(a) Notices. Unless instructed otherwise by the Commission, all mandatory or discretionary notices to be given to the Commission under this part shall be directed by electronic mail to bankruptcyfilings@cftc.gov, with a copy sent by overnight mail to Director, Division of Clearing and Risk, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581. For purposes of this part, notice to the Commission shall be deemed to be given only upon actual receipt.
(b) Request for exemption from time limit. (1) A trustee or any other person charged with the management of a commodity broker which has filed a petition in bankruptcy, or against which such a petition has been filed, may for good cause shown request from the Commission an exemption from, or extension of, any time limit prescribed by this part 190: Provided, That no such exemption or extension will be granted for any time period established by the Bankruptcy Code, as amended, 11 U.S.C. 101 et seq.
(1) A trustee or any other person charged with the management of a commodity broker which has filed a petition in bankruptcy, or against which such a petition has been filed, may for good cause shown request from the Commission an exemption from, or extension of, any time limit prescribed by this part 190: Provided, That no such exemption or extension will be granted for any time period established by the Bankruptcy Code, as amended, 11 U.S.C. 101 et seq.
(2) Such a request shall be made ex parte and by any means of communication, written or oral: Provided, That an oral request shall be confirmed in writing within one business day and such confirmation shall contain all the information required by paragraph (b)(3) of this section. Any such request shall be directed to the person as provided in paragarph (a) of this section, and at the address provided therein.
(3) Such a request shall state the particular provision of the part 190 rules with respect to which the exemption or extension is sought, the reason for the requested exemption or extension, the amount of time sought if the request is for an extension, and the reason why such exemption or extension would not be contrary to the purposes of the Bankruptcy Code and the Commission's part 190 regulations promulgated thereunder.
(4) The Director of the Division of Clearing and Risk, or such members of the Commission's staff acting under his direction as he may designate, on the basis of the information provided in any such request, shall determine, after consultation with the Director of the Division of Swap Dealer and Intermediary Oversight, or such member of the Commission's staff under his direction as he may designate, unless exigent circumstances require immediate action precluding such prior consultation., whether to grant, deny or otherwise respond to a request, and shall communicate that determination by the most appropriate means to the person making the request and to the bankruptcy court with jurisdiction over the case.
(c) Disclosure statement for non-cash margin. (1) Except as provided in Sec. 1.65 of this chapter, no commodity broker (other than a clearing organization) may accept property other than cash from or for the account of a customer, other than a customer specified in Sec. 1.55(f) of this chapter, to margin, guarantee, or secure a commodity contract unless the commodity broker first furnishes the customer with the disclosure statement set forth in paragraph (c)(2) of this section in boldface print in at least 10 point type which may be provided as either a separate, written document or incorporated into the customer agreement, or with another statement approved under Sec. 1.55(c) of this chapter and set forth in appendix A to Sec. 1.55 which the Commission finds satisfies this requirement.
(1) Except as provided in Sec. 1.65 of this chapter, no commodity broker (other than a clearing organization) may accept property other than cash from or for the account of a customer, other than a customer specified in Sec. 1.55(f) of this chapter, to margin, guarantee, or secure a commodity contract unless the commodity broker first furnishes the customer with the disclosure statement set forth in paragraph (c)(2) of this section in boldface print in at least 10 point type which may be provided as either a separate, written document or incorporated into the customer agreement, or with another statement approved under Sec. 1.55(c) of this chapter and set forth in appendix A to Sec. 1.55 which the Commission finds satisfies this requirement.
(2) The disclosure statement required by paragraph (c)(1) of this section is as follows:
THIS STATEMENT IS FURNISHED TO YOU BECAUSE RULE 190.10 (c) OF THE COMMODITY FUTURES TRADING COMMISSION REQUIRES IT FOR REASONS OF FAIR NOTICE UNRELATED TO THIS COMPANY'S CURRENT FINANCIAL CONDITION.
1. YOU SHOULD KNOW THAT IN THE UNLIKELY EVENT OF THIS COMPANY'S BANKRUPTCY, PROPERTY, INCLUDING PROPERTY SPECIFICALLY TRACEABLE TO YOU, WILL BE RETURNED, TRANSFERRED OR DISTRIBUTED TO YOU, OR ON YOUR BEHALF, ONLY TO THE EXTENT OF YOUR PRO RATA SHARE OF ALL PROPERTY AVAILABLE FOR DISTRIBUTION TO CUSTOMERS.
2. NOTICE CONCERNING THE TERMS FOR THE RETURN OF SPECIFICALLY IDENTIFIABLE PROPERTY WILL BE BY PUBLICATION IN A NEWSPAPER OF GENERAL CIRCULATION.
3. THE COMMISSION'S REGULATIONS CONCERNING BANKRUPTCIES OF COMMODITY BROKERS CAN BE FOUND AT 17 CODE OF FEDERAL REGULATIONS PART 190.
(3) The statement contained in paragraph (c)(2) of this section need be furnished only once to each customer to whom it is required to be furnished by this section.
(d) Delegation of authority to the Director of the Division of Clearing and Risk. (1) Until such time as the Commission orders otherwise, the Commission hereby delegates to the Director of the Division of Clearing and Risk, and to such members of the Commission's staff acting under his direction as he may designate, after consultation with the Director of the Division of Swap Dealer and Intermediary Oversight, or such member of the Commission's staff under his direction as he may designate, unless exigent circumstances require immediate action., all the functions of the Commission set forth in this part except the authority to approve or disapprove a withdrawal or settlement of a commodity contract account by a public customer pursuant to Sec. 190.06(g)(3).
(1) Until such time as the Commission orders otherwise, the Commission hereby delegates to the Director of the Division of Clearing and Risk, and to such members of the Commission's staff acting under his direction as he may designate, after consultation with the Director of the Division of Swap Dealer and Intermediary Oversight, or such member of the Commission's staff under his direction as he may designate, unless exigent circumstances require immediate action., all the functions of the Commission set forth in this part except the authority to approve or disapprove a withdrawal or settlement of a commodity contract account by a public customer pursuant to Sec. 190.06(g)(3).
(2) The Director of the Division of Clearing and Risk may submit to the Commission for its consideration any matter which has been delegated to him pursuant to paragraph (d)(1) of this section.
(3) Nothing in this section shall prohibit the Commission, at its election, from exercising its authority delegated to the Director of the Division of Clearing and Risk under paragraph (d)(1) of this section.
(e) Forward contracts. For purposes of this part, an entity for or with whom the debtor deals who holds a claim against the debtor solely on account of a forward contract will not be deemed to be a customer.
(f) Notice of court papers pertaining to the operation of the estate. The trustee shall promptly provide the Commission with copies of any complaint, motion, or petition filed in a commodity broker bankruptcy which concerns the disposition of customer property. Court papers shall be directed to the Washington, DC headquarters of the Commission addressed as provided in paragraph (a) of this section.
(g) Other. The Bankruptcy Code will not be construed by the Commission to prohibit a commodity broker from doing business as any combination of the following: futures commission merchant, commodity option dealer, foreign futures commission merchant or leverage transaction merchant, nor will the Commission construe the Bankruptcy Code to permit any operation, trade or business, or any combination of the foregoing, otherwise prohibited by the Act or by any rule, regulation or order of the Commission thereunder.
(h) Rule of construction. Contracts in security futures products held in a securities account shall not be considered to be ``from or for the commodity contract account'' or ``from or for the commodity options account'' of such customers, as such terms are used in section 761(9) of the Bankruptcy Code. (Secs. 2(a), 4c, 4d, 4g, 5, 5a, 8a, 15, 19 and 20 of the Commodity Exchange Act, as amended by the Futures Trading Act of 1982, Pub. L. 97-444, 96 Stat. 2294 (1983), 7 U.S.C. 2 and 4a, 6c, 6d, 6g, 7, 7a, 12a, 19, 23 and 24 (1976 & Supp. V. 1981 and Pub. L. 97-444); secs. 761-766 of the Bankruptcy Reform Act of 1978, as amended by the Bankruptcy Act Amendments, Pub. L. 97-222, 96 Stat. 235 (1982), 11 U.S.C. 761-766 (Supp. V. 1981 as amended by Pub. L. 97-222)) [48 FR 8739, Mar. 1, 1983, as amended at 48 FR 28980, June 24, 1983; 58 FR 17505, Apr. 5, 1993; 59 FR 34382, July 5, 1994; 60 FR 49336, Sept. 25, 1995; 63 FR 8571, Feb. 20, 1998; 67 FR 58298, Sept. 13, 2002; 67 FR 62353, Oct. 7, 2002; 77 FR 6378, 6382, Feb. 7, 2012; 78 FR 22419, Apr. 16, 2013]
Sec. Appendix A to Part 190--Bankruptcy Forms
Bankruptcy Appendix Form 1--Operation of the Debtor's Estate--Schedule
of Trustee's Duties
For the convenience of a prospective trustee, the Commission has constructed an approximate schedule of important duties which the trustee should perform during the early stages of a commodity broker bankruptcy proceeding. The schedule includes duties required by this part, subchapter IV of chapter 7 of the Bankruptcy Code as well as certain practical suggestions, but it is only intended to highlight the more significant duties and is not an exhaustive description of all the trustee's responsibilities. It also assumes that the commodity broker being liquidated is an FCM. Moreover, it is important to note that the operating facts in a particular bankruptcy proceeding may vary the schedule or obviate the need for any of the particular activities.
All Cases
Date of Order for Relief
1. Assure that the commodity broker has notified the Commission, its designated self-regulatory organization (``DSRO'') (if any), and all applicable clearing organizations of which it is a member that a petition or order for relief has been filed (Sec. 190.02(a)(1)).
2. Attempt to effectuate the transfer of entire customer accounts wherein the commodity contracts are transferred together with the money, securities, or other property margining, guaranteeing, or securing the commodity contracts (hereinafter the ``transfer'').
3. Attempt to estimate shortfall of customer funds segregated pursuant to sections 4d(a) and (b) of the Act; customer funds segregated pursuant to section 4f of the Act; and the foreign futures or foreign options secured amount, as defined in Sec. 1.3 of this chapter.
a. The trustee should:
i. Contact the DSRO (if any) and the clearing organizations and attempt to effectuate a transfer with such shortfall under section 764(b) of the Code; notify the Commission for assistance (Sec. 190.02(a)(2) and (e)(1), Sec. 190.06(b)(2), (e), (f)(3), (g)(2), and (h)) but recognize that if there is a substantial shortfall, a transfer of such funds or amounts is highly unlikely.
ii. If a transfer cannot be effectuated, liquidate all customer commodity contracts that are margined, guaranteed, or secured by funds or amounts with such shortfall, except dealer options and specifically identifiable commodity contracts which are bona fide hedging positions (as defined in Sec. 190.01(kk)(2)) with instructions not to be liquidated. (See Sec. Sec. 190.02(f) and 190.06(d)(1)). (In this connection, depending upon the size of the debtor and other complications of liquidation, the trustee should be aware of special liquidation rules, and in particular the availability under certain circumstances of book-entry liquidation (Sec. 190.04(d)(1)(ii)).
b. If there is a small shortfall in any of the funds or amounts listed in paragraph 2, negotiate with the clearing organization to effect a transfer; notify the Commission (Sec. Sec. 190.02(a)(2) and (e)(1), 190.06(b)(2), (e), (f)(3), (g)(2), and (h)).
4. Whether or not a transfer has occurred, liquidate or offset open commodity contracts not eligible for transfer (e.g., deficit accounts) (Sec. 190.06(e)(1)).
5. Offset all futures contracts and Cleared Swaps contracts which cannot be settled in cash and which would otherwise remain open either beyond the last day of trading (if applicable) or the first day on which notice of intent to deliver may be tendered with respect thereto, whichever occurs first; offset all long options on a physical commodity which cannot be settled in cash, have value and would be automatically exercised or would remain open beyond the last day of exercise; and offset all short options on a physical commodity which cannot be settled in cash (Sec. 190.02(f)(1)).
6. Compute estimated funded balance for each customer commodity contract account containing open commodity contracts (Sec. 190.04(b)) (daily thereafter).
7. Make margin calls if necessary (Sec. 190.02(g)(1)) (daily thereafter).
8. Liquidate or offset any open commodity contact account for which a customer has failed to meet a margin call (Sec. 190.02(f)(1)) (daily thereafter).
9. Commence liquidation or offset of specifically identifiable property described in Sec. 190.02(f)(2)(i) (property which has lost 10% or more of value) (and as appropriate thereafter).
10. Commence liquidation or offset of property described in Sec. 190.02(f)(3) (``all other property'').
11. Be aware of any contracts in delivery position and rules pertaining to such contracts (Sec. 190.05).
First Calendar Day After the Entry of an Order for Relief
1. If a transfer occurred on the date of entry of the order for relief:
a. Liquidate any remaining open commodity contracts, except any dealer option or specifically identifiable commodity contract [hedge] (See Sec. 190.01(kk)(2) and Sec. 190.02(f)(1)), and not otherwise transferred in the transfer.
b. Primary liquidation date for transferred or liquidated commodity contracts (Sec. 190.01(ff)).
2. If no transfer has yet been effected, continue attempt to negotiate transfer of open commodity contracts and dealer options (Sec. 190.02(c)(1)).
3. Provide the clearing organization or Collecting Futures Commission Merchant (as such term is defined in Sec. 22.1) with assurances to prevent liquidation of open commodity contract accounts available for transfer at the customer's instruction or liquidate all open commodity contracts except those available for transfer at a customer's instruction and dealer options.
Second Calendar Day After the Entry of an Order for Relief
If no transfer has yet been effected, request directly customer instructions regarding transfer of open commodity contracts and publish notice for customer instructions regarding the return of specifically identifiable property other than commodity contracts (Sec. Sec. 190.02(b) (1) and (2)).
Third Calendar Day After the Entry of an Order for Relief
1. Second publication date for customer instructions (Sec. 190.02(b)(1)) (publication is to be made on two consecutive days, whether or not the second day is a business day).
2. Last day on which to notify the Commission with regard to whether a transfer in accordance with section 764(b) of the Bankruptcy Code will take place (Sec. 190.02(a)(2) and Sec. 190.06(e)).
Sixth Calendar Day After the Entry of an Order for Relief
Last day for customers to instruct the trustee concerning open commodity contracts (Sec. 190.02(b)(2)).
Seventh Calendar Day After the Entry of an Order for Relief
1. If not previously concluded, conclude transfers under Sec. 190.06(e) and (f). (See Sec. 190.02(e)(1) and Sec. 190.06(g)(2)(i)(A)).
2. Transfer all open dealer option contracts which have not previously been transferred (Sec. 190.06(f)(3)(i)).
3. Primary liquidation date (Sec. 190.01(ff)) (assuming no transfers and liquidation effected for all open commodity contracts for which no customer instructions were received by the sixth calendar day).
4. Establishment of transfer accounts (Sec. 190.03(a)(1)) (assuming this is the primary liquidation date); mark such accounts to market (Sec. 190.03(a)(2)) (daily thereafter until closed).
5. Liquidate or offset all remaining open commodity contracts (Sec. 190.02(b)(2)).
6. If not done previously, notify customers of bankruptcy and request customer proof of claim (Sec. 190.02(b)(4)).
Eighth Calendar Day After the Entry of an Order for Relief
Customer instructions due to trustee concerning specifically identifiable property (Sec. 190.02(b)(1)).
