1

6351-01-P

COMMODITY FUTURES TRADING COMMISSION

17 CFR Parts 1, 3, 5, 9, 10, 11, 12, 13, 14, 15, 16, 17, 18, 19, 29, 23, 30, 31, 37, 40, 41, 

43, 45, 46, 49, 140, 142, 144, 145, 146, 147, 148, 149, 150, 155, 160, 162, 165, 170, 171, 

and 190

RIN 3038-AF09

Revision of Certain Provisions to Incorporate Changes in the Commission’s 

Administrative Structure, Remove Superfluous Verbiage, and Correct Inaccurate 

Text 

AGENCY: Commodity Futures Trading Commission.

ACTION: Final rule.

SUMMARY: The agency’s Divisions and Offices have been reorganized at the 

Chairman’s direction, and with prior notification to relevant congressional 

committees. To ensure the CFR reflects these changes, the Commodity Futures Trading 

Commission (Commission or CFTC) is voting to make technical changes to various 

provisions within its regulations in order to align with its change in administrative 

structure, remove superfluous verbiage, and correct inaccurate text. In addition to the 

administrative changes required due to the realignment, the Commission is adopting 

technical changes to ensure consistency in reference to Commission addresses, delete 

references to positions that have changed and update the positions to align with the 

current Commission structure, correct typographical errors, and other technical changes.

DATES: These amendments shall become effective on [INSERT DATE OF 

PUBLICATION IN THE FEDERAL REGISTER] except for the amendments in §§ 
2

45.15(a), 45.15(a)(4), 45.14(b), 45.15(b)(4), 49.3(e)(2), 40.17(i)(1), 49.17(i)(2), 

49.18(e)(1), 49.18(e)(2), and 49.31 which are effective on January 25, 2021.

FOR FURTHER INFORMATION CONTACT: John Einstman, Deputy General 

Counsel (General Law), Telephone: (202) 418-5337, E-mail: jeinstman@cftc.gov; or 

Joan Fina, Assistant General Counsel, Telephone: (202) 418-7621, E-mail: 

jfina@cftc.gov, Legal Division, Commodity Futures Trading Commission, Three 

Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581.

SUPPLEMENTARY INFORMATION:

I. Background

An agency reorganization in November 2020 realigned key functions within the 

agency, including: 1) creating a new Division of Data (DOD) from the data-centric 

components in the Division of Market Oversight (DMO) and the Office of Data and 

Technology (ODT); 2) reassigning the Executive Secretariat Branch from the Office of 

the Executive Director (OED) to the Office of General Counsel (OGC) and renamed

OGC the “Legal Division” (LD); and 3) renaming and realigning the Division of Swap 

Dealer and Intermediary Oversight (DSIO) and the Office of Customer Education and 

Outreach (OCEO) to the “Market Participants Division” (MPD). 

Technology has dramatically altered capital and commodity markets over the past 

few decades, and technologically induced innovations such as electronic exchanges, highfrequency trading, and exchange-traded funds have made trading faster, cheaper, more 

integrated, and increasingly complex. As a financial regulator in an ever-increasingly 

sophisticated market environment, it is becoming more and more crucial that the CFTC 

focus on data and data reporting and invest in technologies necessary to keep pace with 
3

market innovation. Our oversight responsibilities are becoming highly data acquisitive 

and rely on the effective use of information, including through the use of algorithms and 

analytics to more effectively manage data to meet our regulatory objectives. The 

Division of Data was created to address the Commission’s growing data needs and to 

position the agency to continue to achieve its mission in accord with new technologies.

The Division of Swap Dealer and Intermediary Oversight (DSIO) is responsible 

primarily for overseeing derivatives market intermediaries, including commodity pool 

operators, commodity trading advisors, futures commission merchants, introducing 

brokers, major swap participants, retail foreign exchange dealers, and swap dealers, as 

well as designated self-regulatory organizations. The Office of Consumer Outreach and 

Education (OCEO) provides education and outreach to all end-users and market 

participants. Combining DSIO and OCEO into one Division, called the Market 

Participants Division, streamlines how market participants interact with the agency. 

The Commission’s legal compliance groups that are responsible for records, 

Freedom of Information Act, Sunshine Act, privacy, and transparency were divided 

between the Office of General Counsel and the Executive Secretariat Branch in the 

Office of the Executive Director. Moving the Executive Secretariat Branch into the 

Legal Division ensures consistency through streamlining all legal compliance programs 

into one division. 

