CFR Title 17 Commodity and Securities Exchanges Parts 41 to 199 Revised as of April 1, 2018

MD17 41-199

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ISBN: 978-1-68388-029-5 (9781683880295)

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CFR Title 17|Code of Federal Regulations Title 17 Commodity and Securities Exchanges Parts 41 to 199 Revised as of April 1, 2018

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, 2018.

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 (Continued) 3
Finding Aids:
Table of CFR Titles and Chapters ....................................................... 511
Alphabetical List of Agencies Appearing in the CFR ......................... 531
List of CFR Sections Affected ............................................................. 541

CHAPTER I—COMMODITY FUTURES TRADING COMMISSION (CONTINUED)
Part Page
41 Security futures products ....................................... 5
42 Anti-money laundering, terrorist financing ........... 29
43 Real-time public reporting ...................................... 29
44 Interim final rule for pre-enactment swap transactions .................................................................. 68
45 Swap data recordkeeping and reporting requirements ................................................................... 70
46 Swap data recordkeeping and reporting requirements: pre-enactment and transition swaps ........ 102
48 Registration of foreign boards of trade ................... 119
49 Swap data repositories ............................................ 152
50 Clearing requirement and related rules .................. 188
75 Proprietary trading and certain interests in and relationships with covered funds .......................... 198
100 Delivery period required ......................................... 241
140 Organization, functions, and procedures of the Commission .......................................................... 241
141 Salary offset ............................................................ 268
142 Indemnification of CFTC employees ....................... 272
143 Collection of claims owed the United States arising from activities under the Commission’s jurisdiction.................................................................. 273
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 ............................................... 278
145 Commission records and information ..................... 280
146 Records maintained on individuals ......................... 294
147 Open Commission meetings ..................................... 303
148 Implementation of the Equal Access to Justice Act in covered adjudicatory proceedings before the Commission .......................................................... 310
149 Enforcement of nondiscrimination on the basis of handicap in programs or activities conducted by the Commodity Futures Trading Commission ..... 317

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