Ninth Calendar Day After the Entry of an Order for Relief
Commence liquidation of specifically identifiable property for which no arrangements for return have been made in accordance with customer instructions (Sec. Sec. 190.02(b)(1), 190.03(c)).
Tenth Calendar Day After the Entry of an Order for Relief
Complete liquidation to the extent reasonably possible of specifically identifiable property which has yet to be liquidated and for which no customer instructions have been received (Sec. 190.03(c)).
Separate Procedures for Involuntary Petitions for Bankruptcy
1. Within one calendar day after notice of receipt of filing of the petition in bankruptcy, the trustee should assure that proper notification has been given to the Commission, the commodity broker's designated self-regulatory organization (Sec. 190.02(a)(1)) (if any), and all applicable clearing organizations; margin calls should be issued if necessary (Sec. 190.02(g)(2)).
2. On or before the seventh calendar day after the filing of a petition in bankruptcy, the trustee should use his best efforts to effect a transfer in accordance with Sec. 190.06(e) and (f) of all open commodity contracts and equity held for or on behalf of customers of the commodity broker (Sec. 190.02(e)(2)) unless the debtor can provide certain assurances to the trustee.
Bankruptcy Appendix Form 2-- Request for Instructions Concerning Non-
Cash Property Deposited With (Commodity Broker)
Please take notice: On (date), a petition in bankruptcy was filed by [against] (commodity broker). Those customers of (commodity broker) who deposited certain kinds of non-cash property (see below) with (commodity broker) may instruct the trustee of the estate to return their property to them as provided below.
As no customer may obtain more than his or her proportionate share of the property available to satisfy customer claims, if you instruct the trustee to return your property to you, you will be required to pay the estate, as a condition to the return of your property, an amount determined by the trustee. If your property is not margining an open contract, this amount will approximate the difference between the market value of your property and your pro rata share of the estate, as estimated by the trustee. If your property is margining an open commodity contract, this amount will be approximately the full fair market value of the property on the date of its return.
Kinds of Property to Which This Notice Applies
1. Any security deposited as margin which, as of (date petition was filed), was securing an open commodity contract and is: --registered in your name,--not transferrable by delivery, and--not a short-term obligation.
2. Any fully-paid, non-exempt security held for your account in which there were no open commodity contracts as of (date petition was filed). (Rather than the return, at this time, of the specific securities you deposited with (commodity broker), you may instead request now, or at any later time, that the trustee purchase ``like-kind'' securities of a fair market value which does not exceed your proportionate share of the estate).
3. Any warehouse receipt, bill of lading or other document of title deposited as margin which, as of (date petition was filed), was securing an open commodity contract and--can be identified in (commodity broker)'s records as being held for your account, and--is neither in bearer form nor otherwise transferable by delivery.
4. Any warehouse receipt bill of lading or other document of title, or any commodity received, acquired or held by (commodity broker) to make or take delivery or exercise from or for your account and which--can be identified in (commodity broker)'s records as received from or for your account as held specifically for the purpose of delivery or exercise.
5. Any cash or other property deposited to make or take delivery on a commodity contract may be eligible to be returned. The trustee should be contacted directly for further information if you have deposited such property with (commodity broker) and desire its return.
Instructions must be received by (the 5th calendar day after 2d publication date) or the trustee will liquidate your property. (If you own such property but fail to provide the trustee with instructions, you will still have a claim against (commodity broker) but you will not be able to have your specific property returned to you).
Note: Prior to receipt of your instructions, circumstances may require the trustee to liquidate your property, or transfer your property to another broker if it is margining open commodity contracts. If your property is transferred and your instructions were received within the required time, your instructions will be forwarded to the new broker.
Instructions should be directed to: (Trustee's name, address, and/or telephone).
Even if you request the return of your property, you must also pay the trustee the amount he specifies and provide the trustee with proof of your claim before (the 7th calendar day after 2d publication date) or your property will be liquidated. (Upon receipt of customer instructions to return property, the trustee will mail the sender a form which describes the information he must provide to substantiate his claim).
Note: The trustee is required to liquidate your property despite the timely receipt of your instructions, money, and proof of claim if, for any reason, your property cannot be returned by (close of business on the 7th calendar day after 2d publication date). Bankruptcy Appendix Form 3--Request for Instructions Concerning Transfer
of Your Hedge Contracts Held by (Commodity Broker) United States Bankruptcy Court ----District of ----In re ----, Debtor, No. ----.Please take notice: On (date), a petition in bankruptcy was filed by [against] (commodity broker).
You indicated when your hedge account was opened that the commodity contracts in your hedge account should not be liquidated automatically in the event of the bankruptcy of (commodity broker), and that you wished to provide instructions at this time concerning their disposition.
Instructions to transfer your commodity contracts and a cash deposit (as described below) must be received by the trustee by (the 6th calendar day after entry of order for relief) or your commodity contracts will be liquidated.
If you request the transfer of your commodity contracts, prior to their transfer, you must pay the trustee in cash an amount determined by the trustee which will approximate the difference between the value of the equity margining your commodity contracts and your pro rata share of the estate plus an amount constituting security for the nonrecovery of any overpayments. In your instructions, you should specify the broker to which you wish your commodity contracts transferred.
Be further advised that prior to receipt of your instructions, circumstances may, in any event, require the trustee to liquidate or transfer your commodity contracts. If your commodity contracts are so transferred and your instructions are received, your instructions will be forwarded to the new broker.
Note also that the trustee is required to liquidate your positions despite the timely receipt of your instructions and money if, for any reason, you have not made arrangements to transfer and/or your contracts are not transferred by (7 calendar days after entry of order for relief).
Instructions should be sent to: (Trustee's or designee's name, address, and/or telephone). [Instructions may also be provided by phone].
Bankruptcy Appendix Form 4--Proof of Claim [Note to trustee: As indicated in Sec. 190.02(d), this form is provided as a guide to the trustee and should be modified as necessary depending upon the information which the trustee needs at the time a proof of claim is requested and the time provided for a response.]
Proof of Claim United States Bankruptcy Court ----District of ----In re ----, Debtor, No. ----. Return this form by ---- or your claim will be barred (unless extended, for good cause only).
I. [If claimant is an individual claiming for himself] The undersigned, who is the claimant herein, resides at ----.
[If claimant is a partnership claiming through a member] The undersigned, who resides at ----, is a member of ----, a partnership, composed of the undersigned and ----, of ----, and doing business at ----, and is duly authorized to make this proof of claim on behalf of the partnership.
[If claimant is a corporation claiming though a duly authorized officer] The undersigned, who resides at ---- is the ---- of ----, a corporation organized under the laws of ---- and doing business at ----, and is duly authorized to make this proof of claim on behalf of the corporation.
[If claim is made by agent] The undersigned, who resides at ----, is the agent of ----, and is duly authorized to make this proof of claim on behalf of the claimant.
II. The debtor was, at the time of the filing of the petition initiating this case, and still is, indebted to this claimant for the total sum of $ ----.
III. List EACH account on behalf of which a claim is being made by number and name of account holder[s], and for EACH account, specify the following information:
a. Whether the account is a futures, foreign futures, leverage, option (if an option account, specify whether exchange-traded, dealer or cleared swap), ``delivery'' account, or a cleared swaps account. A ``delivery'' account is one which contains only documents of title, commodities, cash, or other property identified to the claimant and deposited for the purposes of making or taking delivery on a commodity underlying a commodity contract or for payment of the strike price upon exercise of an option.
b. The capacity in which the account is held, as follows (and if more than one is applicable, so state):
1. [The account is held in the name of the undersigned in his individual capacity];
2. [The account is held by the undersigned as guardian, custodian, or conservator for the benefit of a ward or a minor under the Uniform Gift to Minors Act];
3. [The account is held by the undersigned as executor or administrator of an estate];
4. [The account is held by the undersigned as trustee for the trust beneficiary];
5. [The account is held by the undersigned in the name of a corporation, partnership, or unincorporated association];
6. [The account is held as an omnibus customer account of the undersigned futures commission merchant];
7. [The account is held by the undersigned as part owner of a joint account];
8. [The account is held by the undersigned in the name of a plan which, on the date the petition in bankruptcy was filed, had in effect a registration statement in accordance with the requirements of Sec. 1031 of the Employee Retirement Income Security Act of 1974 and the regulations thereunder]; or
9. [The account is held by the undersigned as agent or nominee for a principal or beneficial owner (and not described above in items 1-8 of this II, b)].
10. [The account is held in any other capacity not described above in items 1-9 of this II, b. Specify the capacity].
c. The equity, as of the date the petition in bankruptcy was filed, based on the commodity contracts in the account.
d. Whether the person[s] (including a general partnership, limited partnership, corporation, or other type of association) on whose behalf the account is held is one of the following persons OR whether one of the following persons, alone or jointly, owns 10% or more of the account:
1. [If the debtor is an individual--
A. Such individual;
B. Relative (as defined below in item 8 of this III.d) of the debtor or of a general partner of the debtor;
C. Partnership in which the debtor is a general partner;
D. General partner of the debtor; or
E. Corporation of which the debtor is a director, officer, or person in control];
2. [If the debtor is a partnership--
A. Such partnership;
B. General partner in the debtor;
C. Relative (as defined in item 8 of this III.d) of a general partner in, general partner of, or person in control of the debtor;
D. Partnership in which the debtor is a general partner;
E. General partner of the debtor; or
F. Person in control of the debtor];
3. [If the debtor is a limited partnership--
A. Such limited partnership;
B. A limited or special partner in such partnership whose duties include:
i. The management of the partnership business or any part thereof;
ii. The handling of the trades or customer funds of customers of such partnership;
iii. The keeping of records pertaining to the trades or customer funds of customers of such partnership; or
iv. The signing or co-signing of checks or drafts on behalf of such partnership];
4. [If the debtor is a corporation or association (except a debtor which is a futures commission merchant and is also a cooperative association of producers)--
A. Such corporation or association;
B. Director of the debtor;
C. Officer of the debtor;
D. Person in control of the debtor;
E. Partnership in which the debtor is a general partner;
F. General partner of the debtor;
G. Relative (as defined in item 8 of this III.d) of a general partner, director, officer, or person in control of the debtor;
H. An officer, director or owner of ten percent or more of the capital stock of such organization];
5. [If the debtor is a futures commission merchant which is a cooperative association of producers--
Shareholder or member of the debtor which is an officer, director or manager];
6. [An employee of such individual, partnership, limited partnership, corporation or association whose duties include:
A. The management of the business of such individual, partnership, limited partnership, corporation or association or any part thereof;
B. The handling of the trades or customer funds of customers of such individual, partnership, limited partnership, corporation or association;
C. The keeping of records pertaining to the trades or funds of customers of such individual, partnership, limited partnership, corporation or association; or
D. The signing or co-signing of checks or drafts on behalf of such individual, partnership, limited partnership, corporation or association];
7. [Managing agent of the debtor];
8. [A spouse or minor dependent living in the same household of ANY OF THE FOREGOING PERSONS, or any other relative, regardless of residency, (unless previously described in items 1-B, 2-C, or 4-G of this III.d) defined as an individual related by affinity or consanguinity within the third degree as determined by the common law, or individual in a step or adoptive relationship within such degree];
9. [``Affiliate'' of the debtor, defined as:
A. Entity that directly or indirectly owns, controls, or holds with power to vote, 20 percent or more of the out-standing voting securities of the debtor, other than an entity that holds such securities--
i. In a fiduciary or agency capacity without sole discretionary power to vote such securities; or
ii. Solely to secure a debt, if such entity has not in fact exercised such power to vote;
B. Corporation 20 percent or more of whose outstanding voting securities are directly or indirectly owned, con-trolled, or held with power to vote, by the debtor, or by an entity that directly or indirectly owns, controls, or holds with power to vote, 20 percent or more of the outstanding voting securities of the debtor, other than an entity that holds such securities--
i. In a fiduciary or agency capacity without sole discretionary power to vote such securities; or
ii. Solely to secure a debt, if such entity has not in fact exercised such power to vote;
C. Person whose business is operated under a lease or operating agreement by the debtor, or person substantially all of whose property is operated under an operating agreement with the debtor;
D. Entity that otherwise, directly or indirectly, is controlled by or is under common control with the debtor];
E. Entity that operates the business or all or substantially all of the property of the debtor under a lease or operating agreement; or
F. Entity that otherwise, directly or indirectly, controls the debtor; or
10. [Any of the persons listed in items 1-7 above of this III.d if such person is associated with an affiliate (see item 9 above) of the debtor as if the affiliate were the debtor].
e. Whether the account is a discretionary account. (If it is, the name in which the ``attorney in fact'' is held).
f. If the account is a joint account, the amount of the claimant's percentage interest in the account. (Also specify whether participants in a joint account are claiming separately or jointly).
g. Whether the claimant's positions in security futures products are held in a futures account or securities account, as those terms are defined in Sec. 1.3 of this chapter.
IV. Describe all claims against the debtor not based upon a commodity contract account of the claimant (e.g., if landlord, for rent; if customer, for misrepresentation or fraud).
V. Describe all claims of the DEBTOR against the CLAIMANT not already included in the equity of a commodity contract account[s] of the claimant (see III.c above).
VI. Describe any deposits of money, securities or other property held by or for the debtor from or for the claimant, and indicate if any of this property was included in your answer to III.c above.
VII. Of the money, securities, or other property described in VI above, identify any which consists of the following:
a. With respect to property received, acquired, or held by or for the account of the debtor from or for the account of the claimant to margin, guarantee or secure an open commodity contract, the following:
1. Any security which as of the filing date is:
A. Held for the claimant's account;
B. Registered in the claimant's name;
C. Not transferable by delivery; and
D. Not a short term obligation; or
2. Any warehouse receipt, bill of lading or other document of title which as of the filing date:
A. Can be identified on the books and records of the debtor as held for the account of the claimant; and
B. Is not in bearer form and is not otherwise transferable by delivery.
b. With respect to open commodity contracts, and except as otherwise provided below in item g of this VII, any such contract which:
1. As of the date the petition in bankruptcy was filed, is identified on the books and records of the debtor as held for the account of the claimant;
2. Is a bona fide hedging position or transaction as defined in Rule 1.3 of the Commodity Futures Trading Commission (``CFTC'') or is a commodity option transaction which has been determined by a registered entity to be economically appropriate to the reduction of risks in the conduct and management of a commercial enterprise pursuant to rules which have been approved by the CFTC pursuant to section 5c(c) of the Commodity Exchange Act;
3. Is in an account designated in the accounting records of the debtor as a hedging account.
c. With respect to warehouse receipts, bills of lading or other documents of title, or physical commodities received, acquired, or held by or for the account of the debtor for the purpose of making or taking delivery or exercise from or for the claimant's account, any such document of title or commodity which as of the filing date can be identified on the books and records of the debtor as received from or for the account of the claimant specifically for the purpose of delivery or exercise.
d. Any cash or other property deposited prior to bankruptcy to pay for the taking of physical delivery on a long commodity contract or for payment of the strike price upon exercise of a short put or a long call option contract on a physical commodity, which cannot be settled in cash, in excess of the amount necessary to margin such commodity contract prior to the notice date or exercise date which cash or other property is identified on the books and records of the debtor as received from or for the account of the claimant within three or less days of the notice date or three or less days of the exercise date specifically for the purpose of payment of the notice price upon taking delivery or the strike price upon exercise.
e. The cash price tendered for any property deposited prior to bankruptcy to make physical delivery on a short commodity contract or for exercise of a long put or a short call option contract on a physical commodity, which cannot be settled in cash, to the extent it exceeds the amount necessary to margin such contract prior to the notice exercise date which property is identified on the books and records of the debtor as received from or for the account of the claimant within three or less days of the notice date or of the exercise date specifically for the purpose of a delivery or exercise.
f. Fully paid, non-exempt securities identified on the books and records of the debtor as held by the debtor for or on behalf of the commodity contract account of the claimant for which, according to such books and records as of the filing date, no open commodity contracts were held in the same capacity.
g. Open commodity contracts transferred to another futures commission merchant by the trustee.
