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FEDERAL · 17 CFR

Part 140 — Organization, Functions, and Procedures of the Commission

39 sections · Title 17: Commodity and Securities Exchanges

§ 140.1Headquarters office.
§ 140.2Regional office—Regional Administrator.
§ 140.10The Commission.
§ 140.11Emergency action by the senior Commissioner available.
§ 140.12Disposition of business by seriatim Commission consideration.
§ 140.13Vacancy in position of Chairman.
§ 140.14Delegation of authority to the Secretary of the Commission.
§ 140.20Designation of senior official to oversee Commission use of national security information.
§ 140.21Definitions.
§ 140.22Procedures.
§ 140.23General access requirements.
§ 140.24Control and accountability procedures.
§ 140.61§ 140.61 [Reserved]
§ 140.72Delegation of authority to disclose confidential information to a registered entity, swap execution facility, swap data repository, registered futures association or self-regulatory organization.
§ 140.73Delegation of authority to disclose information to United States, States, and foreign government agencies and foreign futures authorities.
§ 140.74Delegation of authority to issue special calls for Series 03 Reports.
§ 140.75Delegation of authority to the Director of the Division of Clearing and Risk and to the Director of the Market Participants Division.
§ 140.76Delegation of authority to disclose information in a receivership or bankruptcy proceeding.
§ 140.77Delegation of authority to determine that applications for contract market designation, swap execution facility registration, or swap data repository registration are materially incomplete.
§ 140.80Disclosure of information pursuant to a subpoena or summons.
§ 140.81§ 140.81 [Reserved]
§ 140.91Delegation of authority to the Director of the Division of Clearing and Risk and to the Market Participants Division.
§ 140.92Delegation of authority to grant registrations and renewals thereof.
§ 140.93Delegation of authority to the Director of the Market Participants Division.
§ 140.94Delegation of authority to the Director of the Market Participants Division and to the Director of the Division of Clearing and Risk.
§ 140.95Delegation of authority with respect to withdrawals from registration.
§ 140.96Delegation of authority to publish in the Federal Register.
§ 140.97§ 140.97 [Reserved]
§ 140.98Publication of no-action, interpretative and exemption letters and other written communications.
§ 140.99Requests for exemptive, no-action and interpretative letters.
§ 140.735-1Authority and purpose.
§ 140.735-2Prohibited transactions.
§ 140.735-2aProhibited interests.
§ 140.735-3Non-governmental employment and other outside activity.
§ 140.735-4Receipt and disposition of foreign gifts and decorations.
§ 140.735-5Disclosure of information.
§ 140.735-6Practice by former members and employees of the Commission.
§ 140.735-7Statutory violations applicable to conduct of Commission members and employees.
§ 140.735-8Interpretative and advisory service.