In addition to the changes required due to the realignment, the Commission 

proposes technical changes to ensure consistency in reference to addresses, delete 

references to positions that have changed and update the positions to align with the 

current Commission structure, correct typographical errors, and other technical changes.
4

Section 2(a)(12) of the Commodity Exchange Act authorizes the Commission to 

promulgate such rules and regulations as it deems necessary to govern the operating 

procedures and conduct of business of the Commission. The Commission is 

promulgating this rule to reflect changes in its administrative structure and to make 

conforming technical changes to its regulations.

II. RELATED MATTERS

A. Administrative Procedure Act

The amendments to the Commission’s regulations in this rulemaking do not 

establish any new substantive or legislative rules, but rather relate to the restructuring of 

responsibilities within the Commission, including amendments changing the names of 

divisions and offices that are affected by the realignment and re-delegating authority to 

newly formed divisions. The amendments to the Commission’s regulations relate solely 

to agency management, organization, procedure, and practice and provide technical 

corrections of a minor and administrative nature, such as technical changes to ensure 

consistency in reference to Commission addresses, delete references to positions that 

have changed and update the positions to align with the current Commission structure, 

correct typographical errors, and other similar technical corrections. Therefore, this 

rulemaking is excepted from the public rulemaking provisions of the Administrative 

Procedure Act.1 Additionally, an agency may issue a new rule in some circumstances 

without publication in the Federal Register of a notice of proposed rulemaking with an 

opportunity for comment if the agency for “good cause” finds (and incorporates the 

 

1 5 U.S.C. 553(a) and (b). Rulemaking procedures apply, except to the extent that there

is involved (1) a military or foreign affairs function of the United States; or (2) a matter relating to agency 

management or personnel or to public property, loans, grants, benefits, or contracts.
5

finding and a brief statement of the reasons therefor in the rules issued) that notice and 

public procedure thereon are ‘impracticable, unnecessary, or contrary to the public 

interest.2 As the revisions to the Commission’s regulations in this rulemaking will not 

cause any party to undertake efforts to comply with the regulations as revised, the 

Commission has determined to make this rulemaking effective upon publication in the 

Federal Register.

3

B. Regulatory Flexibility Act

The Regulatory Flexibility Act requires the Commission to consider whether the 

regulations it adopts will have a significant economic impact on a substantial number of 

small entities.4 The Commission is obligated to conduct a regulatory flexibility analysis 

for any rule for which the agency publishes a general notice of proposed rulemaking 

pursuant to Section 553(b) of the Administrative Procedure Act or any other law.

5

 This 

rulemaking is excepted from the public rulemaking provisions of the Administrative 

Procedure Act. Accordingly, the Commission is not required to conduct a regulatory 

flexibility analysis for this rulemaking.

C. Paperwork Reduction Act

The Commission may not conduct or sponsor, and a respondent is not required to 

respond to, a collection of information contained in a rulemaking unless the information 

collection displays a currently valid control number issued by the Office of Management 

 

2 5 U.S.C 553 (b). Further, section 553(d) of the APA, 5 U.S.C. 553(d) provides, in part, that a rule may 

not be made effective less than 30 except as otherwise provided by the agency for good cause found and 

published with the rule.

3 Good cause exists as the final rule implement changes that affect internal agency management, 

organization and procedure that do not require a delayed effective date.

4 See 5 U.S.C. 601 et seq.

5 5 U.S.C. 601(2).
6

and Budget (OMB) pursuant to the Paperwork Reduction Act of 1995 (Paperwork 

Reduction Act).

6

 This final rule does not contain a collection of information as defined in 

the Paperwork Reduction Act and, therefore, is not subject to the requirements of the 

Paperwork Reduction Act.

D. Cost-Benefit Considerations

Section 15 of the Commodity Exchange Act, as amended by the Commodity 

Futures Modernization Act of 2000, provides that before promulgating a regulation under 

this Act or issuing an order, the Commission shall consider the costs and benefits of the 

action of the Commission. These rules govern internal agency organization, procedure, 

and practice, and therefore the Commission finds that none of the considerations 

enumerated in Section 15(a)(2) of the Commodity Exchange Act, as amended, are 

applicable to these rules.

