cfr_sections
Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API
10 rows where part_number = 145 and title_number = 17 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 17:17:2.0.1.1.17.0.1.1 | 17 | Commodity and Securities Exchanges | I | 145 | PART 145—COMMISSION RECORDS AND INFORMATION | § 145.0 Definitions. | CFTC | [82 FR 28003, June 20, 2017, as amended at 89 FR 71817, Sept. 4, 2024] | For the purposes of part 145 the following definitions are applicable: (a) FOIA Compliance Staff —refers to the Freedom of Information Act compliance staff assigned to respond to requests for information under the Freedom of Information Act. (b) Public records —in addition to the records described in § 145.1 (material published in the Federal Register ) and in § 145.2 (records required to be made publicly available under the Freedom of Information Act), includes those records that have been determined by the Commission to be generally available to the public directly upon oral or written request from the Commission office or division responsible for the maintenance of such records. A compilation of Commission records routinely available to the public upon request appears in appendix A to this part 145. (c) Nonpublic records —are records not identified in § 145.1, § 145.2, or appendix A of this part 145. Nonpublic records must be requested, in writing, in accordance with the provisions of § 145.7. (d) Record —is any information or agency record maintained by the Commission in any format, including an electronic format. It includes any document, writing, photograph, sound or magnetic recording, videotape, microfiche, drawing, or computer-stored information or output in the possession of the Commission. The term “record” does not include personal convenience materials over which the Commission has no control, such as appointment calendars and handwritten notes, which may be retained or destroyed at an employee's discretion. | ||||||
| 17:17:2.0.1.1.17.0.1.10 | 17 | Commodity and Securities Exchanges | I | 145 | PART 145—COMMISSION RECORDS AND INFORMATION | § 145.9 Petition for confidential treatment of information submitted to the Commission. | CFTC | [51 FR 26871, July 28, 1986, as amended at 64 FR 26, Jan. 4, 1999; 69 FR 67507, Nov. 18, 2004; 74 FR 17395, Apr. 15, 2009; 77 FR 66348, Nov. 2, 2012; 89 FR 71817, Sept. 4, 2024] | (a) Purpose. This section provides a procedure by which persons submitting information in any form to the Commission can request that the information not be disclosed pursuant to a request under the Freedom of Information Act, 5 U.S.C. 552. This section does not affect the Commission's right, authority, or obligation to disclose information in any other context. (b) Scope. The provisions of this section shall apply only where the Commission has not specified that an alternative procedure be utilized in connection with a particular study, report, investigation, or other matter. See 40.8 for procedures to be utilized in connection with filing information required to be filed pursuant to 17 CFR parts 40 and 41. (c) Definitions. The following definitions apply to this section: (1) Submitter. A “submitter” is any person who submits any information or material to the Commission or who permits any information or material to be submitted to the Commission. For purposes of paragraph (d)(1)(ii) of this section only, “submitter” includes any person whose information has been submitted to a designated contract market, derivatives clearing organization, swap execution facility, swap data repository or registered futures association that in turn has submitted the information to the Commission. (2) FOIA requester. A “FOIA requester” is any person who files with the Commission a request to inspect or copy Commission records or documents pursuant to the Freedom of Information Act, 5 U.S.C. 552. (d) Written request for confidential treatment. (1) Any submitter may request in writing that the Commission afford confidential treatment under the Freedom of Information Act to any information that he or she submits to the Commission. Except as provided in paragraph (d)(4) of this section, no oral requests for confidential treatment will be accepted by the Commission. The submitter shall specify the grounds on which confidential treatment is being requested but need not provide a detailed written justification of the req… | ||||||
| 17:17:2.0.1.1.17.0.1.2 | 17 | Commodity and Securities Exchanges | I | 145 | PART 145—COMMISSION RECORDS AND INFORMATION | § 145.1 Information published in the Federal Register. | CFTC | [41 FR 16290, Apr. 16, 1976] | Except as provided in § 145.5, pertaining to nonpublic matters, the following materials shall be published in the Federal Register for the guidance of the public: (a) Description of the Commission's central and field organization and the established place at which, the employees from whom, and the methods whereby the public may obtain information, make submittals or requests, or obtain decisions; (b) Statements of the general course and method by which the Commission's functions are channeled and determined, including the nature and requirements of all formal and informal procedures available; (c) Rules of procedure, descriptions of forms available or the places at which forms may be obtained, and instructions as to the scope and contents of all papers, reports, or examinations; (d) Substantive rules of general applicability adopted as authorized by law, and statements of general policy or interpretations of general applicability formulated and adopted by the Commission; and (e) Each amendment, revision, or repeal of the foregoing. | ||||||
