cfr_sections
Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API
7 rows where agency = "CFTC" and part_number = 15 sorted by section_id
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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 17:17:1.0.1.1.14.0.7.1 | 17 | Commodity and Securities Exchanges | I | 15 | PART 15—REPORTS—GENERAL PROVISIONS | § 15.00 Definitions of terms used in parts 15 to 19, and 21 of this chapter. | CFTC | [74 FR 12188, Mar. 23, 2009, as amended at 76 FR 43862, July 22, 2011; 77 FR 66332, Nov. 2, 2012; 78 FR 69230, Nov. 18, 2013; 83 FR 7996, Feb. 23, 2018; 86 FR 3454, Jan. 14, 2021] | As used in parts 15 to 19, and 21 of this chapter: (a) Cash or Spot, when used in connection with any commodity, means the actual commodity as distinguished from a futures or options contract in such commodity. (b) Clearing member means any person who is a member of, or enjoys the privilege of clearing trades in his own name through, the clearing organization of a designated contract market, registered derivatives transaction execution facility, or registered entity under section 1a(29) of the Act. (c) Clearing organization means the person or organization which acts as a medium for clearing transactions in commodities for future delivery or commodity option transactions, or for effecting settlements of contracts for future delivery or commodity option transactions, for and between members of any designated contract market, registered derivatives transaction execution facility or registered entity under section 1a(29) of the Act. (d) Compatible data processing media means data processing media approved by the Commission or its designee. (e) Customer means “customer” (as defined in § 1.3 of this chapter) and “options customer” (as defined in § 1.3 of this chapter). (f) Customer trading program means any system of trading offered, sponsored, promoted, managed or in any other way supported by, or affiliated with, a futures commission merchant, an introducing broker, a commodity trading advisor, a commodity pool operator, or other trader, or any of its officers, partners or employees, and which by agreement, recommendations, advice or otherwise, directly or indirectly controls trading done and positions held by any other person. The term includes, but is not limited to, arrangements where a program participant enters into an expressed or implied agreement not obtained from other customers and makes a minimum deposit in excess of that required of other customers for the purpose of receiving specific advice or recommendations which are not made available to other customers. The term includes any progr… | ||||||
| 17:17:1.0.1.1.14.0.7.2 | 17 | Commodity and Securities Exchanges | I | 15 | PART 15—REPORTS—GENERAL PROVISIONS | § 15.01 Persons required to report. | CFTC | [41 FR 3206, Jan. 21, 1976, as amended at 41 FR 48112, Nov. 2, 1976; 43 FR 45827, Oct. 4, 1978; 46 FR 59964, Dec. 8, 1981; 46 FR 63036, Dec. 30, 1981; 47 FR 57013, Dec. 22, 1982; 56 FR 14194, Apr. 8, 1991; 62 FR 6113, Feb. 11, 1997; 62 FR 13301, Mar. 20, 1997; 71 FR 37817, July 3, 2006; 74 FR 12189, Mar. 23, 2009; 78 FR 69230, Nov. 18, 2013; 83 FR 7996, Feb. 23, 2018; 86 FR 3454, Jan. 14, 2021] | Pursuant to the provisions of the Act, the following persons shall file reports with the Commission with respect to such commodities, on such forms, at such time, and in accordance with such directions as are hereinafter set forth: (a) Reporting markets—as specified in parts 16, 17, and 21 of this chapter. (b) Futures commission merchants, clearing members, foreign brokers, introducing brokers, and traders—as specified in parts 17 and 21 of this chapter. (c) As specified in part 18 of this chapter: (1) Traders who own, hold, or control reportable positions; (2) Volume threshold account controllers; (3) Persons who own volume threshold accounts; (4) Reportable sub-account controllers; and (5) Persons who own reportable sub-accounts. (d) Persons, as specified in part 19 of this chapter, who: (1) Are merchants or dealers of cotton holding or controlling positions for future delivery in cotton that equal or exceed the amount set forth in § 15.03; or (2) Are persons who have received a special call from the Commission or its designee under § 19.00(b) of this chapter. | ||||||
| 17:17:1.0.1.1.14.0.7.3 | 17 | Commodity and Securities Exchanges | I | 15 | PART 15—REPORTS—GENERAL PROVISIONS | § 15.02 Reporting forms. | CFTC | [86 FR 3454, Jan. 14, 2021] | Forms on which to report may be obtained from any office of the Commission or via https://www.cftc.gov . Listed below are the forms to be used for the filing of reports. To determine who shall file these forms, refer to the Commission rule listed in the column opposite the form number. | ||||||
