GroundRules
17 CFR 140.735-3: -3 Non-governmental employment and other outside activity.
Where this section sits in the code
- Title 17—Commodity and Securities Exchanges
- CHAPTER I—COMMODITY FUTURES TRADING COMMISSION
- PART 140—ORGANIZATION, FUNCTIONS, AND PROCEDURES OF THE COMMISSION
- Subpart C—Regulation Concerning Conduct of Members and Employees and Former Members and Employees of the Commission
A Commission member or employee shall not accept employment or compensation from any person, exchange, swap execution facility, swap data repository or derivatives clearing organization subject to regulation by the Commission. For purposes of this section, a person subject to regulation by the Commission includes but is not limited to a contract market, swap execution facility, swap data repository or derivatives clearing organization or member thereof, a registered futures commission merchant, any person associated with a futures commission merchant or with any agent of a futures commission merchant, floor broker, commodity trading advisor, commodity pool operator or any person required to be registered in a fashion similar to any of the above or file reports under the Act or pursuant to any rule or regulation promulgated by the Commission. 11
Collected 2026-08-27T02:24:31Z. Source file · JSON