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17 CFR 155.4 · Trading standards for introducing brokers.
17 CFR 155.5-155.6 · §§ 155.5-155.6 [Reserved]
17 CFR 155.10 · Exemptions.
17 CFR 156.1 · Definition.
17 CFR 156.2 · Registration of broker association.
17 CFR 156.3 · Contract market program for enforcement.
17 CFR 156.4 · Disclosure of Broker Association Membership.
17 CFR 160.1 · Purpose and scope.
17 CFR 160.2 · Model privacy form and examples.
17 CFR 160.3 · Definitions.
17 CFR 160.4 · Initial privacy notice to consumers required.
17 CFR 160.5 · Annual privacy notice to customers required.
17 CFR 160.6 · Information to be included in privacy notices.
17 CFR 160.7 · Form of opt out notice to consumers; opt out methods.
17 CFR 160.8 · Revised privacy notices.
17 CFR 160.9 · Delivering privacy and opt out notices.
17 CFR 160.10 · Limits on disclosure of nonpublic personal information to nonaffiliated third parties.
17 CFR 160.11 · Limits on redisclosure and reuse of information.
17 CFR 160.12 · Limits on sharing account number information for marketing purposes.
17 CFR 160.13 · Exception to opt out requirements for service providers and joint marketing.
17 CFR 160.14 · Exceptions to notice and opt out requirements for processing and servicing transactions.
17 CFR 160.15 · Other exceptions to notice and opt out requirements.
17 CFR 160.16 · Protection of Fair Credit Reporting Act.
17 CFR 160.17 · Relation to state laws.
17 CFR 160.18 · Effective date; compliance date; transition rule.
17 CFR 160.19-160.29 · §§ 160.19-160.29 [Reserved]
17 CFR 160.30 · Procedures to safeguard customer records and information.
17 CFR Appendix A to Part 160 · Appendix A to Part 160—Model Privacy Form
17 CFR Appendix B to Part 160 · Appendix B to Part 160—Sample Clauses
17 CFR 162.1 · Purpose and scope.
17 CFR 162.2 · Definitions.
17 CFR 162.3 · Affiliate marketing opt out and exceptions.
17 CFR 162.4 · Scope and duration of opt out.
17 CFR 162.5 · Contents of opt-out notice; consolidated and equivalent notices.
17 CFR 162.6 · Reasonable opportunity to opt out.
17 CFR 162.7 · Reasonable and simple methods of opting out.
17 CFR 162.8 · Acceptable delivery methods of opt-out notices.
17 CFR 162.9 · Renewal of opt out.
17 CFR 162.10-162.20 · §§ 162.10-162.20 [Reserved]
17 CFR 162.21 · Proper disposal of consumer information.
17 CFR 162.30 · Duties regarding the detection, prevention, and mitigation of identity theft.
17 CFR 162.31 · [Reserved]
17 CFR 162.32 · Duties of card issuers regarding changes of address.
17 CFR Appendix A to Part 162 · Appendix A to Part 162—Sample Clauses
17 CFR Appendix B to Part 162 · Appendix B to Part 162—Interagency Guidelines on Identity Theft Detection, Prevention, and Mitigation
17 CFR 165.1 · General.
17 CFR 165.2 · Definitions.
17 CFR 165.3 · Procedures for submitting original information.
17 CFR 165.4 · Confidentiality.
17 CFR 165.5 · Requirements for consideration of an award.
17 CFR 165.6 · Whistleblowers ineligible for an award.
17 CFR 165.7 · Procedures for award applications in Commission actions and related actions, and Commission award determinations.
17 CFR 165.8 · Amount of award.
17 CFR 165.9 · Criteria for determining amount of award.
17 CFR 165.10 · Contents of record for award determination.
17 CFR 165.11 · Awards based upon related actions.
17 CFR 165.12 · Payment of awards from the Fund, financing of customer education initiatives, and deposits and credits to the Fund.
17 CFR 165.13 · Appeals.
17 CFR 165.14 · Procedures applicable to the payment of awards.
17 CFR 165.15 · Administering the whistleblower program.
17 CFR 165.16 · No immunity.
17 CFR 165.17 · Awards to whistleblowers who engage in culpable conduct.
17 CFR 165.18 · Staff communications with whistleblowers from represented entities.
17 CFR 165.19 · Nonenforceability of certain provisions waiving rights and remedies or requiring arbitration of disputes.
17 CFR 165.20 · Whistleblower anti-retaliation protections.
17 CFR Appendix A to Part 165 · Appendix A to Part 165—Guidance With Respect to the Protection of Whistleblowers Against Retaliation
17 CFR Appendix B to Part 165 · Appendix B to Part 165—Form TCR and Form WP-APP
17 CFR 166.1 · Definitions.
17 CFR 166.2 · Authorization to trade.
17 CFR 166.3 · Supervision.
17 CFR 166.4 · Branch offices.
17 CFR 166.5 · Dispute settlement procedures.
17 CFR 170.1 · Demonstration of purposes (section 17(b)(1) of the Act).
17 CFR 170.2 · Membership restrictions (section 17(b)(2) of the Act).
17 CFR 170.3 · Fair and equitable representation of members (section 17(b)(5) of the Act).
17 CFR 170.4 · Allocation of dues (section 17(b)(6) of the Act).
17 CFR 170.5 · Prevention of fraudulent and manipulative practices (section 17(b)(7) of the Act).
17 CFR 170.6 · Disciplinary proceedings (sections 17(b)(8) and (b)(9) of the Act).
17 CFR 170.7 · Membership denial (section 17(b)(9) of the Act).
17 CFR 170.8 · Settlement of customer disputes (section 17(b)(10) of the Act).
17 CFR 170.9 · General standard.
17 CFR 170.10 · Proficiency examinations (sections 4p and 17(p) of the Act).
17 CFR 170.11 · Form of registration statement; review of registration statement.
17 CFR 170.12 · Delegation of Authority to Director of the Market Participants Division.
17 CFR 170.15 · Futures commission merchants.
17 CFR 170.16 · Swap dealers and major swap participants.
17 CFR 170.17 · Introducing brokers, commodity pool operators, and commodity trading advisors.
17 CFR 171.1 · Scope of rules.
17 CFR 171.2 · Definitions.
17 CFR 171.3 · Business address; hours.
17 CFR 171.4 · Computation of time.
17 CFR 171.5 · Extension of time.
17 CFR 171.6 · Ex parte communications.
17 CFR 171.7 · [Reserved]
17 CFR 171.8 · Filing with the Proceedings Clerk.
17 CFR 171.9 · Service.
17 CFR 171.10 · Motions.
17 CFR 171.11 · Sanctions.
17 CFR 171.12 · Settlement.
17 CFR 171.13 · Practice before the Commission.