CFR Title 17 Commodity and Securities Exchanges Parts 1 to 40 Revised as of April 1, 2017

CFR Title 17|Code of Federal Regulations Title 17 Commodity and Securities Exchanges Parts 1 to 40 Revised as of April 1, 2017

Title 17—COMMODITY AND SECURITIES EXCHANGES is composed of four volumes. The first two volumes containing parts 1—40, and 41—199 comprise Chapter I— Commodity Futures Trading Commission. The third volume contains Chapter II— Securities and Exchange Commission, parts 200—239. The fourth volume, comprising part 240 to end, contains the remaining regulations of the Securities and Exchange Commission, and Chapter IV—Department of the Treasury. The contents of these volumes represent all current regulations issued by the Commodity Futures Trading Commission, the Securities and Exchange Commission, and the Department of the Treasury as of April 1, 2017.

The OMB control numbers for the Securities and Exchange Commission appear in § 200.800 of chapter II. For the convenience of the user, § 200.800 is reprinted in the Finding Aids section of the volume containing part 240 to end.

For this volume, Ann Worley was Chief Editor. The Code of Federal Regulations publication program is under the direction of John Hyrum Martinez, assisted by Stephen J. Frattini.

Table of Contents

Page
Explanation ................................................................................................ v
Title 17:
Chapter I—Commodity Futures Trading Commission ..................... 3
Finding Aids:
Table of CFR Titles and Chapters ....................................................... 891
Alphabetical List of Agencies Appearing in the CFR ......................... 911
List of CFR Sections Affected ............................................................. 921

CHAPTER I—COMMODITY FUTURES TRADING COMMISSION
Part Page
1 General regulations under the Commodity Exchange
Act ........................................................... 5
2 Official seal ............................................................. 180
3 Registration ............................................................ 181
4 Commodity pool operators and commodity trading
advisors ................................................................ 227
5 Off-exchange foreign currency transactions ........... 343
7 Registered entity rules altered or supplemented by
the Commission .................................................... 373
8 [Reserved]
9 Rules relating to review of exchange disciplinary,
access denial or other adverse actions ................. 373
10 Rules of practice ..................................................... 384
11 Rules relating to investigations .............................. 416
12 Rules relating to reparations .................................. 420
13 Public rulemaking procedures ................................ 460
14 Rules relating to suspension or disbarment from
appearance and practice ....................................... 461
15 Reports—general provisions .................................... 464
16 Reports by contract markets and swap execution
facilities ............................................................... 472
17 Reports by reporting markets, futures commission
merchants, clearing members, and foreign brokers
...................................................................... 475
18 Reports by traders ................................................... 509
19 Reports by persons holding bona fide hedge positions
pursuant to § 1.3(z) of this chapter and by
merchants and dealers in cotton .......................... 520
20 Large trader reporting for physical commodity
swaps .................................................................... 522
21 Special calls ............................................................ 543
22 Cleared swaps .......................................................... 546
23 Swap dealers and major swap participants ............. 562
30 Foreign futures and foreign options transactions ... 628
31 Leverage transactions ............................................. 658