E. Congressional Review Act

This final rule is not a rule as defined in the Congressional Review Act.7

List of Subjects in 17 CFR Part 140

Authority delegations (Government agencies), Organization and functions 

(Government agencies).

For the reasons stated in the preamble, the Commission hereby amends chapter I 

of title 17 of the Code of Federal Regulations as follows:

PARTS 1, 3, 5, 9, 10, 11, 12, 13, 14, 15, 16, 17, 18, 19, 29, 23, 30, 31, 37, 40, 41, 43, 45, 

46, 49, 140, 142, 144, 145, 146, 147, 148, 149, 150, 155, 160, 162, 165, 170, 171, and 

190 [AMENDED] 

 

6 See 44 U.S.C. 3501 et seq.

7 See 5 U.S.C. 801-808.
7

1. The authority citations for each of the parts being amended shall continue 

to read as they read presently in title 17, chapter I of the Code of Federal Regulations.

2. For each section and paragraph indicated in the left column of the 

following table, remove the text in the middle column from wherever it appears in the 

section or paragraph, and add in its place the text indicated in the right column:

Section Remove Add

1.12(g)(3) Director of the Division of

Swap Dealer and 

Intermediary Oversight

Director of the Market 

Participants Division 

1.17(c)(6)(ii)(A) Director of the Division of

Swap Dealer and 

Intermediary Oversight

Director of the Market 

Participants Division

1.17(c)(6)(ii)(C) Director of the Division 

and Clearing and 

Intermediary Oversight

Director of the Market 

Participants Division

1.17(c)(6)(ii)(D) Director of the Division of

Swap Dealer and 

Intermediary Oversight

Director of the Market 

Participants Division

1.17(c)(6)(iii)(B) Director of the Division of

Swap Dealer and 

Intermediary Oversight

Director of the Market 

Participants Division

1.20(d)(3)(i) director of the Division of 

Swap Dealer and 

Intermediary Oversight

Director of the Market 

Participants Division

1.20(d)(3)(i) director’s designees Director’s designees

1.20(d)(3)(ii) director of the Division of 

Swap Dealer and 

Intermediary Oversight

Director of the Market 

Participants Division

1.20(d)(5) director of the Division of 

Swap Dealer and 

Intermediary Oversight

Director of the Market 

Participants Division

1.20(d)(5) director of the Division of 

Clearing and Risk

Director of the Division of 

Clearing and Risk

1.20(d)(5) director’s designees Director’s designees
8

1.20(d)(6) director of the Division of 

Swap Dealer and 

Intermediary Oversight

Director of the Market 

Participants Division

1.20(d)(6) director of the Division of 

Clearing and Risk

Director of the Division of 

Clearing and Risk

1.20(d)(6) director’s designees Director’s designees

1.20(g)(4)(iv) director of the Division of 

Swap Dealer and 

Intermediary Oversight

Director of the Market 

Participants Division

1.20(g)(4)(iv) director of the Division of 

Clearing and Risk

Director of the Division of 

Clearing and Risk

1.20(g)(4)(iv) director’s designees Director’s designees

Pt. 1.20, App. A director of the Division of 

Swap Dealer and 

Intermediary Oversight

Director of the Market 

Participants Division

Pt. 1.20, App. A director of the Division of 

Clearing and Risk

Director of the Division of 

Clearing and Risk

Pt. 1.20, App. A director’s designees Director’s designees

Pt. 1.20, App. B director of the Division of 

Swap Dealer and 

Intermediary Oversight

Director of the Market 

Participants Division

Pt. 1.20, App. B director of the Division of 

Clearing and Risk

Director of the Division of 

Clearing and Risk

Pt. 1.20, App. B director’s designees Director’s designees

Pt. 1.26, App. A director of the Division of 

Swap Dealer and 

Intermediary Oversight

Director of the Market 

Participants Division

Pt. 1.26, App. A director of the Division of 

Clearing and Risk

Director of the Division of 

Clearing and Risk

Pt. 1.26, App. A director’s designees Director’s designees

Pt. 1.26, App. B director of the Division of 

Swap Dealer and 

Intermediary Oversight

Director of the Market 

Participants Division

Pt. 1.26, App. B director of the Division of 

Clearing and Risk

Director of the Division of 

Clearing and Risk
9

Pt. 1.26, App. B director’s designees Director’s designees

1.35(a)(9)(iii) Director of the Division of 

Swap Dealer and 

Intermediary Oversight

Director of the Market 

Participants Division

1.35(a)(9)(iii) Director may designate 

from time to time

Director may designate

1.52(c)(3)(iii)(B) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

1.52(c)(3)(iii)(C) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

1.52(c)(2)(iii)(B) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

1.52(c)(2)(iii)(C) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

1.52(d)(2)(ii)(G)(2) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

1.52(d)(2)(ii)(G)(3) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

1.52(d)(2)(iii)(D) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

1.52(d)(2)(iii)(f)(2) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

1.60(e) Office of the General 

Counsel

Legal Division

1.65(d) Compliance and 

Registration Section 

Compliance and Registration

Branch

1.65(d) Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581

at the Commission’s 

Washington, DC headquarters

1.65(d) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

1.66(b)(5)(ii) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

3.3(h) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

3.3(h) Director may designate 

from time to time 

Director may designate

3.22 Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

3.33(e) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

3.33(e) Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581

at the Commission’s

Washington, DC headquarters
10

3.50(c) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

3.50(c) Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581

at the Commission’s 

Washington, DC headquarters

3.50(d) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

3.55(e)(2) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

3.56(e)(2) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

3.63 Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

3.70(a) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

3.70(a) Washington, DC office Washington, DC headquarters

3.70(a) (Attn: Deputy Director, 

Registration and 

Compliance Branch,

Division of Swap Dealer 

and Intermediary Oversight 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581).

(Attn: Deputy Director, 

Registration and Compliance 

Branch, Market Participants

Division).