VIII. Specify whether the claimant wishes to receive payment in kind, to the extent possible, for any claim for securities.
IX. Attach copies of any documents which support the information provided in this proof of claim, including but not limited to customer confirmations, account statements, and statements of purchase or sale.
This proof of claim must be filed with the trustee no later than ----, or your claim will be barred unless an extension has been granted, available only for good cause. Return this form to:(Trustee's name (or designee's) and address)________________________________________________________________________
Dated:_________________________________________________________________
(Signed)_______________________________________________________________ Penalty for Presenting Fraudulent Claim. Fine of not more than $5,000 or imprisonment for not more than five years or both--Title 18, U.S.C. 152. (Approved by the Office of Management and Budget under control number 3038-0021) [77 FR 6382, Feb. 7, 2012]
Sec. Appendix B to Part 190--Special Bankruptcy Distributions
Framework 1--Special Distribution of Customer Funds for Futures
Contracts When FCM Participated in Cross-Margining
The Commission has established the following distributional convention with respect to ``customer funds'' (as Sec. 1.3 of this chapter defines such term) for futures contracts held by a futures commission merchant (FCM) that participated in a cross-margining (XM) program which shall apply if participating market professionals sign an agreement that makes reference to this distributional rule and the form of such agreement has been approved by the Commission by rule, regulation or order:
All customer funds for futures contracts held in respect of XM accounts, regardless of the product that customers holding such accounts are trading, are required by Commission order to be segregated separately from all other customer segregated funds. For purposes of this distributional rule, XM accounts will be deemed to be commodity interest accounts and securities held in XM accounts will be deemed to be received by the FCM to margin, guarantee or secure commodity interest contracts. The maintenance of property in an XM account will result in subordination of the claim for such property to certain non-XM customer claims and thereby will operate to cause such XM claim not to be treated as a customer claim for purposes of the Securities Investors Protection Act and the XM securities to be excluded from the securities estate. This creates subclasses of futures customer accounts, an XM account and a non-XM account (a person could hold each type of account), and results in two pools of segregated funds belonging to futures customers: An XM pool and a non-XM pool. In the event that there is a shortfall in the non-XM pool of customer class segregated funds and there is no shortfall in the XM pool of customer segregated funds, all futures customer net equity claims, whether or not they arise out of the XM subclass of accounts, will be combined and will be paid pro rata out of the total pool of available XM and non-XM customer funds for futures contracts. In the event that there is a shortfall in the XM pool of customer segregated funds and there is no shortfall in the non-XM pool of customer segregated funds, then futures customer net equity claims arising from the XM subclass of accounts shall be satisfied first from the XM pool of customer segregated funds, and futures customer net equity claims arising from the non-XM subclass of accounts shall be satisfied first from the non-XM customer segregated funds. Furthermore, in the event that there is a shortfall in both the non-XM and XM pools of customer segregated funds: (1) If the non-XM shortfall as a percentage of the segregation requirement in the non-XM pool is greater than or equal to the XM shortfall as a percentage of the segregation requirement in the XM pool, all futures customer net equity claims will be paid pro rata; and (2) if the XM shortfall as a percentage of the segregation requirement in the XM pool is greater than the non-XM shortfall as a percentage of the segregation requirement of the non-XM pool, non-XM futures customer net equity claims will be paid pro rata out of the available non-XM segregated funds, and XM futures customer net equity claims will be paid pro rata out of the available XM segregated funds. In this way, non-XM customers will never be adversely affected by an XM shortfall.
The following examples illustrate the operation of this convention. The examples assume that the FCM has two customers, one with exclusively XM accounts and one with exclusively non-XM accounts. However, the examples would apply equally if there were only one customer, with both an XM account and a non-XM account. [GRAPHIC] [TIFF OMITTED] TR07FE12.006 [GRAPHIC] [TIFF OMITTED] TR07FE12.007 [GRAPHIC] [TIFF OMITTED] TR07FE12.008 [GRAPHIC] [TIFF OMITTED] TR07FE12.009 [GRAPHIC] [TIFF OMITTED] TR07FE12.010 [GRAPHIC] [TIFF OMITTED] TR07FE12.011 [GRAPHIC] [TIFF OMITTED] TR07FE12.012 [GRAPHIC] [TIFF OMITTED] TR07FE12.013 [GRAPHIC] [TIFF OMITTED] TR07FE12.014 [GRAPHIC] [TIFF OMITTED] TR07FE12.015 [GRAPHIC] [TIFF OMITTED] TR07FE12.016 [GRAPHIC] [TIFF OMITTED] TR07FE12.017 [GRAPHIC] [TIFF OMITTED] TR07FE12.018 [GRAPHIC] [TIFF OMITTED] TR07FE12.019 [GRAPHIC] [TIFF OMITTED] TR07FE12.020 [GRAPHIC] [TIFF OMITTED] TR07FE12.021 [GRAPHIC] [TIFF OMITTED] TR07FE12.022 [GRAPHIC] [TIFF OMITTED] TR07FE12.023 [GRAPHIC] [TIFF OMITTED] TR07FE12.024 [GRAPHIC] [TIFF OMITTED] TR07FE12.025 [77 FR 6386, Feb. 7, 2012]
PARTS 191 199 [RESERVED]
FINDING AIDS
--------------------------------------------------------------------
A list of CFR titles, subtitles, chapters, subchapters and parts and an alphabetical list of agencies publishing in the CFR are included in the CFR Index and Finding Aids volume to the Code of Federal Regulations which is published separately and revised annually.
Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
List of CFR Sections Affected
Table of CFR Titles and Chapters
(Revised as of April 1, 2015)
Title 1--General Provisions
I Administrative Committee of the Federal Register
(Parts 1--49)
II Office of the Federal Register (Parts 50--299)
III Administrative Conference of the United States (Parts
300--399)
IV Miscellaneous Agencies (Parts 400--500)
Title 2--Grants and Agreements
Subtitle A--Office of Management and Budget Guidance
for Grants and Agreements
I Office of Management and Budget Governmentwide
Guidance for Grants and Agreements (Parts 2--199)
II Office of Management and Budget Guidance (Parts 200--
299)
Subtitle B--Federal Agency Regulations for Grants and
Agreements
III Department of Health and Human Services (Parts 300--
399)
IV Department of Agriculture (Parts 400--499)
VI Department of State (Parts 600--699)
VII Agency for International Development (Parts 700--799)
VIII Department of Veterans Affairs (Parts 800--899)
IX Department of Energy (Parts 900--999)
X Department of the Treasury (Parts 1000--1099)
XI Department of Defense (Parts 1100--1199)
XII Department of Transportation (Parts 1200--1299)
XIII Department of Commerce (Parts 1300--1399)
XIV Department of the Interior (Parts 1400--1499)
XV Environmental Protection Agency (Parts 1500--1599)
XVIII National Aeronautics and Space Administration (Parts
1800--1899)
XX United States Nuclear Regulatory Commission (Parts
2000--2099)
XXII Corporation for National and Community Service (Parts
2200--2299)
XXIII Social Security Administration (Parts 2300--2399)
XXIV Housing and Urban Development (Parts 2400--2499)
XXV National Science Foundation (Parts 2500--2599)
XXVI National Archives and Records Administration (Parts
2600--2699)
XXVII Small Business Administration (Parts 2700--2799)
XXVIII Department of Justice (Parts 2800--2899)
XXIX Department of Labor (Parts 2900--2999)
XXX Department of Homeland Security (Parts 3000--3099)
XXXI Institute of Museum and Library Services (Parts 3100--
3199)
XXXII National Endowment for the Arts (Parts 3200--3299)
XXXIII National Endowment for the Humanities (Parts 3300--
3399)
XXXIV Department of Education (Parts 3400--3499)
XXXV Export-Import Bank of the United States (Parts 3500--
3599)
XXXVI Office of National Drug Control Policy, Executive
Office of the President (Parts 3600--3699)
XXXVII Peace Corps (Parts 3700--3799)
LVIII Election Assistance Commission (Parts 5800--5899)
LIX Gulf COast Ecosystem Restoration Council (Parts 5900--
5999)
Title 3--The President
I Executive Office of the President (Parts 100--199)
Title 4--Accounts
I Government Accountability Office (Parts 1--199)
II Recovery Accountability and Transparency Board (Parts
200--299)
Title 5--Administrative Personnel
I Office of Personnel Management (Parts 1--1199)
II Merit Systems Protection Board (Parts 1200--1299)
III Office of Management and Budget (Parts 1300--1399)
V The International Organizations Employees Loyalty
Board (Parts 1500--1599)
VI Federal Retirement Thrift Investment Board (Parts
1600--1699)
VIII Office of Special Counsel (Parts 1800--1899)
IX Appalachian Regional Commission (Parts 1900--1999)
XI Armed Forces Retirement Home (Parts 2100--2199)
XIV Federal Labor Relations Authority, General Counsel of
the Federal Labor Relations Authority and Federal
Service Impasses Panel (Parts 2400--2499)
XVI Office of Government Ethics (Parts 2600--2699)
XXI Department of the Treasury (Parts 3100--3199)
XXII Federal Deposit Insurance Corporation (Parts 3200--
3299)
XXIII Department of Energy (Parts 3300--3399)
XXIV Federal Energy Regulatory Commission (Parts 3400--
3499)
XXV Department of the Interior (Parts 3500--3599)
XXVI Department of Defense (Parts 3600--3699)
XXVIII Department of Justice (Parts 3800--3899)
XXIX Federal Communications Commission (Parts 3900--3999)
XXX Farm Credit System Insurance Corporation (Parts 4000--
4099)
XXXI Farm Credit Administration (Parts 4100--4199)
XXXIII Overseas Private Investment Corporation (Parts 4300--
4399)
XXXIV Securities and Exchange Commission (Parts 4400--4499)
XXXV Office of Personnel Management (Parts 4500--4599)
XXXVII Federal Election Commission (Parts 4700--4799)
XL Interstate Commerce Commission (Parts 5000--5099)
XLI Commodity Futures Trading Commission (Parts 5100--
5199)
XLII Department of Labor (Parts 5200--5299)
XLIII National Science Foundation (Parts 5300--5399)
XLV Department of Health and Human Services (Parts 5500--
5599)
XLVI Postal Rate Commission (Parts 5600--5699)
XLVII Federal Trade Commission (Parts 5700--5799)
XLVIII Nuclear Regulatory Commission (Parts 5800--5899)
XLIX Federal Labor Relations Authority (Parts 5900--5999)
L Department of Transportation (Parts 6000--6099)
LII Export-Import Bank of the United States (Parts 6200--
6299)
LIII Department of Education (Parts 6300--6399)
LIV Environmental Protection Agency (Parts 6400--6499)
LV National Endowment for the Arts (Parts 6500--6599)
LVI National Endowment for the Humanities (Parts 6600--
6699)
LVII General Services Administration (Parts 6700--6799)
LVIII Board of Governors of the Federal Reserve System
(Parts 6800--6899)
LIX National Aeronautics and Space Administration (Parts
6900--6999)
LX United States Postal Service (Parts 7000--7099)
LXI National Labor Relations Board (Parts 7100--7199)
LXII Equal Employment Opportunity Commission (Parts 7200--
7299)
LXIII Inter-American Foundation (Parts 7300--7399)
LXIV Merit Systems Protection Board (Parts 7400--7499)
LXV Department of Housing and Urban Development (Parts
7500--7599)
LXVI National Archives and Records Administration (Parts
7600--7699)
LXVII Institute of Museum and Library Services (Parts 7700--
7799)
LXVIII Commission on Civil Rights (Parts 7800--7899)
LXIX Tennessee Valley Authority (Parts 7900--7999)
LXX Court Services and Offender Supervision Agency for the
District of Columbia (Parts 8000--8099)
LXXI Consumer Product Safety Commission (Parts 8100--8199)
LXXIII Department of Agriculture (Parts 8300--8399)
LXXIV Federal Mine Safety and Health Review Commission
(Parts 8400--8499)
LXXVI Federal Retirement Thrift Investment Board (Parts
8600--8699)
LXXVII Office of Management and Budget (Parts 8700--8799)
LXXX Federal Housing Finance Agency (Parts 9000--9099)
LXXXIII Special Inspector General for Afghanistan
Reconstruction (Parts 9300--9399)
LXXXIV Bureau of Consumer Financial Protection (Parts 9400--
9499)
LXXXVI National Credit Union Administration (Parts 9600--
9699)
XCVII Department of Homeland Security Human Resources
Management System (Department of Homeland
Security--Office of Personnel Management) (Parts
9700--9799)
XCVII Council of the Inspectors General on Integrity and
Efficiency (Parts 9800--9899)
XCIV Military Compensation and Retirement Modernization
Commission (Parts 9900--9999)
Title 6--Domestic Security
I Department of Homeland Security, Office of the
Secretary (Parts 1--199)
X Privacy and Civil Liberties Oversight Board (Parts
1000--1099)
Title 7--Agriculture
Subtitle A--Office of the Secretary of Agriculture
(Parts 0--26)
Subtitle B--Regulations of the Department of
Agriculture
I Agricultural Marketing Service (Standards,
Inspections, Marketing Practices), Department of
Agriculture (Parts 27--209)
II Food and Nutrition Service, Department of Agriculture
(Parts 210--299)
III Animal and Plant Health Inspection Service, Department
of Agriculture (Parts 300--399)
IV Federal Crop Insurance Corporation, Department of
Agriculture (Parts 400--499)
V Agricultural Research Service, Department of
Agriculture (Parts 500--599)
VI Natural Resources Conservation Service, Department of
Agriculture (Parts 600--699)
VII Farm Service Agency, Department of Agriculture (Parts
700--799)
VIII Grain Inspection, Packers and Stockyards
Administration (Federal Grain Inspection Service),
Department of Agriculture (Parts 800--899)
IX Agricultural Marketing Service (Marketing Agreements
and Orders; Fruits, Vegetables, Nuts), Department
