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Title 17 — Commodity and Securities Exchanges

1 General Regulations Under The Commodity Exchange Act
2 Official Seal
10 Rules Of Practice
11 Rules Relating To Investigations
12 Rules Relating To Reparations
13 Procedures For Petitions For Rulemaking
14 Rules Relating To Suspension Or Disbarment From Appearance And Practice
15 Reports—General Provisions
16 Reports By Contract Markets And Swap Execution Facilities
17 Reports By Reporting Markets, Futures Commission Merchants, Clearing Members, And Foreign Brokers
18 Reports By Traders
19 Reports By Persons Holding Reportable Positions In Excess Of Position Limits, And By Merchants And Dealers In Cotton
20 Large Trader Reporting For Physical Commodity Swaps
190 Bankruptcy Rules
191-199 199 [Reserved]
21 Special Calls
22 Cleared Swaps
23 Swap Dealers And Major Swap Participants
100 Delivery Period Required
140 Organization, Functions, And Procedures Of The Commission
141 Salary Offset
142 Indemnification Of Cftc Employees
143 Collection Of Claims Owed The United States Arising From Activities Under The Commission'S Jurisdiction
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
145 Commission Records And Information
146 Records Maintained On Individuals
147 Open Commission Meetings
148 Implementation Of The Equal Access To Justice Act In Covered Adjudicatory Proceedings Before The Commission
149 Enforcement Of Nondiscrimination On The Basis Of Handicap In Programs Or Activities Conducted By The Commodity Futures Trading Commission
150 Limits On Positions
151 Part 151 [Reserved]
155 Trading Standards
156 Broker Associations
160 Privacy Of Consumer Financial Information Under Title V Of The Gramm-Leach-Bliley Act
162 Protection Of Consumer Information Under The Fair Credit Reporting Act
165 Whistleblower Rules
166 Customer Protection Rules
170 Registered Futures Associations
171 Rules Relating To Review Of National Futures Association Decisions In Disciplinary, Membership Denial, Registration And Member Responsibility Actions
180 Prohibition Against Manipulation
200 Organization; Conduct And Ethics; And Information And Requests
201 Rules Of Practice
202 Informal And Other Procedures
203 Rules Relating To Investigations
204 Rules Relating To Debt Collection
205 Standards Of Professional Conduct For Attorneys Appearing And Practicing Before The Commission In The Representation Of An Issuer
209 Forms Prescribed Under The Commission'S Rules Of Practice
210 Form And Content Of And Requirements For Financial Statements, Securities Act Of 1933, Securities Exchange Act Of 1934, Investment Company Act Of 1940, Investment Advisers Act Of 1940, And Energy Policy And Conservation Act Of 1975
211 Interpretations Relating To Financial Reporting Matters
227 Regulation Crowdfunding, General Rules And Regulations
228 Part 228 [Reserved]
229 Standard Instructions For Filing Forms Under Securities Act Of 1933, Securities Exchange Act Of 1934 And Energy Policy And Conservation Act Of 1975—Regulation S-K
230 General Rules And Regulations, Securities Act Of 1933
231 Interpretative Releases Relating To The Securities Act Of 1933 And General Rules And Regulations Thereunder
232 Regulation S-T—General Rules And Regulations For Electronic Filings
239 Forms Prescribed Under The Securities Act Of 1933
240 General Rules And Regulations, Securities Exchange Act Of 1934
241 Interpretative Releases Relating To The Securities Exchange Act Of 1934 And General Rules And Regulations Thereunder
242 Regulations M, Sho, Ats, Ac, Nms, Se, And Sbsr, And Customer Margin Requirements For Security Futures
243 Regulation Fd
244 Regulation G
245 Regulation Blackout Trading Restriction
246 Credit Risk Retention
247 Regulation R—Exemptions And Definitions Related To The Exceptions For Banks From The Definition Of Broker
