeping requirements; Securities
17 CFR Part 249b_Further forms, Securities Exchange Act of 1934.: Brokers; Reporting and recordkeeping requirements; Securities
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; Investments; 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.: Administrative practice and procedure; Confidential business information; Fraud; Incorporation by reference; 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.: Investment companies; Reporting and recordkeeping requirements; Securities
17 CFR Part 275_Rules and regulations, Investment Advisers Act of 1940.: Administrative practice and procedure; Investment advisers; 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.: Investment companies; 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 financial institutions; 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; International financial institutions; Reporting and recordkeeping requirements
17 CFR Part 287_General rules and regulations pursuant to Section 11(a) of the Asian Development Bank Act.: Banks, banking; International financial institutions; Reporting and recordkeeping requirements
17 CFR Part 288_General rules and regulations pursuant to Section 9(a) of the African Development Bank Act.: Banks, banking; International financial institutions; 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 financial institutions; 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; International financial institutions; 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 302_Orderly liquidation of covered brokers or dealers.: Brokers; Claims; Holding companies; Insurance; Investments; Trusts and trustees
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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