of Agriculture (Parts 900--999)
X Agricultural Marketing Service (Marketing Agreements
and Orders; Milk), Department of Agriculture
(Parts 1000--1199)
XI Agricultural Marketing Service (Marketing Agreements
and Orders; Miscellaneous Commodities), Department
of Agriculture (Parts 1200--1299)
XIV Commodity Credit Corporation, Department of
Agriculture (Parts 1400--1499)
XV Foreign Agricultural Service, Department of
Agriculture (Parts 1500--1599)
XVI Rural Telephone Bank, Department of Agriculture (Parts
1600--1699)
XVII Rural Utilities Service, Department of Agriculture
(Parts 1700--1799)
XVIII Rural Housing Service, Rural Business-Cooperative
Service, Rural Utilities Service, and Farm Service
Agency, Department of Agriculture (Parts 1800--
2099)
XX Local Television Loan Guarantee Board (Parts 2200--
2299)
XXV Office of Advocacy and Outreach, Department of
Agriculture (Parts 2500--2599)
XXVI Office of Inspector General, Department of Agriculture
(Parts 2600--2699)
XXVII Office of Information Resources Management, Department
of Agriculture (Parts 2700--2799)
XXVIII Office of Operations, Department of Agriculture (Parts
2800--2899)
XXIX Office of Energy Policy and New Uses, Department of
Agriculture (Parts 2900--2999)
XXX Office of the Chief Financial Officer, Department of
Agriculture (Parts 3000--3099)
XXXI Office of Environmental Quality, Department of
Agriculture (Parts 3100--3199)
XXXII Office of Procurement and Property Management,
Department of Agriculture (Parts 3200--3299)
XXXIII Office of Transportation, Department of Agriculture
(Parts 3300--3399)
XXXIV National Institute of Food and Agriculture (Parts
3400--3499)
XXXV Rural Housing Service, Department of Agriculture
(Parts 3500--3599)
XXXVI National Agricultural Statistics Service, Department
of Agriculture (Parts 3600--3699)
XXXVII Economic Research Service, Department of Agriculture
(Parts 3700--3799)
XXXVIII World Agricultural Outlook Board, Department of
Agriculture (Parts 3800--3899)
XLI [Reserved]
XLII Rural Business-Cooperative Service and Rural Utilities
Service, Department of Agriculture (Parts 4200--
4299)
Title 8--Aliens and Nationality
I Department of Homeland Security (Immigration and
Naturalization) (Parts 1--499)
V Executive Office for Immigration Review, Department of
Justice (Parts 1000--1399)
Title 9--Animals and Animal Products
I Animal and Plant Health Inspection Service, Department
of Agriculture (Parts 1--199)
II Grain Inspection, Packers and Stockyards
Administration (Packers and Stockyards Programs),
Department of Agriculture (Parts 200--299)
III Food Safety and Inspection Service, Department of
Agriculture (Parts 300--599)
Title 10--Energy
I Nuclear Regulatory Commission (Parts 0--199)
II Department of Energy (Parts 200--699)
III Department of Energy (Parts 700--999)
X Department of Energy (General Provisions) (Parts
1000--1099)
XIII Nuclear Waste Technical Review Board (Parts 1300--
1399)
XVII Defense Nuclear Facilities Safety Board (Parts 1700--
1799)
XVIII Northeast Interstate Low-Level Radioactive Waste
Commission (Parts 1800--1899)
Title 11--Federal Elections
I Federal Election Commission (Parts 1--9099)
II Election Assistance Commission (Parts 9400--9499)
Title 12--Banks and Banking
I Comptroller of the Currency, Department of the
Treasury (Parts 1--199)
II Federal Reserve System (Parts 200--299)
III Federal Deposit Insurance Corporation (Parts 300--399)
IV Export-Import Bank of the United States (Parts 400--
499)
V Office of Thrift Supervision, Department of the
Treasury (Parts 500--599)
VI Farm Credit Administration (Parts 600--699)
VII National Credit Union Administration (Parts 700--799)
VIII Federal Financing Bank (Parts 800--899)
IX Federal Housing Finance Board (Parts 900--999)
X Bureau of Consumer Financial Protection (Parts 1000--
1099)
XI Federal Financial Institutions Examination Council
(Parts 1100--1199)
XII Federal Housing Finance Agency (Parts 1200--1299)
XIII Financial Stability Oversight Council (Parts 1300--
1399)
XIV Farm Credit System Insurance Corporation (Parts 1400--
1499)
XV Department of the Treasury (Parts 1500--1599)
XVI Office of Financial Research (Parts 1600--1699)
XVII Office of Federal Housing Enterprise Oversight,
Department of Housing and Urban Development (Parts
1700--1799)
XVIII Community Development Financial Institutions Fund,
Department of the Treasury (Parts 1800--1899)
Title 13--Business Credit and Assistance
I Small Business Administration (Parts 1--199)
III Economic Development Administration, Department of
Commerce (Parts 300--399)
IV Emergency Steel Guarantee Loan Board (Parts 400--499)
V Emergency Oil and Gas Guaranteed Loan Board (Parts
500--599)
Title 14--Aeronautics and Space
I Federal Aviation Administration, Department of
Transportation (Parts 1--199)
II Office of the Secretary, Department of Transportation
(Aviation Proceedings) (Parts 200--399)
III Commercial Space Transportation, Federal Aviation
Administration, Department of Transportation
(Parts 400--1199)
V National Aeronautics and Space Administration (Parts
1200--1299)
VI Air Transportation System Stabilization (Parts 1300--
1399)
Title 15--Commerce and Foreign Trade
Subtitle A--Office of the Secretary of Commerce (Parts
0--29)
Subtitle B--Regulations Relating to Commerce and
Foreign Trade
I Bureau of the Census, Department of Commerce (Parts
30--199)
II National Institute of Standards and Technology,
Department of Commerce (Parts 200--299)
III International Trade Administration, Department of
Commerce (Parts 300--399)
IV Foreign-Trade Zones Board, Department of Commerce
(Parts 400--499)
VII Bureau of Industry and Security, Department of
Commerce (Parts 700--799)
VIII Bureau of Economic Analysis, Department of Commerce
(Parts 800--899)
IX National Oceanic and Atmospheric Administration,
Department of Commerce (Parts 900--999)
XI Technology Administration, Department of Commerce
(Parts 1100--1199)
XIII East-West Foreign Trade Board (Parts 1300--1399)
XIV Minority Business Development Agency (Parts 1400--
1499)
Subtitle C--Regulations Relating to Foreign Trade
Agreements
XX Office of the United States Trade Representative
(Parts 2000--2099)
Subtitle D--Regulations Relating to Telecommunications
and Information
XXIII National Telecommunications and Information
Administration, Department of Commerce (Parts
2300--2399)
Title 16--Commercial Practices
I Federal Trade Commission (Parts 0--999)
II Consumer Product Safety Commission (Parts 1000--1799)
Title 17--Commodity and Securities Exchanges
I Commodity Futures Trading Commission (Parts 1--199)
II Securities and Exchange Commission (Parts 200--399)
IV Department of the Treasury (Parts 400--499)
Title 18--Conservation of Power and Water Resources
I Federal Energy Regulatory Commission, Department of
Energy (Parts 1--399)
III Delaware River Basin Commission (Parts 400--499)
VI Water Resources Council (Parts 700--799)
VIII Susquehanna River Basin Commission (Parts 800--899)
XIII Tennessee Valley Authority (Parts 1300--1399)
Title 19--Customs Duties
I U.S. Customs and Border Protection, Department of
Homeland Security; Department of the Treasury
(Parts 0--199)
II United States International Trade Commission (Parts
200--299)
III International Trade Administration, Department of
Commerce (Parts 300--399)
IV U.S. Immigration and Customs Enforcement, Department
of Homeland Security (Parts 400--599)
Title 20--Employees' Benefits
I Office of Workers' Compensation Programs, Department
of Labor (Parts 1--199)
II Railroad Retirement Board (Parts 200--399)
III Social Security Administration (Parts 400--499)
IV Employees' Compensation Appeals Board, Department of
Labor (Parts 500--599)
V Employment and Training Administration, Department of
Labor (Parts 600--699)
VI Office of Workers' Compensation Programs, Department
of Labor (Parts 700--799)
VII Benefits Review Board, Department of Labor (Parts
800--899)
VIII Joint Board for the Enrollment of Actuaries (Parts
900--999)
IX Office of the Assistant Secretary for Veterans'
Employment and Training Service, Department of
Labor (Parts 1000--1099)
Title 21--Food and Drugs
I Food and Drug Administration, Department of Health and
Human Services (Parts 1--1299)
II Drug Enforcement Administration, Department of Justice
(Parts 1300--1399)
III Office of National Drug Control Policy (Parts 1400--
1499)
Title 22--Foreign Relations
I Department of State (Parts 1--199)
II Agency for International Development (Parts 200--299)
III Peace Corps (Parts 300--399)
IV International Joint Commission, United States and
Canada (Parts 400--499)
V Broadcasting Board of Governors (Parts 500--599)
VII Overseas Private Investment Corporation (Parts 700--
799)
IX Foreign Service Grievance Board (Parts 900--999)
X Inter-American Foundation (Parts 1000--1099)
XI International Boundary and Water Commission, United
States and Mexico, United States Section (Parts
1100--1199)
XII United States International Development Cooperation
Agency (Parts 1200--1299)
XIII Millennium Challenge Corporation (Parts 1300--1399)
XIV Foreign Service Labor Relations Board; Federal Labor
Relations Authority; General Counsel of the
Federal Labor Relations Authority; and the Foreign
Service Impasse Disputes Panel (Parts 1400--1499)
XV African Development Foundation (Parts 1500--1599)
XVI Japan-United States Friendship Commission (Parts
1600--1699)
XVII United States Institute of Peace (Parts 1700--1799)
Title 23--Highways
I Federal Highway Administration, Department of
Transportation (Parts 1--999)
II National Highway Traffic Safety Administration and
Federal Highway Administration, Department of
Transportation (Parts 1200--1299)
III National Highway Traffic Safety Administration,
Department of Transportation (Parts 1300--1399)
Title 24--Housing and Urban Development
Subtitle A--Office of the Secretary, Department of
Housing and Urban Development (Parts 0--99)
Subtitle B--Regulations Relating to Housing and Urban
Development
I Office of Assistant Secretary for Equal Opportunity,
Department of Housing and Urban Development (Parts
100--199)
II Office of Assistant Secretary for Housing-Federal
Housing Commissioner, Department of Housing and
Urban Development (Parts 200--299)
III Government National Mortgage Association, Department
of Housing and Urban Development (Parts 300--399)
IV Office of Housing and Office of Multifamily Housing
Assistance Restructuring, Department of Housing
and Urban Development (Parts 400--499)
V Office of Assistant Secretary for Community Planning
and Development, Department of Housing and Urban
Development (Parts 500--599)
VI Office of Assistant Secretary for Community Planning
and Development, Department of Housing and Urban
Development (Parts 600--699) [Reserved]
VII Office of the Secretary, Department of Housing and
Urban Development (Housing Assistance Programs and
Public and Indian Housing Programs) (Parts 700--
799)
VIII Office of the Assistant Secretary for Housing--Federal
Housing Commissioner, Department of Housing and
Urban Development (Section 8 Housing Assistance
Programs, Section 202 Direct Loan Program, Section
202 Supportive Housing for the Elderly Program and
Section 811 Supportive Housing for Persons With
Disabilities Program) (Parts 800--899)
IX Office of Assistant Secretary for Public and Indian
Housing, Department of Housing and Urban
Development (Parts 900--1699)
X Office of Assistant Secretary for Housing--Federal
Housing Commissioner, Department of Housing and
Urban Development (Interstate Land Sales
Registration Program) (Parts 1700--1799)
XII Office of Inspector General, Department of Housing and
Urban Development (Parts 2000--2099)
XV Emergency Mortgage Insurance and Loan Programs,
Department of Housing and Urban Development (Parts
2700--2799) [Reserved]
XX Office of Assistant Secretary for Housing--Federal
Housing Commissioner, Department of Housing and
Urban Development (Parts 3200--3899)
XXIV Board of Directors of the HOPE for Homeowners Program
(Parts 4000--4099) [Reserved]
XXV Neighborhood Reinvestment Corporation (Parts 4100--
4199)
Title 25--Indians
I Bureau of Indian Affairs, Department of the Interior
(Parts 1--299)
II Indian Arts and Crafts Board, Department of the
Interior (Parts 300--399)
III National Indian Gaming Commission, Department of the
Interior (Parts 500--599)
IV Office of Navajo and Hopi Indian Relocation (Parts
700--799)
V Bureau of Indian Affairs, Department of the Interior,
and Indian Health Service, Department of Health
and Human Services (Part 900)
VI Office of the Assistant Secretary-Indian Affairs,
Department of the Interior (Parts 1000--1199)
VII Office of the Special Trustee for American Indians,
Department of the Interior (Parts 1200--1299)
Title 26--Internal Revenue
I Internal Revenue Service, Department of the Treasury
(Parts 1--End)
Title 27--Alcohol, Tobacco Products and Firearms
I Alcohol and Tobacco Tax and Trade Bureau, Department
of the Treasury (Parts 1--399)
II Bureau of Alcohol, Tobacco, Firearms, and Explosives,
Department of Justice (Parts 400--699)
Title 28--Judicial Administration
I Department of Justice (Parts 0--299)
III Federal Prison Industries, Inc., Department of Justice
(Parts 300--399)
V Bureau of Prisons, Department of Justice (Parts 500--
599)
VI Offices of Independent Counsel, Department of Justice
(Parts 600--699)
VII Office of Independent Counsel (Parts 700--799)
VIII Court Services and Offender Supervision Agency for the
District of Columbia (Parts 800--899)
IX National Crime Prevention and Privacy Compact Council
(Parts 900--999)
XI Department of Justice and Department of State (Parts
1100--1199)
Title 29--Labor
Subtitle A--Office of the Secretary of Labor (Parts
0--99)
Subtitle B--Regulations Relating to Labor
I National Labor Relations Board (Parts 100--199)
II Office of Labor-Management Standards, Department of
Labor (Parts 200--299)
III National Railroad Adjustment Board (Parts 300--399)
IV Office of Labor-Management Standards, Department of
