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CFTC Regulations
Title
CFTC Regulations.
Physical Description
1 online resource : digital.
Frequency
Biweekly.
Notes
Description based on online resource; title from contents screen of Securities - Federal & International practice area (Cheetah, viewed June 18, 2019).
Summary
Laws, regulations, forms, interpretations, explanations, administrative rulings and court decisions relating to commodity futures and derivatives products regulated by the Commodity Futures Trading Commission (CFTC). The reporter provides the full text of the Commodity Exchange Act and related laws, as well as CFTC regulations, forms, and staff letters, advisories, and guidance. Selected administrative proceedings and court decisions are published in full text. The reporter also provides explanatory material in a topical arrangement (General Guide, Definitions, Contract Markets, Registration, Reports Records, Liabilities and Prohibitions).
Format
Online
Language
English
Added to Catalog
September 12, 2019
Bibliography
Includes bibliographical references.
Contents
GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT
OFFICIAL SEAL
REGISTRATION
COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS
OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS
REGISTERED ENTITY RULES ALTERED OR SUPPLEMENTED BY THE COMMISSION
[Reserved]
RULES RELATING TO REVIEW OF EXCHANGE DISCIPLINARY, ACCESS DENIAL OR OTHER ADVERSE ACTIONS
RULES OF PRACTICE
RULES RELATING TO INVESTIGATIONS
RULES RELATING TO REPARATION PROCEEDINGS
PUBLIC RULEMAKING PROCEDURES
RULES RELATING TO SUSPENSION OR DISBARMENT FROM APPEARANCE AND PRACTICE
REPORTS—GENERAL PROVISIONS
REPORTS BY CONTRACT MARKETS AND SWAP EXECUTION FACILITIES
REPORTS BY REPORTING MARKETS, FUTURES COMMISSION MERCHANTS, CLEARING MEMBERS, AND FOREIGN BROKERS
REPORTS BY TRADERS
REPORTS BY PERSONS HOLDING BONA FIDE HEDGE POSITIONS PURSUANT TO §1.3(Z) OF THIS CHAPTER AND BY MERCHANTS AND DEALERS IN COTTON
LARGE TRADER REPORTING FOR PHYSICAL COMMODITY SWAPS
SPECIAL CALLS
CLEARED SWAPS
SWAP DEALERS AND MAJOR SWAP PARTICIPANTS
FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS
LEVERAGE TRANSACTIONS
REGULATION OF COMMODITY OPTION TRANSACTIONS
REGULATION OF COMMODITY OPTION TRANSACTIONS THAT ARE OPTIONS ON CONTRACTS OF SALE OF A COMMODITY FOR FUTURE DELIVERY
REGULATION OF HYBRID INSTRUMENTS
SWAPS IN AN AGRICULTURAL COMMODITY (AGRICULTURAL SWAPS)
[REMOVED AND RESERVED]
SWAP EXECUTION FACILITIES
DESIGNATED CONTRACT MARKETS
DERIVATIVES CLEARING ORGANIZATIONS
PROVISIONS COMMON TO REGISTERED ENTITIES
SECURITY FUTURES PRODUCTS
ANTI-MONEY LAUNDERING, TERRORIST FINANCING
REAL-TIME PUBLIC REPORTING
INTERIM FINAL RULE FOR PRE-ENACTMENT SWAP TRANSACTIONS
SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS
SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS: PRE-ENACTMENT AND TRANSITION SWAPS
REGISTRATION OF FOREIGN BOARDS OF TRADE
SWAP DATA REPOSITORIES
CLEARING REQUIREMENT AND RELATED RULES
PROPRIETARY TRADING AND CERTAIN INTERESTS IN AND RELATIONSHIPS WITH COVERED FUNDS
DELIVERY PERIOD REQUIRED
ORGANIZATION, FUNCTIONS, AND PROCEDURES OF THE COMMISSION
SALARY OFFSET
INDEMNIFICATION OF CFTC EMPLOYEES
COLLECTION OF CLAIMS OWED THE UNITED STATES ARISING FROM ACTIVITIES UNDER THE COMMISSION'S JURISDICTION
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
COMMISSION RECORDS AND INFORMATION
RECORDS MAINTAINED ON INDIVIDUALS
OPEN COMMISSION MEETINGS
IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT IN COVERED ADJUDICATORY PROCEEDINGS BEFORE THE COMMISSION
ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE COMMODITY FUTURES TRADING COMMISSION
LIMITS ON POSITIONS
POSITION LIMITS FOR FUTURES AND SWAPS
TRADING STANDARDS
BROKER ASSOCIATIONS
PRIVACY OF CONSUMER FINANCIAL INFORMATION
PROTECTION OF CONSUMER INFORMATION UNDER THE FAIR CREDIT REPORTING ACT
WHISTLEBLOWER RULES
CUSTOMER PROTECTION RULES
REGISTERED FUTURES ASSOCIATIONS
RULES RELATING TO REVIEW OF NATIONAL FUTURES ASSOCIATION DECISIONS IN DISCIPLINARY, MEMBERSHIP DENIAL, REGISTRATION AND MEMBER RESPONSIBILITY ACTIONS
PROHIBITION AGAINST MANIPULATION
BANKRUPTCY RULES.
Subjects
Also listed under
Wolters Kluwer (Firm)
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