Pt. 3 app. A, note 2 Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

3.75(a) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

3.75(a) any matter which has been 

delegated to him

any matter which has been 

delegated to them

5.6(f)(3) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

5.6(h) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

5.6(h) at the Commission’s 

principal office in 

Washington, DC

at the Commission’s 

Washington, DC headquarters

5.20(d) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

5.23(f) Deputy Director, 

Registration and 

Compliance Section

Deputy Director, Registration 

and Compliance Branch

5.23(f) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division
11

5.23(f) Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581

at the Commission’s 

Washington, DC headquarters

9.2(h) Division of Swap Dealer 

and Intermediary Oversight

and Division of Clearing 

and Risk

Market Participants Division

and/or the Division of Clearing 

and Risk

9.4(a) or by mail to Proceedings 

Clerk, Office of 

Proceedings, Commodity 

Futures Trading 

Commission, Three 

Lafayette Centre, 1155 21st 

Street, NW., Washington, 

DC 20581

or by mail to the Proceedings 

Clerk, Office of Proceedings at 

the Commission’s Washington, 

DC headquarters

9.26 Division of Swap Dealer 

and Intermediary Oversight

and Division of Clearing 

and Risk

Market Participants Division

and/or the Division of Clearing 

and Risk

9.31(a) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

10.2(i) member of the 

Commission’s staff 

designated as such in the 

Commission’s Office of 

Proceedings 

any member of the 

Commission’s staff designated 

as such by the Director of the 

Office of Proceedings

10.4 Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581

the Commission’s Washington, 

DC headquarters

10.10(a)(1)(iii) Deputy General Counsel 

for Opinions and Review

Deputy General Counsel for 

Litigation, Enforcement, and 

Adjudication

10.10(a)(1)(iii) Office of General Counsel Legal Division

10.12(d) Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581

the Commission’s Washington, 

DC headquarters

10.106(b)(3) Nothwithstanding Notwithstanding

11.2(b) Program Coordinator Principal Deputy Director

11.2(b) Regional Counsel Deputy Regional Counsel
12

11.7(a) Program Coordinator Principal Deputy Director

11.7(a) Regional Counsel of the 

Division of Enforcement, 

or a Regional Director of 

the Commission 

Deputy Regional Counsel of 

the Division of Enforcement

Part 11 Appendix A Program Coordinator Principal Deputy Director

Part 11 Appendix A Regional Counsel of the 

Division, or a Regional 

Director of the 

Commission 

Deputy Regional Counsel of 

the Division of Enforcement

Part 11 Appendix A Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581

at the Commission’s 

Washington, DC headquarters

12.2 Office of General Counsel Legal Division

12.2 means that member of the 

Commission’s staff in the 

Office of Proceedings who 

shall maintain the 

Commission’s reparation 

docket, assign reparation 

cases to an appropriate 

decisionmaking official, 

and act as custodian of the 

records of proceedings

means any member of the 

Commission’s staff designated 

as such by the Director of the 

Office of Proceedings

12.11(f) Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581

at the Commission’s 

Washington, DC headquarters

12.13(b)(3) Principal Offices in 

Washington, DC

Washington, DC headquarters

12.18(e) Principal Offices in 

Washington, DC

Washington, DC headquarters

12.407(c) His them

12.407(c)(1) Statisfaction Satisfaction

13.2 Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581

at the Commission’s 

Washington, DC headquarters
13

14.9 Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581

at the Commission’s 

Washington, DC headquarters

15.05(d) Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581

at the Commission’s 

Washington, DC headquarters

15.05(g) Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581

at the Commission’s 

Washington, DC headquarters

15.05(i)(2) Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581

at the Commission’s 

Washington, DC headquarters

15.06(a) Director of the Division of 

Market Oversight, to be 

exercised by such Director 