Labor (Parts 400--499)
V Wage and Hour Division, Department of Labor (Parts
500--899)
IX Construction Industry Collective Bargaining Commission
(Parts 900--999)
X National Mediation Board (Parts 1200--1299)
XII Federal Mediation and Conciliation Service (Parts
1400--1499)
XIV Equal Employment Opportunity Commission (Parts 1600--
1699)
XVII Occupational Safety and Health Administration,
Department of Labor (Parts 1900--1999)
XX Occupational Safety and Health Review Commission
(Parts 2200--2499)
XXV Employee Benefits Security Administration, Department
of Labor (Parts 2500--2599)
XXVII Federal Mine Safety and Health Review Commission
(Parts 2700--2799)
XL Pension Benefit Guaranty Corporation (Parts 4000--
4999)
Title 30--Mineral Resources
I Mine Safety and Health Administration, Department of
Labor (Parts 1--199)
II Bureau of Safety and Environmental Enforcement,
Department of the Interior (Parts 200--299)
IV Geological Survey, Department of the Interior (Parts
400--499)
V Bureau of Ocean Energy Management, Department of the
Interior (Parts 500--599)
VII Office of Surface Mining Reclamation and Enforcement,
Department of the Interior (Parts 700--999)
XII Office of Natural Resources Revenue, Department of the
Interior (Parts 1200--1299)
Title 31--Money and Finance: Treasury
Subtitle A--Office of the Secretary of the Treasury
(Parts 0--50)
Subtitle B--Regulations Relating to Money and Finance
I Monetary Offices, Department of the Treasury (Parts
51--199)
II Fiscal Service, Department of the Treasury (Parts
200--399)
IV Secret Service, Department of the Treasury (Parts
400--499)
V Office of Foreign Assets Control, Department of the
Treasury (Parts 500--599)
VI Bureau of Engraving and Printing, Department of the
Treasury (Parts 600--699)
VII Federal Law Enforcement Training Center, Department of
the Treasury (Parts 700--799)
VIII Office of International Investment, Department of the
Treasury (Parts 800--899)
IX Federal Claims Collection Standards (Department of the
Treasury--Department of Justice) (Parts 900--999)
X Financial Crimes Enforcement Network, Department of
the Treasury (Parts 1000--1099)
Title 32--National Defense
Subtitle A--Department of Defense
I Office of the Secretary of Defense (Parts 1--399)
V Department of the Army (Parts 400--699)
VI Department of the Navy (Parts 700--799)
VII Department of the Air Force (Parts 800--1099)
Subtitle B--Other Regulations Relating to National
Defense
XII Defense Logistics Agency (Parts 1200--1299)
XVI Selective Service System (Parts 1600--1699)
XVII Office of the Director of National Intelligence (Parts
1700--1799)
XVIII National Counterintelligence Center (Parts 1800--1899)
XIX Central Intelligence Agency (Parts 1900--1999)
XX Information Security Oversight Office, National
Archives and Records Administration (Parts 2000--
2099)
XXI National Security Council (Parts 2100--2199)
XXIV Office of Science and Technology Policy (Parts 2400--
2499)
XXVII Office for Micronesian Status Negotiations (Parts
2700--2799)
XXVIII Office of the Vice President of the United States
(Parts 2800--2899)
Title 33--Navigation and Navigable Waters
I Coast Guard, Department of Homeland Security (Parts
1--199)
II Corps of Engineers, Department of the Army (Parts
200--399)
IV Saint Lawrence Seaway Development Corporation,
Department of Transportation (Parts 400--499)
Title 34--Education
Subtitle A--Office of the Secretary, Department of
Education (Parts 1--99)
Subtitle B--Regulations of the Offices of the
Department of Education
I Office for Civil Rights, Department of Education
(Parts 100--199)
II Office of Elementary and Secondary Education,
Department of Education (Parts 200--299)
III Office of Special Education and Rehabilitative
Services, Department of Education (Parts 300--399)
IV Office of Career, Technical and Adult Education,
Department of Education (Parts 400--499)
V Office of Bilingual Education and Minority Languages
Affairs, Department of Education (Parts 500--599)
[Reserved]
VI Office of Postsecondary Education, Department of
Education (Parts 600--699)
VII Office of Educational Research and Improvement,
Department of Education (Parts 700--799)
[Reserved]
Subtitle C--Regulations Relating to Education
XI [Reserved]
XII National Council on Disability (Parts 1200--1299)
Title 35 [Reserved]
Title 36--Parks, Forests, and Public Property
I National Park Service, Department of the Interior
(Parts 1--199)
II Forest Service, Department of Agriculture (Parts 200--
299)
III Corps of Engineers, Department of the Army (Parts
300--399)
IV American Battle Monuments Commission (Parts 400--499)
V Smithsonian Institution (Parts 500--599)
VI [Reserved]
VII Library of Congress (Parts 700--799)
VIII Advisory Council on Historic Preservation (Parts 800--
899)
IX Pennsylvania Avenue Development Corporation (Parts
900--999)
X Presidio Trust (Parts 1000--1099)
XI Architectural and Transportation Barriers Compliance
Board (Parts 1100--1199)
XII National Archives and Records Administration (Parts
1200--1299)
XV Oklahoma City National Memorial Trust (Parts 1500--
1599)
XVI Morris K. Udall Scholarship and Excellence in National
Environmental Policy Foundation (Parts 1600--1699)
Title 37--Patents, Trademarks, and Copyrights
I United States Patent and Trademark Office, Department
of Commerce (Parts 1--199)
II U.S. Copyright Office, Library of Congress (Parts
200--299)
III Copyright Royalty Board, Library of Congress (Parts
300--399)
IV Assistant Secretary for Technology Policy, Department
of Commerce (Parts 400--599)
Title 38--Pensions, Bonuses, and Veterans' Relief
I Department of Veterans Affairs (Parts 0--199)
II Armed Forces Retirement Home (Parts 200--299)
Title 39--Postal Service
I United States Postal Service (Parts 1--999)
III Postal Regulatory Commission (Parts 3000--3099)
Title 40--Protection of Environment
I Environmental Protection Agency (Parts 1--1099)
IV Environmental Protection Agency and Department of
Justice (Parts 1400--1499)
V Council on Environmental Quality (Parts 1500--1599)
VI Chemical Safety and Hazard Investigation Board (Parts
1600--1699)
VII Environmental Protection Agency and Department of
Defense; Uniform National Discharge Standards for
Vessels of the Armed Forces (Parts 1700--1799)
VIII Gulf Coast Ecosystem Restoration Council (Parts 1800--
1899)
Title 41--Public Contracts and Property Management
Subtitle A--Federal Procurement Regulations System
[Note]
Subtitle B--Other Provisions Relating to Public
Contracts
50 Public Contracts, Department of Labor (Parts 50-1--50-
999)
51 Committee for Purchase From People Who Are Blind or
Severely Disabled (Parts 51-1--51-99)
60 Office of Federal Contract Compliance Programs, Equal
Employment Opportunity, Department of Labor (Parts
60-1--60-999)
61 Office of the Assistant Secretary for Veterans'
Employment and Training Service, Department of
Labor (Parts 61-1--61-999)
62--100 [Reserved]
Subtitle C--Federal Property Management Regulations
System
101 Federal Property Management Regulations (Parts 101-1--
101-99)
102 Federal Management Regulation (Parts 102-1--102-299)
103--104 [Reserved]
105 General Services Administration (Parts 105-1--105-999)
109 Department of Energy Property Management Regulations
(Parts 109-1--109-99)
114 Department of the Interior (Parts 114-1--114-99)
115 Environmental Protection Agency (Parts 115-1--115-99)
128 Department of Justice (Parts 128-1--128-99)
129--200 [Reserved]
Subtitle D--Other Provisions Relating to Property
Management [Reserved]
Subtitle E--Federal Information Resources Management
Regulations System [Reserved]
Subtitle F--Federal Travel Regulation System
300 General (Parts 300-1--300-99)
301 Temporary Duty (TDY) Travel Allowances (Parts 301-1--
301-99)
302 Relocation Allowances (Parts 302-1--302-99)
303 Payment of Expenses Connected with the Death of
Certain Employees (Part 303-1--303-99)
304 Payment of Travel Expenses from a Non-Federal Source
(Parts 304-1--304-99)
Title 42--Public Health
I Public Health Service, Department of Health and Human
Services (Parts 1--199)
IV Centers for Medicare & Medicaid Services, Department
of Health and Human Services (Parts 400--599)
V Office of Inspector General-Health Care, Department of
Health and Human Services (Parts 1000--1999)
Title 43--Public Lands: Interior
Subtitle A--Office of the Secretary of the Interior
(Parts 1--199)
Subtitle B--Regulations Relating to Public Lands
I Bureau of Reclamation, Department of the Interior
(Parts 400--999)
II Bureau of Land Management, Department of the Interior
(Parts 1000--9999)
III Utah Reclamation Mitigation and Conservation
Commission (Parts 10000--10099)
Title 44--Emergency Management and Assistance
I Federal Emergency Management Agency, Department of
Homeland Security (Parts 0--399)
IV Department of Commerce and Department of
Transportation (Parts 400--499)
Title 45--Public Welfare
Subtitle A--Department of Health and Human Services
(Parts 1--199)
Subtitle B--Regulations Relating to Public Welfare
II Office of Family Assistance (Assistance Programs),
Administration for Children and Families,
Department of Health and Human Services (Parts
200--299)
III Office of Child Support Enforcement (Child Support
Enforcement Program), Administration for Children
and Families, Department of Health and Human
Services (Parts 300--399)
IV Office of Refugee Resettlement, Administration for
Children and Families, Department of Health and
Human Services (Parts 400--499)
V Foreign Claims Settlement Commission of the United
States, Department of Justice (Parts 500--599)
VI National Science Foundation (Parts 600--699)
VII Commission on Civil Rights (Parts 700--799)
VIII Office of Personnel Management (Parts 800--899)
X Office of Community Services, Administration for
Children and Families, Department of Health and
Human Services (Parts 1000--1099)
XI National Foundation on the Arts and the Humanities
(Parts 1100--1199)
XII Corporation for National and Community Service (Parts
1200--1299)
XIII Office of Human Development Services, Department of
Health and Human Services (Parts 1300--1399)
XVI Legal Services Corporation (Parts 1600--1699)
XVII National Commission on Libraries and Information
Science (Parts 1700--1799)
XVIII Harry S. Truman Scholarship Foundation (Parts 1800--
1899)
XXI Commission on Fine Arts (Parts 2100--2199)
XXIII Arctic Research Commission (Part 2301)
XXIV James Madison Memorial Fellowship Foundation (Parts
2400--2499)
XXV Corporation for National and Community Service (Parts
2500--2599)
Title 46--Shipping
I Coast Guard, Department of Homeland Security (Parts
1--199)
II Maritime Administration, Department of Transportation
(Parts 200--399)
III Coast Guard (Great Lakes Pilotage), Department of
Homeland Security (Parts 400--499)
IV Federal Maritime Commission (Parts 500--599)
Title 47--Telecommunication
I Federal Communications Commission (Parts 0--199)
II Office of Science and Technology Policy and National
Security Council (Parts 200--299)
III National Telecommunications and Information
Administration, Department of Commerce (Parts
300--399)
IV National Telecommunications and Information
Administration, Department of Commerce, and
National Highway Traffic Safety Administration,
Department of Transportation (Parts 400--499)
Title 48--Federal Acquisition Regulations System
1 Federal Acquisition Regulation (Parts 1--99)
2 Defense Acquisition Regulations System, Department of
Defense (Parts 200--299)
3 Health and Human Services (Parts 300--399)
4 Department of Agriculture (Parts 400--499)
5 General Services Administration (Parts 500--599)
6 Department of State (Parts 600--699)
7 Agency for International Development (Parts 700--799)
8 Department of Veterans Affairs (Parts 800--899)
9 Department of Energy (Parts 900--999)
10 Department of the Treasury (Parts 1000--1099)
12 Department of Transportation (Parts 1200--1299)
13 Department of Commerce (Parts 1300--1399)
14 Department of the Interior (Parts 1400--1499)
15 Environmental Protection Agency (Parts 1500--1599)
16 Office of Personnel Management, Federal Employees
Health Benefits Acquisition Regulation (Parts
1600--1699)
17 Office of Personnel Management (Parts 1700--1799)
18 National Aeronautics and Space Administration (Parts
1800--1899)
19 Broadcasting Board of Governors (Parts 1900--1999)
20 Nuclear Regulatory Commission (Parts 2000--2099)
21 Office of Personnel Management, Federal Employees
Group Life Insurance Federal Acquisition
Regulation (Parts 2100--2199)
23 Social Security Administration (Parts 2300--2399)
24 Department of Housing and Urban Development (Parts
2400--2499)
25 National Science Foundation (Parts 2500--2599)
28 Department of Justice (Parts 2800--2899)
29 Department of Labor (Parts 2900--2999)
30 Department of Homeland Security, Homeland Security
Acquisition Regulation (HSAR) (Parts 3000--3099)
34 Department of Education Acquisition Regulation (Parts
3400--3499)
51 Department of the Army Acquisition Regulations (Parts
5100--5199)
52 Department of the Navy Acquisition Regulations (Parts
5200--5299)
53 Department of the Air Force Federal Acquisition
Regulation Supplement (Parts 5300--5399)
[Reserved]
54 Defense Logistics Agency, Department of Defense (Parts
5400--5499)
57 African Development Foundation (Parts 5700--5799)
61 Civilian Board of Contract Appeals, General Services
Administration (Parts 6100--6199)
63 Department of Transportation Board of Contract Appeals
(Parts 6300--6399)
99 Cost Accounting Standards Board, Office of Federal
Procurement Policy, Office of Management and
Budget (Parts 9900--9999)
Title 49--Transportation
Subtitle A--Office of the Secretary of Transportation
(Parts 1--99)
Subtitle B--Other Regulations Relating to
Transportation
I Pipeline and Hazardous Materials Safety
Administration, Department of Transportation
(Parts 100--199)
II Federal Railroad Administration, Department of
Transportation (Parts 200--299)
III Federal Motor Carrier Safety Administration,