248 Regulations S-P, S-Am, And S-Id
249 Forms, Securities Exchange Act Of 1934
249a Forms, Securities Investor Protection Act Of 1970 [Reserved]
249b Further Forms, Securities Exchange Act Of 1934
250 Cross-Border Antifraud Law-Enforcement Authority
251-254 254 [Reserved]
255 Proprietary Trading And Certain Interests In And Relationships With Covered Funds
256-259 259 [Reserved]
3 Registration
30 Foreign Futures And Foreign Options Transactions
31 Leverage Transactions
32 Regulation Of Commodity Option Transactions
33 Regulation Of Commodity Option Transactions That Are Options On Contracts Of Sale Of A Commodity For Future Delivery
34 Regulation Of Hybrid Instruments
35 Swaps In An Agricultural Commodity (Agricultural Swaps)
260 General Rules And Regulations, Trust Indenture Act Of 1939
261 Interpretative Releases Relating To The Trust Indenture Act Of 1939 And General Rules And Regulations Thereunder
269 Forms Prescribed Under The Trust Indenture Act Of 1939
270 Rules And Regulations, Investment Company Act Of 1940
271 Interpretative Releases Relating To The Investment Company Act Of 1940 And General Rules And Regulations Thereunder
274 Forms Prescribed Under The Investment Company Act Of 1940
275 Rules And Regulations, Investment Advisers Act Of 1940
276 Interpretative Releases Relating To The Investment Advisers Act Of 1940 And General Rules And Regulations Thereunder
279 Forms Prescribed Under The Investment Advisers Act Of 1940
281 Interpretative Releases Relating To Corporate Reorganizations Under Chapter X Of The Bankruptcy Act
285 Rules And Regulations Pursuant To Section 15(A) Of The Bretton Woods Agreements Act
286 General Rules And Regulations Pursuant To Section 11(A) Of The Inter-American Development Bank Act
287 General Rules And Regulations Pursuant To Section 11(A) Of The Asian Development Bank Act
288 General Rules And Regulations Pursuant To Section 9(A) Of The African Development Bank Act
289 General Rules And Regulations Pursuant To Section 13(A) Of The International Finance Corporation Act
290 General Rules And Regulations Pursuant To Section 9(A) Of The European Bank For Reconstruction And Development Act
300 Rules Of The Securities Investor Protection Corporation
301 Forms, Securities Investor Protection Corporation
302 Orderly Liquidation Of Covered Brokers Or Dealers
303-399 399 [Reserved]
4 Commodity Pool Operators And Commodity Trading Advisors
5 Off-Exchange Foreign Currency Transactions
7 Registered Entity Rules Altered Or Supplemented By The Commission
8 Part 8 [Reserved]
9 Rules Relating To Review Of Exchange Disciplinary, Access Denial Or Other Adverse Actions
36 Trade Execution Requirement
37 Swap Execution Facilities
38 Designated Contract Markets
39 Derivatives Clearing Organizations
40 Provisions Common To Registered Entities
41 Security Futures Products
42 Anti-Money Laundering, Terrorist Financing
43 Real-Time Public Reporting
44 Interim Final Rule For Pre-Enactment Swap Transactions
45 Swap Data Recordkeeping And Reporting Requirements
46 Swap Data Recordkeeping And Reporting Requirements: Pre-Enactment And Transition Swaps
48 Registration Of Foreign Boards Of Trade
49 Swap Data Repositories
50 Clearing Requirement And Related Rules
75 Proprietary Trading And Certain Interests In And Relationships With Covered Funds
400 Rules Of General Application
401 Exemptions
402 Financial Responsibility
403 Protection Of Customer Securities And Balances
404 Recordkeeping And Preservation Of Records
405 Reports And Audit
420 Large Position Reporting
449 Forms, Section 15C Of The Securities Exchange Act Of 1934
450 Custodial Holdings Of Government Securities By Depository Institutions
451-499 499 [Reserved]

Title 17 · SEC, CFTC

Part 228 [Reserved]

17 C.F.R. Part 228 · Updated April 1, 2025

View on eCFR ↗

Source: eCFR Title 17 Part 228 . Updated April 1, 2025.