Title 17 published on 2013-04-01
The following are only the Rules published in the Federal Register after the published date of Title 17.
For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.
The Commission is amending its regulations to reflect the reassignment of responsibilities, including delegations of authority, resulting from its recent reorganization of Commission staff. Effective October 9, 2011, the Commission abolished the Division of Clearing and Intermediary Oversight and reassigned its staff and responsibilities to the newly established Division of Swap Dealer and Intermediary Oversight and Division of Clearing and Risk.
The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to make clear that each swap dealer (SD), major swap participant (MSP), and other Commission registrant with whom an associated person (AP) is associated is required to supervise the AP and is jointly and severally responsible for the activities of the AP with respect to customers common to it and any other SD, MSP or other Commission registrant.
This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.
This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].
It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.
§ 1a - Definitions
§ 2 - Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce
§ 6 - Regulation of futures trading and foreign transactions
§ 6a - Excessive speculation
§ 6b - Contracts designed to defraud or mislead
7 USC § 6b–1 - Enforcement authority
§ 6c - Prohibited transactions
§ 6d - Dealing by unregistered futures commission merchants or introducing brokers prohibited; duties in handling customer receipts; conflict-of-interest systems and procedures;...to avoid duplicative regulations; swap requirements; portfolio margin
§ 6e - Dealings by unregistered floor trader or broker prohibited
§ 6f - Registration and financial requirements; risk assessment
§ 6g - Reporting and recordkeeping
§ 6h - False self-representation as registered entity member prohibited
§ 6i - Reports of deals equal to or in excess of trading limits; books and records; cash and controlled transactions
§ 6j - Restrictions on dual trading in security futures products on designated contract markets and registered derivatives transaction execution facilities
§ 6k - Registration of associates of futures commission merchants, commodity pool operators, and commodity trading advisors; required disclosure of disqualifications; exemptions for associated persons
7 USC § -
§ 6m - Use of mails or other means or instrumentalities of interstate commerce by commodity trading advisors and commodity pool operators; relation to other law
§ 6n - Registration of commodity trading advisors and commodity pool operators; application; expiration and renewal; record keeping and reports; disclosure; statements of account
§ 6p - Standards and examinations
§ 8 - Application for designation as contract market or derivatives transaction execution facility; time; suspension or revocation of designation; hearing; review by court of appeals
§ 9 - Prohibition regarding manipulation and false information
§ 9a - Assessment of money penalties
§ 12 - Public disclosure
§ 12a - Registration of commodity dealers and associated persons; regulation of registered entities
§ 13b - Manipulations or other violations; cease and desist orders against persons other than registered entities; punishment
§ 13c - Responsibility as principal; minor violations
§ 16a - Service fees and National Futures Association study
§ 18 - Complaints against registered persons
§ 19 - Consideration of costs and benefits and antitrust laws
§ 21 - Registered futures associations
§ 23 - Standardized contracts for certain commodities
The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 3 after this date.