| 17:17:1.0.1.1.14.0.7.4 | 17 | Commodity and Securities Exchanges | I | 15 | PART 15—REPORTS—GENERAL PROVISIONS | § 15.03 Reporting levels. | CFTC | [69 FR 76397, Dec. 21, 2004, as amended at 71 FR 37817, July 3, 2006] | (a) Definitions. For purposes of this section: Broad-based security index is a group or index of securities that does not constitute a narrow-based security index. HedgeStreet products are contracts offered by HedgeStreet, Inc., a designated contract market, that pay up to $10.00 if in the money upon expiration. Major foreign currency is the currency, and the cross-rates between the currencies, of Japan, the United Kingdom, Canada, Australia, Switzerland, Sweden and the European Monetary Union. Narrow-based security index has the same meaning as in section 1a(25) of the Commodity Exchange Act. Security futures product has the same meaning as in section 1a(32) of the Commodity Exchange Act. (b) The quantities for the purpose of reports filed under parts 17 and 18 of this chapter are as follows: 1 For purposes of part 17, positions in HedgeStreet Products and TRAKRS should be reported by rounding down to the nearest 1,000 contracts and dividing by 1,000. | ||||||
| 17:17:1.0.1.1.14.0.7.5 | 17 | Commodity and Securities Exchanges | I | 15 | PART 15—REPORTS—GENERAL PROVISIONS | § 15.04 Reportable trading volume level. | CFTC | [78 FR 69230, Nov. 18, 2013] | The volume quantity for the purpose of reports filed under parts 17 and 18 of this chapter is trading volume of 50 or more contracts, during a single trading day, on a single reporting market that is a board of trade designated as a contract market under section 5 of the Act or a swap execution facility registered under section 5h of the Act, in all instruments that such reporting market designates with the same product identifier (including purchases and sales, and inclusive of all expiration months). | ||||||
| 17:17:1.0.1.1.14.0.7.6 | 17 | Commodity and Securities Exchanges | I | 15 | PART 15—REPORTS—GENERAL PROVISIONS | § 15.05 Designation of agent for foreign persons. | CFTC | [46 FR 63036, Dec. 30, 1981, and 47 FR 57013, Dec. 22, 1982, as amended at 48 FR 35300, Aug. 3, 1983; 60 FR 49335, Sept. 25, 1995; 66 FR 42269, Aug. 10, 2001; 71 FR 37818, July 3, 2006; 74 FR 12189, Mar. 23, 2009; 77 FR 66332, Nov. 2, 2012; 80 FR 59577, Oct. 2, 2015; 89 FR 71809, Sept. 4, 2024] | (a) For purposes of this section, the term “futures contract” means any contract for the purchase or sale of any commodity for future delivery, traded or executed on or subject to the rules of any designated contract market, or for the purposes of paragraph (i) of this section, a reporting market (including all agreements, contracts and transactions that are treated by a clearing organization as fungible with such contracts); the term “option contract” means any contract for the purchase or sale of a commodity option, or as applicable, any other instrument subject to the Act, traded or executed on or subject to the rules of any designated contract market, or for the purposes of paragraph (i) of this section, a reporting market (including all agreements, contracts and transactions that are treated by a clearing organization as fungible with such contracts); the term “customer” means any person for whose benefit a foreign broker makes or causes to be made any futures contract or option contract; and the term “communication” means any summons, complaint, order, subpoena, special call, request for information, or notice, as well as any other written document or correspondence. (b) Any futures commission merchant who makes or causes to be made any futures contract or option contract for the account of any foreign broker or foreign trader, and any introducing broker who introduces such an account to a futures commission merchant, shall thereupon be deemed to be the agent of the foreign broker or the foreign trader for purposes of accepting delivery and service of any communication issued by or on behalf of the Commission to the foreign broker or the foreign trader with respect to any futures or option contracts which are or have been maintained in such accounts carried by the futures commission merchant. In the case of a futures commission merchant who makes or causes to be made any futures or option contract for the account of a foreign broker, the futures commission merchant and the introducing broker, if any, shall… | ||||||
| 17:17:1.0.1.1.14.0.7.7 | 17 | Commodity and Securities Exchanges | I | 15 | PART 15—REPORTS—GENERAL PROVISIONS | § 15.06 Delegations. | CFTC | [74 FR 12190, Mar. 23, 2009, as amended at 89 FR 71809, Sept. 4, 2024] | (a) The Commission hereby delegates, until the Commission orders otherwise, the authority to approve data processing media, as referenced in § 15.00(d), for data submissions to the Director of the Division of Data, to be exercised by such Director or by such other employee or employees of such Director as designated, and in consultation with the Director of the Division of Market Oversight. The Director may submit to the Commission for its consideration any matter which has been delegated in this paragraph. Nothing in this paragraph prohibits the Commission, at its election, from exercising the authority delegated in this paragraph. (b) [Reserved] |
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CREATE TABLE cfr_sections (
section_id TEXT PRIMARY KEY,
title_number INTEGER,
title_name TEXT,
chapter TEXT,
subchapter TEXT,
part_number TEXT,
part_name TEXT,
subpart TEXT,
subpart_name TEXT,
section_number TEXT,
section_heading TEXT,
agency TEXT,
authority TEXT,
source_citation TEXT,
amendment_citations TEXT,
full_text TEXT
);
CREATE INDEX idx_cfr_title ON cfr_sections(title_number);
CREATE INDEX idx_cfr_part ON cfr_sections(part_number);
CREATE INDEX idx_cfr_agency ON cfr_sections(agency);