Department of Transportation (Parts 300--399)
IV Coast Guard, Department of Homeland Security (Parts
400--499)
V National Highway Traffic Safety Administration,
Department of Transportation (Parts 500--599)
VI Federal Transit Administration, Department of
Transportation (Parts 600--699)
VII National Railroad Passenger Corporation (AMTRAK)
(Parts 700--799)
VIII National Transportation Safety Board (Parts 800--999)
X Surface Transportation Board, Department of
Transportation (Parts 1000--1399)
XI Research and Innovative Technology Administration,
Department of Transportation (Parts 1400--1499)
[Reserved]
XII Transportation Security Administration, Department of
Homeland Security (Parts 1500--1699)
Title 50--Wildlife and Fisheries
I United States Fish and Wildlife Service, Department of
the Interior (Parts 1--199)
II National Marine Fisheries Service, National Oceanic
and Atmospheric Administration, Department of
Commerce (Parts 200--299)
III International Fishing and Related Activities (Parts
300--399)
IV Joint Regulations (United States Fish and Wildlife
Service, Department of the Interior and National
Marine Fisheries Service, National Oceanic and
Atmospheric Administration, Department of
Commerce); Endangered Species Committee
Regulations (Parts 400--499)
V Marine Mammal Commission (Parts 500--599)
VI Fishery Conservation and Management, National Oceanic
and Atmospheric Administration, Department of
Commerce (Parts 600--699)
Alphabetical List of Agencies Appearing in the CFR
(Revised as of April 1, 2015)
CFR Title, Subtitle or
Agency Chapter Administrative Committee of the Federal Register 1, IAdministrative Conference of the United States 1, IIIAdvisory Council on Historic Preservation 36, VIIIAdvocacy and Outreach, Office of 7, XXVAfghanistan Reconstruction, Special Inspector 22, LXXXIII
General forAfrican Development Foundation 22, XV
Federal Acquisition Regulation 48, 57Agency for International Development 2, VII; 22, II
Federal Acquisition Regulation 48, 7Agricultural Marketing Service 7, I, IX, X, XIAgricultural Research Service 7, VAgriculture Department 2, IV; 5, LXXIII
Advocacy and Outreach, Office of 7, XXV
Agricultural Marketing Service 7, I, IX, X, XI
Agricultural Research Service 7, V
Animal and Plant Health Inspection Service 7, III; 9, I
Chief Financial Officer, Office of 7, XXX
Commodity Credit Corporation 7, XIV
Economic Research Service 7, XXXVII
Energy Policy and New Uses, Office of 2, IX; 7, XXIX
Environmental Quality, Office of 7, XXXI
Farm Service Agency 7, VII, XVIII
Federal Acquisition Regulation 48, 4
Federal Crop Insurance Corporation 7, IV
Food and Nutrition Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Forest Service 36, II
Grain Inspection, Packers and Stockyards 7, VIII; 9, II
Administration
Information Resources Management, Office of 7, XXVII
Inspector General, Office of 7, XXVI
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
National Institute of Food and Agriculture 7, XXXIV
Natural Resources Conservation Service 7, VI
Operations, Office of 7, XXVIII
Procurement and Property Management, Office of 7, XXXII
Rural Business-Cooperative Service 7, XVIII, XLII, L
Rural Development Administration 7, XLII
Rural Housing Service 7, XVIII, XXXV, L
Rural Telephone Bank 7, XVI
Rural Utilities Service 7, XVII, XVIII, XLII, L
Secretary of Agriculture, Office of 7, Subtitle A
Transportation, Office of 7, XXXIII
World Agricultural Outlook Board 7, XXXVIIIAir Force Department 32, VII
Federal Acquisition Regulation Supplement 48, 53Air Transportation Stabilization Board 14, VIAlcohol and Tobacco Tax and Trade Bureau 27, IAlcohol, Tobacco, Firearms, and Explosives, 27, II
Bureau ofAMTRAK 49, VIIAmerican Battle Monuments Commission 36, IVAmerican Indians, Office of the Special Trustee 25, VII Animal and Plant Health Inspection Service 7, III; 9, IAppalachian Regional Commission 5, IXArchitectural and Transportation Barriers 36, XI
Compliance BoardArctic Research Commission 45, XXIIIArmed Forces Retirement Home 5, XIArmy Department 32, V
Engineers, Corps of 33, II; 36, III
Federal Acquisition Regulation 48, 51Bilingual Education and Minority Languages 34, V
Affairs, Office ofBlind or Severely Disabled, Committee for 41, 51
Purchase from People Who AreBroadcasting Board of Governors 22, V
Federal Acquisition Regulation 48, 19Census Bureau 15, ICenters for Medicare & Medicaid Services 42, IVCentral Intelligence Agency 32, XIXChemical Safety and Hazardous Investigation 40, VI
BoardChief Financial Officer, Office of 7, XXXChild Support Enforcement, Office of 45, IIIChildren and Families, Administration for 45, II, III, IV, XCivil Rights, Commission on 5, LXVIII; 45, VIICivil Rights, Office for 34, ICouncil of the Inspectors General on Integrity 5, XCVIII
and EfficiencyCourt Services and Offender Supervision Agency 5, LXX
for the District of ColumbiaCoast Guard 33, I; 46, I; 49, IVCoast Guard (Great Lakes Pilotage) 46, IIICommerce Department 2, XIII; 44, IV; 50, VI
Census Bureau 15, I
Economic Analysis, Bureau of 15, VIII
Economic Development Administration 13, III
Emergency Management and Assistance 44, IV
Federal Acquisition Regulation 48, 13
Foreign-Trade Zones Board 15, IV
Industry and Security, Bureau of 15, VII
International Trade Administration 15, III; 19, III
National Institute of Standards and Technology 15, II
National Marine Fisheries Service 50, II, IV
National Oceanic and Atmospheric 15, IX; 50, II, III, IV,
Administration VI
National Telecommunications and Information 15, XXIII; 47, III, IV
Administration
National Weather Service 15, IX
Patent and Trademark Office, United States 37, I
Productivity, Technology and Innovation, 37, IV
Assistant Secretary for
Secretary of Commerce, Office of 15, Subtitle A
Technology Administration 15, XI
Technology Policy, Assistant Secretary for 37, IVCommercial Space Transportation 14, IIICommodity Credit Corporation 7, XIVCommodity Futures Trading Commission 5, XLI; 17, ICommunity Planning and Development, Office of 24, V, VI
Assistant Secretary forCommunity Services, Office of 45, XComptroller of the Currency 12, IConstruction Industry Collective Bargaining 29, IX
CommissionConsumer Financial Protection Bureau 5, LXXXIV; 12, XConsumer Product Safety Commission 5, LXXI; 16, IICopyright Royalty Board 37, IIICorporation for National and Community Service 2, XXII; 45, XII, XXVCost Accounting Standards Board 48, 99Council on Environmental Quality 40, VCourt Services and Offender Supervision Agency 5, LXX; 28, VIII
for the District of ColumbiaCustoms and Border Protection 19, IDefense Contract Audit Agency 32, IDefense Department 2, XI; 5, XXVI; 32,
Subtitle A; 40, VII
Advanced Research Projects Agency 32, I
Air Force Department 32, VII
Army Department 32, V; 33, II; 36, III,
48, 51
Defense Acquisition Regulations System 48, 2
Defense Intelligence Agency 32, I
Defense Logistics Agency 32, I, XII; 48, 54
Engineers, Corps of 33, II; 36, III
National Imagery and Mapping Agency 32, I
Navy Department 32, VI; 48, 52
Secretary of Defense, Office of 2, XI; 32, IDefense Contract Audit Agency 32, IDefense Intelligence Agency 32, IDefense Logistics Agency 32, XII; 48, 54Defense Nuclear Facilities Safety Board 10, XVIIDelaware River Basin Commission 18, IIIDistrict of Columbia, Court Services and 5, LXX; 28, VIII
Offender Supervision Agency for theDrug Enforcement Administration 21, IIEast-West Foreign Trade Board 15, XIIIEconomic Analysis, Bureau of 15, VIIIEconomic Development Administration 13, IIIEconomic Research Service 7, XXXVIIEducation, Department of 2, XXXIV; 5, LIII
Bilingual Education and Minority Languages 34, V
Affairs, Office of
Civil Rights, Office for 34, I
Educational Research and Improvement, Office 34, VII
of
Elementary and Secondary Education, Office of 34, II
Federal Acquisition Regulation 48, 34
Postsecondary Education, Office of 34, VI
Secretary of Education, Office of 34, Subtitle A
Special Education and Rehabilitative Services, 34, III
Office of
Career, Technical, and Adult Education, Office 34, IV
ofEducational Research and Improvement, Office of 34, VIIElection Assistance Commission 2, LVIII; 11, IIElementary and Secondary Education, Office of 34, IIEmergency Oil and Gas Guaranteed Loan Board 13, VEmergency Steel Guarantee Loan Board 13, IVEmployee Benefits Security Administration 29, XXVEmployees' Compensation Appeals Board 20, IVEmployees Loyalty Board 5, VEmployment and Training Administration 20, VEmployment Standards Administration 20, VIEndangered Species Committee 50, IVEnergy, Department of 2, IX; 5, XXIII; 10, II,
III, X
Federal Acquisition Regulation 48, 9
Federal Energy Regulatory Commission 5, XXIV; 18, I
Property Management Regulations 41, 109Energy, Office of 7, XXIXEngineers, Corps of 33, II; 36, IIIEngraving and Printing, Bureau of 31, VIEnvironmental Protection Agency 2, XV; 5, LIV; 40, I, IV,
VII
Federal Acquisition Regulation 48, 15
Property Management Regulations 41, 115Environmental Quality, Office of 7, XXXIEqual Employment Opportunity Commission 5, LXII; 29, XIVEqual Opportunity, Office of Assistant Secretary 24, I
forExecutive Office of the President 3, I
Environmental Quality, Council on 40, V
Management and Budget, Office of 2, Subtitle A; 5, III,
LXXVII; 14, VI; 48, 99
National Drug Control Policy, Office of 2, XXXVI; 21, III
National Security Council 32, XXI; 47, 2
Presidential Documents 3
Science and Technology Policy, Office of 32, XXIV; 47, II
Trade Representative, Office of the United 15, XX
StatesExport-Import Bank of the United States 2, XXXV; 5, LII; 12, IVFamily Assistance, Office of 45, IIFarm Credit Administration 5, XXXI; 12, VIFarm Credit System Insurance Corporation 5, XXX; 12, XIVFarm Service Agency 7, VII, XVIIIFederal Acquisition Regulation 48, 1Federal Aviation Administration 14, I
Commercial Space Transportation 14, IIIFederal Claims Collection Standards 31, IXFederal Communications Commission 5, XXIX; 47, IFederal Contract Compliance Programs, Office of 41, 60Federal Crop Insurance Corporation 7, IVFederal Deposit Insurance Corporation 5, XXII; 12, IIIFederal Election Commission 5, XXXVII; 11, IFederal Emergency Management Agency 44, IFederal Employees Group Life Insurance Federal 48, 21
Acquisition RegulationFederal Employees Health Benefits Acquisition 48, 16
RegulationFederal Energy Regulatory Commission 5, XXIV; 18, IFederal Financial Institutions Examination 12, XI
CouncilFederal Financing Bank 12, VIIIFederal Highway Administration 23, I, IIFederal Home Loan Mortgage Corporation 1, IVFederal Housing Enterprise Oversight Office 12, XVIIFederal Housing Finance Agency 5, LXXX; 12, XIIFederal Housing Finance Board 12, IXFederal Labor Relations Authority 5, XIV, XLIX; 22, XIVFederal Law Enforcement Training Center 31, VIIFederal Management Regulation 41, 102Federal Maritime Commission 46, IVFederal Mediation and Conciliation Service 29, XIIFederal Mine Safety and Health Review Commission 5, LXXIV; 29, XXVIIFederal Motor Carrier Safety Administration 49, IIIFederal Prison Industries, Inc. 28, IIIFederal Procurement Policy Office 48, 99Federal Property Management Regulations 41, 101Federal Railroad Administration 49, IIFederal Register, Administrative Committee of 1, IFederal Register, Office of 1, IIFederal Reserve System 12, II
Board of Governors 5, LVIIIFederal Retirement Thrift Investment Board 5, VI, LXXVIFederal Service Impasses Panel 5, XIVFederal Trade Commission 5, XLVII; 16, IFederal Transit Administration 49, VIFederal Travel Regulation System 41, Subtitle FFinancial Crimes Enforcement Network 31, XFinancial Research Office 12, XVIFinancial Stability Oversight Council 12, XIIIFine Arts, Commission on 45, XXIFiscal Service 31, IIFish and Wildlife Service, United States 50, I, IVFood and Drug Administration 21, IFood and Nutrition Service 7, IIFood Safety and Inspection Service 9, IIIForeign Agricultural Service 7, XVForeign Assets Control, Office of 31, VForeign Claims Settlement Commission of the 45, V
United StatesForeign Service Grievance Board 22, IXForeign Service Impasse Disputes Panel 22, XIVForeign Service Labor Relations Board 22, XIVForeign-Trade Zones Board 15, IVForest Service 36, IIGeneral Services Administration 5, LVII; 41, 105
Contract Appeals, Board of 48, 61
Federal Acquisition Regulation 48, 5
Federal Management Regulation 41, 102
Federal Property Management Regulations 41, 101
Federal Travel Regulation System 41, Subtitle F
General 41, 300
Payment From a Non-Federal Source for Travel 41, 304
Expenses
Payment of Expenses Connected With the Death 41, 303
of Certain Employees
Relocation Allowances 41, 302
Temporary Duty (TDY) Travel Allowances 41, 301Geological Survey 30, IVGovernment Accountability Office 4, IGovernment Ethics, Office of 5, XVIGovernment National Mortgage Association 24, IIIGrain Inspection, Packers and Stockyards 7, VIII; 9, II
AdministrationGulf Coast Ecosystem Restoration Council 2, LIX; 40, VIIIHarry S. Truman Scholarship Foundation 45, XVIIIHealth and Human Services, Department of 2, III; 5, XLV; 45,
Subtitle A,
Centers for Medicare & Medicaid Services 42, IV
Child Support Enforcement, Office of 45, III
Children and Families, Administration for 45, II, III, IV, X
Community Services, Office of 45, X
Family Assistance, Office of 45, II
Federal Acquisition Regulation 48, 3
Food and Drug Administration 21, I
Human Development Services, Office of 45, XIII
Indian Health Service 25, V
Inspector General (Health Care), Office of 42, V
Public Health Service 42, I
Refugee Resettlement, Office of 45, IVHomeland Security, Department of 2, XXX; 6, I; 8, I
Coast Guard 33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage) 46, III
Customs and Border Protection 19, I
Federal Emergency Management Agency 44, I
Human Resources Management and Labor Relations 5, XCVII
Systems
Immigration and Customs Enforcement Bureau 19, IV
Transportation Security Administration 49, XIIHOPE for Homeowners Program, Board of Directors 24, XXIV