| 17:17:2.0.1.1.17.0.1.3 | 17 | Commodity and Securities Exchanges | I | 145 | PART 145—COMMISSION RECORDS AND INFORMATION | § 145.2 Records available for public inspection and copying; documents published and indexed. | CFTC | [62 FR 17069, Apr. 9, 1997, as amended at 89 FR 71817, Sept. 4, 2024] | Except as provided in § 145.5, pertaining to nonpublic matters, and in addition to those documents listed in appendix A to part 145, Compilation of Commission Records Available to the Public, the following materials are available for public inspection and copying during normal business hours at the Commission's Public Reading Room, located at the Commission's Washington, DC headquarters and at the regional offices of the Commission: (a) A guide for requesting records or publicly available information from the Commission which includes: (1) An index of all publicly available information of the Commission; (2) A description of major information and record locator systems; (3) Guidance for obtaining various types and categories of public information from the Commission; (b) Final opinions and orders of the Commission in the adjudication of cases, including concurring and dissenting opinions; (c) Statements of policy and interpretations which have been adopted by the Commission and are not published in the Federal Register ; (d) Records released in response to FOIA requests that have been, or the Commission anticipates will be, the subject of additional FOIA requests; (e) Administrative manuals and instructions that affect the public; and (f) Indices providing identifying information to the public as to the materials made available pursuant to paragraphs (a) through (e) of this section. | ||||||
| 17:17:2.0.1.1.17.0.1.4 | 17 | Commodity and Securities Exchanges | I | 145 | PART 145—COMMISSION RECORDS AND INFORMATION | § 145.3 [Reserved] | CFTC | ||||||||
| 17:17:2.0.1.1.17.0.1.5 | 17 | Commodity and Securities Exchanges | I | 145 | PART 145—COMMISSION RECORDS AND INFORMATION | § 145.4 Public records available with identifying details deleted; nonpublic records available in abridged or summary form. | CFTC | [51 FR 26869, July 28, 1986, as amended at 82 FR 28003, June 20, 2017] | (a) To the extent required to prevent a clearly unwarranted invasion of personal privacy, the Commission may delete identifying details when it makes available “public records” as defined in § 145.0(b). In such instances, the Commission shall explain the justification for the deletion fully in writing. (b) Certain “nonpublic records,” as defined in § 145.0(c), may, as authorized by the Commission, be made available for public inspection and copying in an abridged or summary form, with identifying details deleted. | ||||||
| 17:17:2.0.1.1.17.0.1.6 | 17 | Commodity and Securities Exchanges | I | 145 | PART 145—COMMISSION RECORDS AND INFORMATION | § 145.5 Disclosure of nonpublic records. | CFTC | [41 FR 16290, Apr. 16, 1976, as amended at 44 FR 13458, Mar. 12, 1979; 45 FR 2023, Jan. 10, 1980; 46 FR 24943, May 4, 1981; 46 FR 54534, Nov. 3, 1981; 48 FR 35303, Aug. 3, 1983; 49 FR 4464, Feb. 7, 1984; 49 FR 5541, Feb. 13, 1984; 51 FR 26870, July 28, 1986; 53 FR 4613, Feb. 17, 1988; 54 FR 41084, Oct. 5, 1989; 62 FR 4642, Jan. 31, 1997; 64 FR 25, Jan. 4, 1999; 71 FR 5595, Feb. 2, 2006; 75 FR 55449, Sept. 10, 2010; 77 FR 11342, Feb. 24, 2012; 82 FR 28003, June 20, 2017] | The Commission shall withhold information in “nonpublic records,” as defined in § 145.0(c), only if the Commission reasonably foresees that disclosure would harm an interest protected by an exemption described in paragraphs (a) through (i) of this section, or if disclosure is prohibited by law. The Commission shall consider whether partial disclosure of information is possible whenever the Commission determines that a full disclosure of the requested record is not possible. The Commission shall take reasonable steps necessary to segregate and release nonexempt information in “nonpublic records” subject to a request under § 145.7 if those portions do not fall within an exemption described in paragraphs (a) through (i) of this section. (a)(1) Specifically authorized under criteria established by an executive order to be kept secret in the interest of national defense or foreign policy, and (2) are in fact properly classified pursuant to such executive order; (b) Related solely to the internal personnel rules and practices of the Commission or any other agency of the Government of the United States, including operation rules, guidelines, and manuals of procedure for investigators, auditors, and other employees (other than those rules and practices which establish legal requirements to which members of the public are expected to conform); (c) Specifically exempted from disclosure by statute, including: (1) Data and information which would separately disclose the business transactions or market positions of any person and trade secrets or names of customers; and (2) Any data or information concerning or obtained in connection with any pending investigation of any person; (d) Trade secrets and commercial or financial information obtained from a person and privileged or confidential, including, but not limited to: (1)(i) Reports of stocks of grain, such as Forms 38, 38C, 38M and 38T required to be filed pursuant to 17 CFR 1.44; (ii) Statements of reporting traders on Form 40 required to be filed pursuant to 17 C… | ||||||
