17 Commodity and Securities Exchanges 1 2009-04-01 2009-04-01 false Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION CHAPTER I—COMMODITY FUTURES TRADING COMMISSION Part Page 1 General regulations under the Commodity Exchange Act 5 2 Official seal 121 3 Registration 122 4 Commodity pool operators and commodity trading advisors 164 5 [Reserved] 7 Contract market rules altered or supplemented by the Commission 214 8 Exchange procedures for disciplinary, summary, and membership denial actions 215 9 Rules relating to review of exchange disciplinary, access denial or other adverse actions 222 10 Rules of practice 232 11 Rules relating to investigations 265 12 Rules relating to reparations 269 13 Public rulemaking procedures 308 14 Rules relating to suspension or disbarment from appearance and practice 310 15 Reports—general provisions 312 16 Reports by reporting markets 321 17 Reports by reporting markets, futures commission merchants, clearing members, and foreign brokers 324 18 Reports by traders 331 19 Reports by persons holding bona fide hedge positions pursuant to § 1.3(z) of this chapter and by merchants and dealers in cotton 335 20 [Reserved] 21 Special calls 337 30 Foreign futures and foreign options transactions 343 31 Leverage transactions 359 32 Regulation of commodity option transactions 392 33 Regulation of domestic exchange-traded commodity option transactions 406 34 Regulation of hybrid instruments 416 35 Exemption of swap agreements 417 36 Exempt markets 419 37 Derivatives transaction execution facilities 437 38 Designated contract markets 448 39 Derivatives clearing organizations 461 40 Provisions common to registered entities 469 41 Security futures products 486 42 Anti-money laundering, terrorist financing 511 100 Delivery period required 511 140 Organization, functions, and procedures of the Commission 512 141 Salary offset 537 142 Indemnification of CFTC employees 541 143 Collection of claims owed the United States arising from activities under the Commission's jurisdiction 542 144 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 545 145 Commission records and information 547 146 Records maintained on individuals 561 147 Open Commission meetings 571 148 Implementation of the Equal Access to Justice Act in covered adjudicatory proceedings before the Commission 577 149 Enforcement of nondiscrimination on the basis of handicap in programs or activities conducted by the Commodity Futures Trading Commission 584 150 Limits on positions 590 155 Trading standards 596 156 Broker Associations 599 160 Privacy of consumer financial information 601 166 Customer protection rules 619 170 Registered futures associations 622 171 Rules relating to review of National Futures Association decisions in disciplinary, membership denial, registration and member responsibility actions 626 190 Bankruptcy 640 191-199 [Reserved]