17 CFR 4, Subpart C - Commodity Trading Advisors
- § 4.30 — Prohibited activities.
- § 4.31 — Required delivery of Disclosure Document to prospective clients.
- § 4.32 — Trading on a Registered Derivatives Transaction Execution Facility for Non-Institutional Customers.
- § 4.33 — Recordkeeping.
- § 4.34 — General disclosures required.
- § 4.35 — Performance disclosures.
- § 4.36 — Use, amendment and filing of Disclosure Document.
Title 17 published on 2012-04-01
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.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-21606 RIN 3038-AD49 COMMODITY FUTURES TRADING COMMISSION Final rules. Effective Date: November 5, 2012. 17 CFR Part 4 The Commodity Futures Trading Commission (Commission) is amending its regulations governing the operations and activities of commodity pool operators (CPOs) and commodity trading advisors (CTAs) in order to have those regulations reflect changes made to the Commodity Exchange Act (CEA) by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
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
§ 6b - Contracts designed to defraud or mislead
§ 6c - Prohibited transactions
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
7 USC § -
§ 12a - Registration of commodity dealers and associated persons; regulation of registered entities
§ 23 - Standardized contracts for certain commodities
Title 17 published on 2012-04-01
The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 4 after this date.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-25764 RIN 3038-AD53 COMMODITY FUTURES TRADING COMMISSION Final rules. Effective January 2, 2013. 17 CFR Parts 1, 4, 5, 7, 8, 15, 16, 18, 21, 22, 36, 38, 41, 140, 145, 155, and 166 The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act” or “DFA”) established a comprehensive new statutory framework for swaps and security-based swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act (“CEA” or “Act”), amends others, and adds a number of new provisions. The DFA also requires the Commodity Futures Trading Commission (“CFTC” or “Commission”) to promulgate a number of rules to implement the new framework. The Commission has proposed and finalized numerous rules to satisfy its obligations under the DFA. This rulemaking makes a number of conforming amendments to integrate the CFTC's regulations more fully with the new framework created by the Dodd-Frank Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-21606 RIN 3038-AD49 COMMODITY FUTURES TRADING COMMISSION Final rules. Effective Date: November 5, 2012. 17 CFR Part 4 The Commodity Futures Trading Commission (Commission) is amending its regulations governing the operations and activities of commodity pool operators (CPOs) and commodity trading advisors (CTAs) in order to have those regulations reflect changes made to the Commodity Exchange Act (CEA) by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).