or by such other employee 

or employees of such 

Director as designated 

from time to time by the 

Director

Director of the Division of 

Data, to be exercised by such 

Director or by such other 

employee or employees of 

such Director as designated, 

and in consultation with the 

Director of the Division of 

Market Oversight

16.07(section heading) Office of Data and 

Technology

Division of Data

16.07 Office of Data and 

Technology

Division of Data

16.07(a) designate from time to time designate

16.07(a) designated from time to 

time

designated

16.07(a) paragraph (d) of this 

section to the Director of 

the Division of Market 

Oversight, 

paragraph (d) of this section to 

the Director of the Division of 

Data, 

17.03(section heading) Office of Data and 

Technology

Division of Data

17.03 Office of Data and 

Technology

Division of Data
14

17.03 designated from time to 

time

designated

17.03(a) Office of Data and 

Technology

Division of Data

17.03(b) Office of Data and 

Technology

Division of Data

17.03(c) Office of Data and 

Technology

Division of Data

17.03(d) Office of Data and 

Technology

Division of Data

17.03(e) Office of Data and 

Technology

Division of Data

17.03(e) designate from time to time designate

17.03(f) Office of Data and 

Technology

Division of Data

17.03(f) designate from time to time designate

17.03(g) Division of Market 

Oversight

Division of Data

17.03(h) Division of Market 

Oversight

Division of Data

18.03(b) designate from time to time Designate

18.03(b) Office of Data and 

Technology

Division of Data

18.03(c) Office of Data and 

Technology

Division of Data

19.01(b)(1) Commission’s office in 

Chicago, IL

Central Regional Office

19.01(b)(2) Commission’s office in 

New York, NY

Eastern Regional Office

19.02(b) Commission’s office in 

New York, NY

Eastern Regional Office

20.8(a) designate from time to time designate

20.8(b) Director of the Division of 

Market Oversight

Director of the Division of 

Data, in consultation with the 

Director of the Division of 

Market Oversight

20.8(b) designate from time to time designate

20.8(c) designate from time to time designate

20.8(c) Office of Data and 

Technology

Division of Data
15

20.8(d) Office of Data and 

Technology, with the 

concurrence of the Director 

of the Division of Market 

Oversight, or such other 

employee or employees as 

the Directors 

Division of Data, or such 

other employee or employees 

as the Director 

20.8(e) Office of Data and 

Technology

Division of Data

23.160(c)(7) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

23.160(c)(7) designate from time to time designate

23.206(section heading) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

23.206(a) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

23.206(b) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

30.7(d)(3)(i) director of the Division of 

Swap Dealer and 

Intermediary Oversight

Director of the Market 

Participants Division

30.7(d)(3)(ii) director of the Division of 

Swap Dealer and 

Intermediary Oversight

Director of the Market 

Participants Division

30.7(d)(5) director of the Division of 

Swap Dealer and 

Intermediary Oversight

Director of the Market 

Participants Division

30.7(d)(5) director of the Division of 

Clearing

Director of the Division of 

Clearing and Risk

30.7(d)(5) director’s designees Director’s designees

30.7(d)(6) director of the Division of 

Swap Dealer and 

Intermediary Oversight

Director of the Market 

Participants Division

30.7(d)(6) director of the Division of 

Clearing

Director of the Division of 

Clearing and Risk

30.7(d)(6) director’s designees Director’s designees

30.13(f)(1) Office of General Counsel Legal Division

30.13(n) Office of General Counsel Legal Division

31.13(n)(1) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division
16

31.13(n)(1) His their

31.13(n)(1) Him them

31.14(a) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

31.28(j) Principal office of the 

Commission 

at the Commission’s 

Washington, DC headquarters

Pt. 31, App. A attention of the Office of 

the Secretariat, Commodity 

Futures Trading 

Commission, Three 

Lafayette Centre, 1155 21st 

Street, NW., Washington, 

DC 20581

Commission at its Washington, 

DC headquarters, Attn:

Financial Management Branch

37.3(h) General Counsel’s delegate General Counsel’s designee

40.7(a)(1) the Director of the Division 

of Clearing and Risk, and, 

separately, to the Director 

of the Division of Market 

Oversight, to be exercised 

by either Director, as 

appropriate, or by such 

employees of the 

Commission that either 

Director may designate 

from time to time, the 

following authorities, with 

the concurrence of the 

General Counsel or the 

General Counsel's delegate:

the Director of the Division of 

Clearing and Risk, Director of 

the Division of Market 

Oversight, and Director of the 

Division of Data, to be 

exercised by any of such 

Directors, as appropriate, or by 

such employees of the 

Commission that the 

appropriate Director may 

designate, the following 

authorities, with the 

concurrence of the General 

Counsel or the General 

Counsel's designee:

40.7(a)(2) the Director of the Division 

of Clearing and Risk, and, 

separately, to the Director 

of the Division of Market 

Oversight, to be exercised 

by either Director, as 

appropriate, or by such 

employees of the 

Commission that either 

Director may designate 

from time to time, the 

following authorities, after 

consultation with the 

the Director of the Division of 

Clearing and Risk, Director of 

the Division of Market 

Oversight, and Director of the 

Division of Data, to be 

exercised by any of such 

Directors, as appropriate, or by 

such employees of the 

Commission that the 

appropriate Director may 

designate, the following 

authorities, after consultation 

with the Legal Division or the 
17

Office of General Counsel 

or the General Counsel's 

delegate to notify a 

registered entity:

General Counsel's designee to 

notify a registered entity:

40.7(a)(3) the Director of the Division 

of Clearing and Risk, and, 

separately, to the Director 

of the Division of Market 

Oversight, to be exercised 

by either Director, as 

appropriate, or by such 

employees of the 

Commission that either 

Director may designate 

the Director of the Division of 

Clearing and Risk, Director of 

the Division of Market 

Oversight, and Director of the 

Division of Data, to be 

exercised by any of such 

Directors, as appropriate, or by 

such employees of the 

Commission that the 

appropriate Director may 

designate, 

40.7(a)(4) the Director of the Division 

of Market Oversight and, 

separately, to the Director 

of the Division of Clearing 

and Risk, to be exercised 

by either Director, as 

appropriate, or by such 

other employee or 

employees of the 

Commission that either 

Director may designate 

the Director of the Division of 

Market Oversight, the Director 

of the Division of Clearing and 

Risk, and the Director of the 

Division of Data, to be 

exercised by any of such 

Directors, as appropriate, or by 

such other employee or 

employees of the Commission 

that the appropriate Director 

may designate, 

40.7(a)(5) General Counsel’s delegate General Counsel’s designee

40.7(a)(5) designate from time to time designate

40.7(b) the Director of the Division 

of Clearing and Risk and, 

separately, to the Director 

of the Division of Market 

Oversight, to be exercised 

by either Director, as 

appropriate, or by such 

employees of the 

Commission that either 

Director may designate 

from time to time, with the 

concurrence of the General 

Counsel or the General 

Counsel's delegate, 

the Director of the Division of 

Clearing and Risk, the Director 

of the Division of Market 

Oversight, and the Director of 

the Division of Data, to be 

exercised by any of such 

Directors, as appropriate, or by 

such employees of the 

Commission that the 

appropriate Director may 

designate, with the 

concurrence of the General 

Counsel or the General 

Counsel's designee , 
18

40.7(c) the Director of the Division

of Market Oversight may 

the Director of the Division of 

Market Oversight, and the 

Director of the Division of 

Data separately may 

40.8 Office of General Counsel Legal Division

Pt. 40, App. A Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581

at the Commission’s 

Washington, DC headquarters

41.3(d) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

41.3(d) Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581

at the Commission’s 

Washington, DC headquarters

43.7(a) the Director of the Division 

of Market Oversight 

the Director of the Division of 

Data 

43.7(b) The Director of the 

Division of Market 

Oversight may 

The Director of the Division of 

Data may 

45.11(c) designated from time to 

time

designated

45.11(c) Chief Information Officer Director of the Division of 

Data

45.11(d) Chief Information Officer Division of Data

45.13(c) Chief Information Officer Director of the Division of 

Data

45.13(c) designated from time to 

time

designated

45.13(d) Chief Information Officer Director of the Division of 

Data

45.14(c) Chief Information Officer Director of the Division of 

Data

45.15(a) Chief Information Officer Director of the Division of 

Data
19

45.15(a)(4) Chief Information Officer Director of the Division of 

Data

45.15(b) Division of Market 

Oversight

Division of Data

45.15(b)(4) Division of Market 

Oversight

Division of Data

46.8(c) Chief Information Officer Director of the Division of 

Data

46.8(c) designated from time to 

time

designated

46.8(d) Chief Information Officer Division of Data

49.3(e)(1) Director of the Division of 

Market Oversight or the 

Director’s delegates, with 

the consultation of the 

General Counsel or the 

General Counsel’s 

delegates

Director of the Division of 

Data or by such other 

employee or employees of the 

Commission as may be 

designated by the Director, 

with the consultation of the 

General Counsel or such other 

employee or employees of the 

Commission as may be 

designated by the General 

Counsel

49.3(e)(2) Division of Market 

Oversight

Division of Data

49.17(i)(1) Division of Market 

Oversight

Division of Data

49.17(i)(2) Division of Market 

Oversight

Division of Data

49.17(e)(1) Division of Market 

Oversight

Division of Data

49.17(e)(2) Division of Market 

Oversight

Division of Data

49.31(section heading) Division of Market 

Oversight

Division of Data

49.31 Division of Market 

Oversight

Division of Data

140.2 (section heading) Regional coordinator Regional administrator

140.2 Regional coordinator Regional administrator

140.11(a) principal offices of the 

commission

Commission headquarters
20

140.11(a) the Chairman, ViceChairman, andthe Chairman and

140.11(b) the Commission’s offices 

in Washington, DC

the Commission’s Washington, 

DC headquarters

140.11(b) General Counsel or his 

deputy

General Counsel or their 

deputy

140.24(a)(4) Executive Director or his 

delegee

Executive Director or their 

designee

140.24(a)(6) Executive Director or his 

delegee

Executive Director or their 

designee in consultation with 

the General Counsel or their 

designee,

140.72(a) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

140.72(a) the Director of the Division 

of Market Oversight, the 

Director of the Division of 

Enforcement,

the Director of the Division of 

Market Oversight, the Director 

of the Division of Data, the 

Director of the Division of 

Enforcement,

140.72(a) may designate from time to 

time

may designate

140.73(a) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

140.73(a) may designate from time to 

time

may designate

140.73(a) the Director of the Division 

of Enforcement, the 

Director of the Division of 

Market Oversight,

the Director of the Division of 

Enforcement, the Director of 

the Division of Data, the 

Director of the Division of 

Market Oversight,

140.73(b) his or her their

140.73(b) Director of Market 

Oversight or in his or her 

absence each Deputy 

Director of the Division or 