ofHousing and Urban Development, Department of 2, XXIV; 5, LXV; 24,
Subtitle B
Community Planning and Development, Office of 24, V, VI
Assistant Secretary for
Equal Opportunity, Office of Assistant 24, I
Secretary for
Federal Acquisition Regulation 48, 24
Federal Housing Enterprise Oversight, Office 12, XVII
of
Government National Mortgage Association 24, III
Housing--Federal Housing Commissioner, Office 24, II, VIII, X, XX
of Assistant Secretary for
Housing, Office of, and Multifamily Housing 24, IV
Assistance Restructuring, Office of
Inspector General, Office of 24, XII
Public and Indian Housing, Office of Assistant 24, IX
Secretary for
Secretary, Office of 24, Subtitle A, VIIHousing--Federal Housing Commissioner, Office of 24, II, VIII, X, XX
Assistant Secretary forHousing, Office of, and Multifamily Housing 24, IV
Assistance Restructuring, Office ofHuman Development Services, Office of 45, XIIIImmigration and Customs Enforcement Bureau 19, IVImmigration Review, Executive Office for 8, VIndependent Counsel, Office of 28, VIIIndian Affairs, Bureau of 25, I, VIndian Affairs, Office of the Assistant 25, VI
SecretaryIndian Arts and Crafts Board 25, II Indian Health Service 25, VIndustry and Security, Bureau of 15, VIIInformation Resources Management, Office of 7, XXVIIInformation Security Oversight Office, National 32, XX
Archives and Records AdministrationInspector General
Agriculture Department 7, XXVI
Health and Human Services Department 42, V
Housing and Urban Development Department 24, XII, XVInstitute of Peace, United States 22, XVIIInter-American Foundation 5, LXIII; 22, XInterior Department 2, XIV
American Indians, Office of the Special 25, VII
Trustee
Endangered Species Committee 50, IV
Federal Acquisition Regulation 48, 14
Federal Property Management Regulations System 41, 114
Fish and Wildlife Service, United States 50, I, IV
Geological Survey 30, IV
Indian Affairs, Bureau of 25, I, V
Indian Affairs, Office of the Assistant 25, VI
Secretary
Indian Arts and Crafts Board 25, II
Land Management, Bureau of 43, II
National Indian Gaming Commission 25, III
National Park Service 36, I
Natural Resource Revenue, Office of 30, XII
Ocean Energy Management, Bureau of 30, V
Reclamation, Bureau of 43, I
Safety and Enforcement Bureau, Bureau of 30, II
Secretary of the Interior, Office of 2, XIV; 43, Subtitle A
Surface Mining Reclamation and Enforcement, 30, VII
Office ofInternal Revenue Service 26, IInternational Boundary and Water Commission, 22, XI
United States and Mexico, United States
SectionInternational Development, United States Agency 22, II
for
Federal Acquisition Regulation 48, 7International Development Cooperation Agency, 22, XII
United StatesInternational Joint Commission, United States 22, IV
and CanadaInternational Organizations Employees Loyalty 5, V
BoardInternational Trade Administration 15, III; 19, IIIInternational Trade Commission, United States 19, IIInterstate Commerce Commission 5, XLInvestment Security, Office of 31, VIIIJames Madison Memorial Fellowship Foundation 45, XXIVJapan-United States Friendship Commission 22, XVIJoint Board for the Enrollment of Actuaries 20, VIIIJustice Department 2, XXVIII; 5, XXVIII; 28,
I, XI; 40, IV
Alcohol, Tobacco, Firearms, and Explosives, 27, II
Bureau of
Drug Enforcement Administration 21, II
Federal Acquisition Regulation 48, 28
Federal Claims Collection Standards 31, IX
Federal Prison Industries, Inc. 28, III
Foreign Claims Settlement Commission of the 45, V
United States
Immigration Review, Executive Office for 8, V
Offices of Independent Counsel 28, VI
Prisons, Bureau of 28, V
Property Management Regulations 41, 128Labor Department 2, XXIX; 5, XLII
Employee Benefits Security Administration 29, XXV
Employees' Compensation Appeals Board 20, IV
Employment and Training Administration 20, V
Employment Standards Administration 20, VI
Federal Acquisition Regulation 48, 29
Federal Contract Compliance Programs, Office 41, 60
of
Federal Procurement Regulations System 41, 50
Labor-Management Standards, Office of 29, II, IV
Mine Safety and Health Administration 30, I
Occupational Safety and Health Administration 29, XVII
Office of Workers' Compensation Programs 20, VII
Public Contracts 41, 50
Secretary of Labor, Office of 29, Subtitle A
Veterans' Employment and Training Service, 41, 61; 20, IX
Office of the Assistant Secretary for
Wage and Hour Division 29, V
Workers' Compensation Programs, Office of 20, ILabor-Management Standards, Office of 29, II, IVLand Management, Bureau of 43, IILegal Services Corporation 45, XVILibrary of Congress 36, VII
Copyright Royalty Board 37, III
U.S. Copyright Office 37, IILocal Television Loan Guarantee Board 7, XXManagement and Budget, Office of 5, III, LXXVII; 14, VI;
48, 99Marine Mammal Commission 50, VMaritime Administration 46, IIMerit Systems Protection Board 5, II, LXIVMicronesian Status Negotiations, Office for 32, XXVIIMilitary Compensation and Retirement 5, XCIV
Modernization CommissionMillennium Challenge Corporation 22, XIIIMine Safety and Health Administration 30, IMinority Business Development Agency 15, XIVMiscellaneous Agencies 1, IVMonetary Offices 31, IMorris K. Udall Scholarship and Excellence in 36, XVI
National Environmental Policy FoundationMuseum and Library Services, Institute of 2, XXXINational Aeronautics and Space Administration 22, XVIII; 5, LIX; 14, V
Federal Acquisition Regulation 48, 18National Agricultural Library 7, XLINational Agricultural Statistics Service 7, XXXVINational and Community Service, Corporation for 2, XXII; 45, XII, XXVNational Archives and Records Administration 2, XXVI; 5, LXVI; 36, XII
Information Security Oversight Office 32, XXNational Capital Planning Commission 1, IVNational Commission for Employment Policy 1, IVNational Commission on Libraries and Information 45, XVII
ScienceNational Council on Disability 34, XIINational Counterintelligence Center 32, XVIIINational Credit Union Administration 5, LXXXVI; 12, VIINational Crime Prevention and Privacy Compact 28, IX
CouncilNational Drug Control Policy, Office of 2, XXXVI; 21, IIINational Endowment for the Arts 2, XXXIINational Endowment for the Humanities 2, XXXIIINational Foundation on the Arts and the 45, XI
HumanitiesNational Highway Traffic Safety Administration 23, II, III; 47, VI; 49, VNational Imagery and Mapping Agency 32, INational Indian Gaming Commission 25, IIINational Institute of Food and Agriculture 7, XXXIVNational Institute of Standards and Technology 15, IINational Intelligence, Office of Director of 32, XVIINational Labor Relations Board 5, LXI; 29, INational Marine Fisheries Service 50, II, IVNational Mediation Board 29, XNational Oceanic and Atmospheric Administration 15, IX; 50, II, III, IV,
VINational Park Service 36, INational Railroad Adjustment Board 29, IIINational Railroad Passenger Corporation (AMTRAK) 49, VIINational Science Foundation 2, XXV; 5, XLIII; 45, VI
Federal Acquisition Regulation 48, 25 National Security Council 32, XXINational Security Council and Office of Science 47, II
and Technology PolicyNational Telecommunications and Information 15, XXIII; 47, III, IV
AdministrationNational Transportation Safety Board 49, VIIINatural Resources Conservation Service 7, VINatural Resource Revenue, Office of 30, XIINavajo and Hopi Indian Relocation, Office of 25, IVNavy Department 32, VI
Federal Acquisition Regulation 48, 52Neighborhood Reinvestment Corporation 24, XXVNortheast Interstate Low-Level Radioactive Waste 10, XVIII
CommissionNuclear Regulatory Commission 2, XX; 5, XLVIII; 10, I
Federal Acquisition Regulation 48, 20Occupational Safety and Health Administration 29, XVIIOccupational Safety and Health Review Commission 29, XXOcean Energy Management, Bureau of 30, VOffices of Independent Counsel 28, VIOffice of Workers' Compensation Programs 20, VIIOklahoma City National Memorial Trust 36, XVOperations Office 7, XXVIIIOverseas Private Investment Corporation 5, XXXIII; 22, VIIPatent and Trademark Office, United States 37, IPayment From a Non-Federal Source for Travel 41, 304
ExpensesPayment of Expenses Connected With the Death of 41, 303
Certain EmployeesPeace Corps 2, XXXVII; 22, IIIPennsylvania Avenue Development Corporation 36, IXPension Benefit Guaranty Corporation 29, XLPersonnel Management, Office of 5, I, XXXV; 45, VIII
Human Resources Management and Labor Relations 5, XCVII
Systems, Department of Homeland Security
Federal Acquisition Regulation 48, 17
Federal Employees Group Life Insurance Federal 48, 21
Acquisition Regulation
Federal Employees Health Benefits Acquisition 48, 16
RegulationPipeline and Hazardous Materials Safety 49, I
AdministrationPostal Regulatory Commission 5, XLVI; 39, IIIPostal Service, United States 5, LX; 39, IPostsecondary Education, Office of 34, VIPresident's Commission on White House 1, IV
FellowshipsPresidential Documents 3Presidio Trust 36, XPrisons, Bureau of 28, VPrivacy and Civil Liberties Oversight Board 6, XProcurement and Property Management, Office of 7, XXXIIProductivity, Technology and Innovation, 37, IV
Assistant SecretaryPublic Contracts, Department of Labor 41, 50Public and Indian Housing, Office of Assistant 24, IX
Secretary forPublic Health Service 42, IRailroad Retirement Board 20, IIReclamation, Bureau of 43, IRecovery Accountability and Transparency Board 4, IIRefugee Resettlement, Office of 45, IVRelocation Allowances 41, 302Research and Innovative Technology 49, XI
AdministrationRural Business-Cooperative Service 7, XVIII, XLII, LRural Development Administration 7, XLIIRural Housing Service 7, XVIII, XXXV, LRural Telephone Bank 7, XVIRural Utilities Service 7, XVII, XVIII, XLII, LSafety and Environmental Enforcement, Bureau of 30, IISaint Lawrence Seaway Development Corporation 33, IVScience and Technology Policy, Office of 32, XXIV Science and Technology Policy, Office of, and 47, II
National Security CouncilSecret Service 31, IVSecurities and Exchange Commission 5, XXXIV; 17, IISelective Service System 32, XVISmall Business Administration 2, XXVII; 13, ISmithsonian Institution 36, VSocial Security Administration 2, XXIII; 20, III; 48, 23Soldiers' and Airmen's Home, United States 5, XISpecial Counsel, Office of 5, VIIISpecial Education and Rehabilitative Services, 34, III
Office ofState Department 2, VI; 22, I; 28, XI
Federal Acquisition Regulation 48, 6Surface Mining Reclamation and Enforcement, 30, VII
Office ofSurface Transportation Board 49, XSusquehanna River Basin Commission 18, VIIITechnology Administration 15, XITechnology Policy, Assistant Secretary for 37, IVTennessee Valley Authority 5, LXIX; 18, XIIIThrift Supervision Office, Department of the 12, V
TreasuryTrade Representative, United States, Office of 15, XXTransportation, Department of 2, XII; 5, L
Commercial Space Transportation 14, III
Contract Appeals, Board of 48, 63
Emergency Management and Assistance 44, IV
Federal Acquisition Regulation 48, 12
Federal Aviation Administration 14, I
Federal Highway Administration 23, I, II
Federal Motor Carrier Safety Administration 49, III
Federal Railroad Administration 49, II
Federal Transit Administration 49, VI
Maritime Administration 46, II
National Highway Traffic Safety Administration 23, II, III; 47, IV; 49, V
Pipeline and Hazardous Materials Safety 49, I
Administration
Saint Lawrence Seaway Development Corporation 33, IV
Secretary of Transportation, Office of 14, II; 49, Subtitle A
Surface Transportation Board 49, X
Transportation Statistics Bureau 49, XITransportation, Office of 7, XXXIIITransportation Security Administration 49, XIITransportation Statistics Bureau 49, XITravel Allowances, Temporary Duty (TDY) 41, 301Treasury Department 2, X;5, XXI; 12, XV; 17,
IV; 31, IX
Alcohol and Tobacco Tax and Trade Bureau 27, I
Community Development Financial Institutions 12, XVIII
Fund
Comptroller of the Currency 12, I
Customs and Border Protection 19, I
Engraving and Printing, Bureau of 31, VI
Federal Acquisition Regulation 48, 10
Federal Claims Collection Standards 31, IX
Federal Law Enforcement Training Center 31, VII
Financial Crimes Enforcement Network 31, X
Fiscal Service 31, II
Foreign Assets Control, Office of 31, V
Internal Revenue Service 26, I
Investment Security, Office of 31, VIII
Monetary Offices 31, I
Secret Service 31, IV
Secretary of the Treasury, Office of 31, Subtitle A
Thrift Supervision, Office of 12, VTruman, Harry S. Scholarship Foundation 45, XVIIIUnited States and Canada, International Joint 22, IV
CommissionUnited States and Mexico, International Boundary 22, XI
and Water Commission, United States SectionU.S. Copyright Office 37, IIUtah Reclamation Mitigation and Conservation 43, III
Commission Veterans Affairs Department 2, VIII; 38, I
Federal Acquisition Regulation 48, 8Veterans' Employment and Training Service, 41, 61; 20, IX
Office of the Assistant Secretary forVice President of the United States, Office of 32, XXVIIICareer, Technical and Adult Education, Office of 34, IVWage and Hour Division 29, VWater Resources Council 18, VIWorkers' Compensation Programs, Office of 20, IWorld Agricultural Outlook Board 7, XXXVIII List of CFR Sections Affected All changes in this volume of the Code of Federal Regulations (CFR) that were made by documents published in the Federal Register since January 1, 2010 are enumerated in the following list. Entries indicate the nature of the changes effected. Page numbers refer to Federal Register pages. The user should consult the entries for chapters, parts and subparts as well as sections for revisions.For changes to this volume of the CFR prior to this listing, consult the annual edition of the monthly List of CFR Sections Affected (LSA). The LSA is available at www.fdsys.gov. For changes to this volume of the CFR prior to 2001, see the ``List of CFR Sections Affected, 1949-1963, 1964-1972, 1973-1985, and 1986-2000'' published in 11 separate volumes. The ``List of CFR Sections Affected 1986-2000'' is available at www.fdsys.gov.