| 17:17:2.0.1.1.17.0.1.7 | 17 | Commodity and Securities Exchanges | I | 145 | PART 145—COMMISSION RECORDS AND INFORMATION | § 145.6 Commission offices to contact for assistance; registration records available. | CFTC | [49 FR 39534, Oct. 9, 1984, and 51 FR 26870, July 28, 1986, as amended at 53 FR 8435, Mar. 15, 1988; 54 FR 19886, May 9, 1989; 57 FR 29203, July 1, 1992; 58 FR 19597, Apr. 15, 1993; 60 FR 49335, Sept. 25, 1995; 64 FR 26, Jan. 4, 1999; 67 FR 62353, Oct. 7, 2002; 67 FR 63539, Oct. 15, 2002; 69 FR 41426, July 9, 2004; 72 FR 16269, Apr. 4, 2007; 82 FR 28003, June 20, 2017; 89 FR 71817, 71818, Sept. 4, 2024] | (a) All requests for non-public records shall be made in writing and shall be addressed or otherwise directed to the Office of the General Counsel at the Commission's Washington, DC headquarters, Attn: FOIA Request, or electronically via foiasubmissions@cftc.gov . Requests for public records directed to a regional office of the Commission pursuant to § 145.2 should be sent to the Eastern Regional Office, Central Regional Office, or Southwestern Regional Office, as applicable. (b)(1) The publicly available portions of Form 7-R (application for registration as a futures commission merchant, introducing broker, commodity trading advisor, commodity pool operator or leverage transaction merchant), Form 8-R (application for registration as an associated person, floor broker, floor trader and biographical supplement to application on Form 7-R), Form 3-R (changes and corrections; multiple associations) Form 8-S (certificate of special registration), Form 8-T (notice of termination), Form 7-W (withdrawal from firm registration) and Form 8-W (withdrawal from floor broker or floor trader registration) will be available for public inspection and copying. Such registration forms will be available in the offices of the National Futures Association, 300 S Riverside Plaza, Suite 1800, Chicago, IL 60606. Telephone: (312) 781-1300. (2) The fingerprint card and any supplementary attachments filed in response to: (i) Items 6-9, 14-21, the “Personal Information,” or the “Disciplinary Information” sections on Form 8-R; (ii) Item 3 on Form 8-S; (iii) Items 3-5, 9-11, the “Withdrawal Reasons,” the “Disciplinary Information,” or the “Matter Information” sections on Form 8-T; (iv) Items 9-10 on Form 7-R; (v) Item 7 and the “Additional Customer Information” section on Form 7-W; and (vi) Item 7 on Form 8-W generally will not be available for public inspection and copying unless such disclosure is required under the Freedom of Information Act. Changes or corrections to those items reported on Form 3-R will be treated similarly. When… | ||||||
| 17:17:2.0.1.1.17.0.1.8 | 17 | Commodity and Securities Exchanges | I | 145 | PART 145—COMMISSION RECORDS AND INFORMATION | § 145.7 Requests for Commission records and copies thereof. | CFTC | [51 FR 26870, July 28, 1986, as amended at 52 FR 19307, May 22, 1987; 62 FR 17069, Apr. 9, 1997; 69 FR 67507, Nov. 18, 2004; 82 FR 28003, June 20, 2017; 89 FR 71817, Sept. 4, 2024] | Requests for Commission records and copies thereof shall specify the preferred form or format (including electronic formats) of the response. The Commission will accommodate requesters as to form or format if the record is readily available in that form or format. When requesters do not specify the form or format of the response, the Commission will respond in the form or format in which the document is most accessible to the Commission. (a) Public inquiries and inspection of public records. Information concerning the nature and extent of available public records may be obtained in person, by telephone, via Internet ( http://www.cftc.gov ), or by writing to the Commission offices designated in §§ 145.2 and 145.6. (b) Requests for nonpublic records. Except as provided in paragraph (a) of this section with respect to public records, all requests for records maintained by the Commission shall be in writing, shall be addressed to the Office of the General Counsel of the Commission and shall be clearly marked “Freedom of Information Act Request.” (c) Misdirected written requests. The Commission cannot ensure that a timely or satisfactory response will be given to requests for records that are directed to the Commission other than in the manner prescribed in paragraph (b) of this section. Any misdirected written request for nonpublic records should be promptly forwarded to the Office of the General Counsel of the Commission. Misdirected requests for nonpublic records will be considered to have been received for purposes of this section only when they actually have been received by the Office of the General Counsel. (d) Description of requested records. Each written request for Commission records made under paragraph (b) of this section shall reasonably describe the records sought with sufficient specificity to permit the records to be located among the records maintained by or for the Commission. The Commission staff may communicate with the requester (by telephone when practicable) in an effort to reduce t… | ||||||
| 17:17:2.0.1.1.17.0.1.9 | 17 | Commodity and Securities Exchanges | I | 145 | PART 145—COMMISSION RECORDS AND INFORMATION | § 145.8 Fees for records services. | CFTC | [82 FR 28005, June 20, 2017, as amended at 89 FR 71817, Sept. 4, 2024] | A schedule of fees for record services, including locating, and making records available, and copying, appears in appendix B to this part. Copies of the schedule of fees may also be obtained upon request made in person, by telephone or by mail from the FOIA compliance staff or at any regional office of the Commission. |
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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);