2010 17 CFR
75 FR
PageChapter I44 Added; interim..................................................6308444.00 (c), (d) and (e) redesignated as (d), (e) and (f); (c)
(1)(viii) and (h) revised.................................55449147.3 (b)(4)(i)(H) and (8) revised.................................55450160.1 (b) revised..................................................55450160.3 (a) introductory text, (2), (n)(1)(i), (2)(i), (o)(1)(i) and
(i)(H) and (8) revised.................................55450160.1 (b) revised..................................................55450160.3 (a) introductory text, (2), (n)(1)(i), (2)(i), (o)(1)(i) and
(i)(H) and (8) revised.................................55450160.1 (b) revised..................................................55450160.3 (a) introductory text, (2), (n)(1)(i), (2)(i), (o)(1)(i) and
(1)(i), (2)(i), (o)(1)(i) and
(i), (2)(i), (o)(1)(i) and
(u)(2)(i)(A) revised; (k)(2)(i)(B) through (F), (w)(2),
(2)(i)(A) revised; (k)(2)(i)(B) through (F), (w)(2),
(i)(A) revised; (k)(2)(i)(B) through (F), (w)(2),
(A) revised; (k)(2)(i)(B) through (F), (w)(2),
(3) and (4) redesignated as (k)(2)(i)(C) through (G),
(w)(3), (4) and (5); new (k)(2)(i)(B), new (w)(2) and (x)
(3), (4) and (5); new (k)(2)(i)(B), new (w)(2) and (x)
added......................................................55450160.4 (c)(2)(ii) and (e)(1)(iv) revised............................55451160.30 Introductory text revised...................................55451166.2 Revised......................................................55451166.5 (a)(1)(i), (ii) and (iii) redesignated as (a)(1)(i)(A), (B)
and (C); new (a)(1)(ii) added; (a)(1)(iv) removed; (a)(2),
(3), (c)(5)(1)(A) and (C) revised..........................55451190.01 (a) revised; (oo) added.....................................17302190.04 (d)(3) added................................................44893190.07 (b)(2)(viii) revised........................................17303190 Appendix A amended.............................................17303
2011 17 CFR
76 FR
PageChapter I48 Added...........................................................8069849 Added...........................................................54575140.94 (a)(5) revised; (a)(6) added................................44474
(a)(6) redesignated as (a)(7); heading, (a)(5) and new (7) revised; new (a)(6) and (8) through (14) added.....................69472150.2 Revised......................................................71684151 Added..........................................................71685151.4 Interim in part..............................................71626160 Heading and authority citation revised.........................43878160.1 (b) revised..................................................43878160.3 (a) through (v), (w) and (x) redesignated as (t) through
(6) redesignated as (a)(7); heading, (a)(5) and new (7) revised; new (a)(6) and (8) through (14) added.....................69472150.2 Revised......................................................71684151 Added..........................................................71685151.4 Interim in part..............................................71626160 Heading and authority citation revised.........................43878160.1 (b) revised..................................................43878160.3 (a) through (v), (w) and (x) redesignated as (t) through
(w), (y) and (z); new (s), (x), (y)(6) and (7) added; (a),
(n)(1)(i), (ii), (o)(1)(i) and new (y)(4) and (5) revised
(1)(i), (ii), (o)(1)(i) and new (y)(4) and (5) revised
(i), (ii), (o)(1)(i) and new (y)(4) and (5) revised
43878160.15 (a)(4) revised..............................................43879160.17 (b) revised.................................................43879160.30 Revised.....................................................43879162 Added..........................................................43884165 Added..........................................................53200180 Added..........................................................41410
2012 17 CFR
77 FR
(1) introductory text, (2)
introductory text, (c) and (d)(5) introductory text
revised....................................................6634441.12 (a) introductory text revised................................6634441.13 Revised......................................................6634441.21 (a)(1), (3), (b)(1), (2) and (4) revised.....................6634441.22 Introductory text and (e) revised............................6634441.23 (a) introductory text, (5) and (b) revised...................6634441.24 (b) removed; (c) redesignated as new (b); new (b) revised....6634441.25 (a)(1), (2) introductory text, (3) introductory text,
(i)(A), (B), (iv) and (d) revised..........................6634541.27 (a)(1), (3) introductory text, (4)(v), (5), (b), (d)
(A), (B), (iv) and (d) revised..........................6634541.27 (a)(1), (3) introductory text, (4)(v), (5), (b), (d)
(1), (4) and (f) revised; (c)(2) and
(e)(2) removed.............................................6634541.43 (a)(4)(i)(B) and (30) revised................................6634641.49 (b) introductory text revised................................6634642 Technical correction............................................4806043 Added............................................................1243
(2) removed.............................................6634541.43 (a)(4)(i)(B) and (30) revised................................6634641.49 (b) introductory text revised................................6634642 Technical correction............................................4806043 Added............................................................1243
Technical correction............................................290945 Added............................................................219746 Added...........................................................3522650 Added...........................................................44455
(a), (b), (d) and (f) revised......................66346140.77 Heading and (a) revised.....................................66347140.96 (a) and (b) revised.........................................66347140.99 (d)(2) revised..............................................66347140.735-2 (b)(1)(i), (ii) and (iii) redesignated as (b)(1)(ii),
(iv) and (v); new (b)(1)(i) and (iii) added); (b)(2) and
(c) revised................................................66347140.735-2a (b)(1) revised..........................................66348140.735-3 Revised..................................................66348143.8 (a) revised..................................................65102145.5 (d)(1)(viii) and (h) revised; eff. 4-24-12...................11342145.9 (c)(1), (d)(1) introductory text and (vi) revised............66348145 Appendix A amended.............................................66348147.3 (b)(4)(i)(H) and (b)(8) revised; eff. 4-24-12................11342155.2 Introductory text revised....................................66348155.3 (a)(1), (b)(2)(ii) and (c)(1) revised........................66349155.4 (a)(1), (b)(2)(ii) and (c)(2) revised........................66349155.6 Removed......................................................66349160 Appendices A and B correctly reinstated........................76356166.2 (a) introductory text and (b) revised........................66349166.5 (a)(2) revised...............................................66349170.16 Added........................................................2629190.01 (w), (y) and (kk)(6) amended; (e) through (oo) redesignated
as (f) through (pp); new (e) added; (a) and new (f), (cc,
(hh), (ll)(2)(ii), (4), (5) and (pp) revised; eff. 4-9-12
6378190.02 (d)(1), (3), (6) and (7) amended; eff. 4-9-12................6378
(a), (b)(1), (2), (d)(11), (e), (f)(1)(i), (ii) and (g)(2)(i) revised; eff. 4-9-12................................................6379190.03 (a)(2) amended; eff. 4-9-12..................................6378
(a)(3), (b)(3), (4), (5) and (c) revised; eff. 4-9-12...........6380190.04 (d)(1) revised; eff. 4-9-12..................................6380190.05 (a)(1) and (b)(1) amended; eff. 4-9-12.......................6378
(3), (b)(3), (4), (5) and (c) revised; eff. 4-9-12...........6380190.04 (d)(1) revised; eff. 4-9-12..................................6380190.05 (a)(1) and (b)(1) amended; eff. 4-9-12.......................6378
(b) introductory text revised; eff. 4-9-12......................6381190.06 (g)(g)(1)(i), (ii), (3) amended; eff. 4-9-12.................6378
(a), (e)(1)(iii), (2), (f)(3)(i) and (g)(2) revised; (e)(1)(iv) removed; (e)(1)(v) redesignated as new (e)(1)(iv); (g)(1)(iii) added; eff. 4-9-12......................................6381190.07 (e)(1) and (2)(ii)(B) amended; eff. 4-9-12...................6378
(b)(2)(viii), (ix), (3)(v), (c)(1)(i), (e) introductory text, (1) and (4) revised; (b)(2)(xiii) redesignated as (b)(2)(xiv); new (b)(2)(xiii) added; eff. 4-9-12.....................................6381190.09 (b) revised; eff. 4-9-12.....................................6382190.10 (d)(1) and (h) amended; eff. 4-9-12..........................6378
(2)(viii), (ix), (3)(v), (c)(1)(i), (e) introductory text, (1) and (4) revised; (b)(2)(xiii) redesignated as (b)(2)(xiv); new (b)(2)(xiii) added; eff. 4-9-12.....................................6381190.09 (b) revised; eff. 4-9-12.....................................6382190.10 (d)(1) and (h) amended; eff. 4-9-12..........................6378
(viii), (ix), (3)(v), (c)(1)(i), (e) introductory text, (1) and (4) revised; (b)(2)(xiii) redesignated as (b)(2)(xiv); new (b)(2)(xiii) added; eff. 4-9-12.....................................6381190.09 (b) revised; eff. 4-9-12.....................................6382190.10 (d)(1) and (h) amended; eff. 4-9-12..........................6378
(a) revised; eff. 4-9-12........................................6382 190 Appendix A revised; eff. 4-9-12.................................6382
Appendix B revised; eff. 4-9-12.................................6386
2013 17 CFR
78 FR
PageChapter I41.3 (d) amended...................................................2241943 Authority citation revised......................................3293743.2 Amended.......................................................3293743.4 (d)(4)(i), (ii)(B) and (h) revised; (d)(4)(iii) added.........3293743.6 Added.........................................................3293843.7 Added.........................................................3294043 Appendix B amended..............................................32940
Appendixes D and E added.......................................32941
Appendix F added...............................................32942
Appendix F corrected...........................................4243650 Heading revised.................................................2178350.51 Added........................................................5230750.52 Added........................................................21783140 Authority citation revised.......................21523, 22421, 68655140.72 (a) amended.................................................22419
(a), (b), (d) and (f) amended.........................21523140.75 Amended.....................................................22420140.76 (a) and (b) amended.........................................22420140.91 Section, (a) and (b) amended................................22420
(a), (b), (d) and (f) amended.........................21523140.75 Amended.....................................................22420140.76 (a) and (b) amended.........................................22420140.91 Section, (a) and (b) amended................................22420
(a)(8) redesignated as (a)(12); (a)(7) redesignated as new (a)(8); heading and (b) revised; (a)(7), (9), (10) and (11) added
(8) redesignated as (a)(12); (a)(7) redesignated as new (a)(8); heading and (b) revised; (a)(7), (9), (10) and (11) added
(a), (b) and (c) amended....................................22420140.93 Heading, (a), (b) and (c) amended...........................22420140.94 Revised.....................................................22421
(c)(12) and (13) added.........................................72524140.95 (a), (b) and (c) amended....................................22420140.96 (b), (c) and (d) amended....................................22420140.99 (a)(5) amended..............................................22420
(12) and (13) added.........................................72524140.95 (a), (b) and (c) amended....................................22420140.96 (b), (c) and (d) amended....................................22420140.99 (a)(5) amended..............................................22420
(d)(2) revised.................................................22421145 Appendix A amended.............................................22420162.30--162.32 (Subpart C) added...................................23660162 Appendix B added...............................................23661170.12 Heading and section amended.................................22420170.72 Heading, (a), (b), (d) and (f) amended......................21523171.1 (c) revised...................................................1145171.8 (a) revised..................................................12937171.28 Amended.....................................................22420171.31 (a) amended.................................................22420171.50 (a) introductory text, (c) and (d) revised...................1145190.01 (l) revised.................................................66637190.08 (a)(1)(i)(F) redesignated as (a)(1)(i)(G); new (a)(1)(i)(F)
(2) revised.................................................22421145 Appendix A amended.............................................22420162.30--162.32 (Subpart C) added...................................23660162 Appendix B added...............................................23661170.12 Heading and section amended.................................22420170.72 Heading, (a), (b), (d) and (f) amended......................21523171.1 (c) revised...................................................1145171.8 (a) revised..................................................12937171.28 Amended.....................................................22420171.31 (a) amended.................................................22420171.50 (a) introductory text, (c) and (d) revised...................1145190.01 (l) revised.................................................66637190.08 (a)(1)(i)(F) redesignated as (a)(1)(i)(G); new (a)(1)(i)(F)
(1), (2) and (3) amended...............22420
2014 17 CFR
79 FR
PageChapter I42.2 Revised........................................................237149.17 (f)(2) revised; interim......................................1667575 Added............................................................604875.16 Added; interim................................................5228140.91 (a)(12) correctly revised...................................44126
2015
(Regulations published from January 1, 2015, through April 1, 2015) 17 CFR
80 FR
PageChapter I43 Policy statement................................................1255545 Policy statement................................................1255546 Policy statement................................................12555170 Policy statement...............................................12555
[all] [Title 17 CFR ][Code of Federal Regulations (annual edition) - April 1, 2015 Edition][From the U.S. Government Publishing Office]
Title 17 Commodity and Securities Exchanges ________________________ Parts 200 to 239
Revised as of April 1, 2015
Containing a codification of documents of general
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Table of Contents
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Explanation................................................. v
Title 17:
Chapter II--Securities and Exchange Commission 3
Finding Aids:
Table of CFR Titles and Chapters........................ 819
Alphabetical List of Agencies Appearing in the CFR...... 839
List of CFR Sections Affected........................... 849
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To determine whether a Code volume has been amended since its revision date (in this case, April 1, 2015), consult the ``List of CFR Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative List of Parts Affected,'' which appears in the Reader Aids section of the daily Federal Register. These two lists will identify the Federal Register page number of the latest amendment of any given rule. EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal Register since the last revision of that volume of the Code. Source citations for the regulations are referred to by volume number and page number of the Federal Register and date of publication. Publication dates and effective dates are usually not the same and care must be exercised by the user in determining the actual effective date. In instances where the effective date is beyond the cut-off date for the Code a note has been inserted to reflect the future effective date. In those instances where a regulation published in the Federal Register states a date certain for expiration, an appropriate note will be inserted following the text. OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires Federal agencies to display an OMB control number with their information collection request. Many agencies have begun publishing numerous OMB control numbers as amendments to existing regulations in the CFR. These OMB numbers are placed as close as possible to the applicable recordkeeping or reporting requirements. PAST PROVISIONS OF THE CODE
Provisions of the Code that are no longer in force and effect as of the revision date stated on the cover of each volume are not carried. Code users may find the text of provisions in effect on any given date in the past by using the appropriate List of CFR Sections Affected (LSA). For the convenience of the reader, a ``List of CFR Sections Affected'' is published at the end of each CFR volume. For changes to the Code prior to the LSA listings at the end of the volume, consult previous annual editions of the LSA. For changes to the Code prior to 2001, consult the List of CFR Sections Affected compilations, published for 1949-1963, 1964-1972, 1973-1985, and 1986-2000. ``[RESERVED]'' TERMINOLOGY
The term ``[Reserved]'' is used as a place holder within the Code of Federal Regulations. An agency may add regulatory information at a ``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used editorially to indicate that a portion of the CFR was left vacant and not accidentally dropped due to a printing or computer error. INCORPORATION BY REFERENCE
What is incorporation by reference? Incorporation by reference was established by statute and allows Federal agencies to meet the requirement to publish regulations in the Federal Register by referring to materials already published elsewhere. For an incorporation to be valid, the Director of the Federal Register must approve it. The legal effect of incorporation by reference is that the material is treated as if it were published in full in the Federal Register (5 U.S.C. 552(a)). This material, like any other properly issued regulation, has the force of law.
What is a proper incorporation by reference? The Director of the Federal Register will approve an incorporation by reference only when the requirements of 1 CFR part 51 are met. Some of the elements on which approval is based are:
(a) The incorporation will substantially reduce the volume of material published in the Federal Register.
(b) The matter incorporated is in fact available to the extent necessary to afford fairness and uniformity in the administrative process.
(c) The incorporating document is drafted and submitted for publication in accordance with 1 CFR part 51.
What if the material incorporated by reference cannot be found? If you have any problem locating or obtaining a copy of material listed as an approved incorporation by reference, please contact the agency that issued the regulation containing that incorporation. If, after contacting the agency, you find the material is not available, please notify the Director of the Federal Register, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001, or call 202-741-6010. CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a separate volume, revised annually as of January 1, entitled CFR Index and Finding Aids. This volume contains the Parallel Table of Authorities and Rules. A list of CFR titles, chapters, subchapters, and parts and an alphabetical list of agencies publishing in the CFR are also included in this volume.
An index to the text of ``Title 3--The President'' is carried within that volume.
The Federal Register Index is issued monthly in cumulative form. This index is based on a consolidation of the ``Contents'' entries in the daily Federal Register.
A List of CFR Sections Affected (LSA) is published monthly, keyed to the revision dates of the 50 CFR titles. REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing in the Code of Federal Regulations. INQUIRIES
For a legal interpretation or explanation of any regulation in this volume, contact the issuing agency. The issuing agency's name appears at the top of odd-numbered pages.
For inquiries concerning CFR reference assistance, call 202-741-6000 or write to the Director, Office of the Federal Register, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001 or e-mail fedreg.info@nara.gov. SALES
The Government Publishing Office (GPO) processes all sales and distribution of the CFR. For payment by credit card, call toll-free, 866-512-1800, or DC area, 202-512-1800, M-F 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2104, 24 hours a day. For payment by check, write to: US Government Publishing Office - New Orders, P.O. Box 979050, St. Louis, MO 63197-9000. ELECTRONIC SERVICES
The full text of the Code of Federal Regulations, the LSA (List of CFR Sections Affected), The United States Government Manual, the Federal Register, Public Laws, Public Papers of the Presidents of the United States, Compilation of Presidential Documents and the Privacy Act Compilation are available in electronic format via www.ofr.gov. For more information, contact the GPO Customer Contact Center, U.S. Government Publishing Office. Phone 202-512-1800, or 866-512-1800 (toll-free). E-mail, ContactCenter@gpo.gov.
The Office of the Federal Register also offers a free service on the National Archives and Records Administration's (NARA) World Wide Web site for public law numbers, Federal Register finding aids, and related information. Connect to NARA's web site at www.archives.gov/federal-register.
The e-CFR is a regularly updated, unofficial editorial compilation of CFR material and Federal Register amendments, produced by the Office of the Federal Register and the Government Publishing Office. It is available at www.ecfr.gov.
Amy P. Bunk,
Acting Director,
Office of the Federal Register.
April 1, 2015.
THIS TITLE
Title 17--Commodity and Securities Exchanges is composed of four volumes. The first two volumes containing parts 1--40 and 41--199, comprise Chapter I--Commodity Futures Trading Commission. The third volume contains Chapter II--Securities and Exchange Commission, parts 200--239. The fourth volume, comprising part 240 to end, contains the remaining regulations of the Securities and Exchange Commission, and Chapter IV--Department of the Treasury. The contents of these volumes represent all current regulations issued by the Commodity Futures Trading Commission, the Securities and Exchange Commission, and the Department of the Treasury as of April 1, 2015.
The OMB control numbers for the Securities and Exchange Commission appear in Sec. 200.800 of chapter II. For the convenience of the user, Sec. 200.800 is reprinted in the Finding Aids section of the volume containing part 240 to end.
For this volume, Cheryl E. Sirofchuck was Chief Editor. The Code of Federal Regulations publication program is under the direction of the John Hyrum Martinez, assisted by Stephen J. Frattini.
TITLE 17--COMMODITY AND SECURITIES EXCHANGES
(This book contains parts 200 to 239)
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Part chapter ii--Securities and Exchange Commission.............. 200