for the Director of the 

Market Surveillance 

Section to release

Director of Market Oversight 

or in their absence each 

Deputy Director of the 

Division to release

140.75 (section heading) Director of the Division of 

Clearing and Risk and

Director of the Division of 

Clearing and Risk and to the 
21

Division of Swap Dealer 

and Intermediary Oversight

Director of the Market 

Participants Division

140.75 Director of the Division of 

Clearing and Risk and

Division of Swap Dealer 

and Intermediary Oversight

Director of the Division of 

Clearing and Risk and to the 

Director of the Market 

Participants Division

140.75 Acting under his or her 

direction as the Director 

may designate from time to 

time

acting under their direction as 

either Director may designate

140.75 Director of Trading and 

Markets or any 

Commission employee 

designated by the Director 

Director of the Division of 

Clearing and Risk, the Director 

of Market Participants 

Division, or any Commission

employee designated by either

Director 

140.75 Director of the Division of 

Clearing and Risk and

Division of Swap Dealer 

and Intermediary Oversight

Director of the Division of 

Clearing and Risk or the 

Director of the Market 

Participants Division

140.76(a) Director of the Division of 

Clearing and Risk and

Division of Swap Dealer 

and Intermediary Oversight

Director of the Division of 

Clearing and Risk and to the 

Director of the Market 

Participants Division

140.76(b) Director of the Division of 

Clearing and Risk and

Division of Swap Dealer 

and Intermediary Oversight

Director of the Division of 

Clearing and Risk and to the 

Director of the Market 

Participants Division

140.77(a) the Director of the Division 

of Market Oversight or the 

Director's designees, 

(a) the Director of the Division 

of Market Oversight, the 

Director of the Division of 

Data, or either Director's 

designees, 

140.77(b) (b) The Director of the 

Division of Market 

Oversight 

(b) The Director of the 

Division of Market Oversight 

or the Director of the Division 

of Data 

140.77(c) Director of the Division of 

Market Oversight 

Director of the Division of 

Market Oversight or the 

Director of the Division of 

Data 

140.91 (section heading) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division
22

140.91(a) Director of the Division of 

Clearing and Risk and 

Division of Swap Dealer 

and Intermediary Oversight 

and to such members of the 

Commission’s staff acting 

under his direction as he 

may designate from time to 

time:

Director of the Division of 

Clearing and Risk and to the 

Director of the Market 

Participants Division and to 

such members of the 

Commission’s staff acting 

under their direction as they

may designate:

140.91(b) The Director of the 

Division of Clearing and 

Risk and the Director of 

the Division Swap Dealer 

and Intermediary Oversight 

may submit any matter 

which has been delegated 

to him or her

The Director of the Division of 

Clearing and Risk and the 

Director of the Market 

Participants Division may 

submit any matter which has 

been delegated to them

140.92(a) Director of the Division of 

Clearing and Risk and 

Division of Swap Dealer 

and Intermediary Oversight 

and to such members of the 

Commission’s staff acting 

under his direction as he 

may designate

Director of the Division of 

Clearing and Risk and to the 

Director of the Market 

Participants Division and to 

such members of the 

Commission’s staff acting 

under their direction as they

may designate

140.92(b) The Director of the 

Division of Clearing and 

Risk and Division Swap 

Dealer and Intermediary 

Oversight may submit any 

matter which has been 

delegated to him 

The Director of the Division of 

Clearing and Risk and the 

Director of the Market 

Participants Division may 

submit any matter which has 

been delegated to them

140.92(c) Director of the Division of 

Clearing and Risk and 

Division of Swap Dealer 

and Intermediary Oversight

Director of the Division of 

Clearing and Risk and to the 

Director of the Market 

Participants Division

140.93 (section heading) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

140.93(a) Director of the Division of 

Clearing and Risk and 

Division of Swap Dealer 

and Intermediary Oversight 

and to such members of the 

Commission’s staff acting 

Director of the Division of 

Clearing and Risk and to the 

Director of the Market 

Participants Division and to 

such members of the 

Commission’s staff acting 
23

under his direction as he 

may designate from time to 

time

under their direction as they

may designate

140.93(b) The Director of the 

Division of Clearing and 

Risk and Division Swap 

Dealer and Intermediary 

Oversight may submit any 

matter which has been 

delegated to him

The Director of the Division of 

Clearing and Risk and the 

Director of the Market 

Participants Division may 

submit any matter which has 

been delegated to them

140.93(c) Director of the Division of 

Clearing and Risk and 

Division of Swap Dealer 

and Intermediary Oversight

Director of the Division of 

Clearing and Risk and to the 

Director of the Market 

Participants Division

140.94 (section heading) Director of the Division of 

Swap Dealer and 

Intermediary Oversight and 

the Director of the Division 

of Clearing and Risk

Director of the Market 

Participants Division and to the 

Director of the Division of 

Clearing and Risk

140.94(a) Director of the Division of

Swap Dealer and 

Intermediary Oversight and 

to such members of the 

Commission’s staff acting 

under his or her direction 

as he or she may designate

from time to time

Director of the Market 

Participants Division and to 

such members of the 

Commission’s staff acting 

under their direction as he or 

she may designate

140.94(b) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

140.94(c) may designate from time to 

time

may designate

140.94(e) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

140.95(a) Director of the Division of 

Clearing and Risk and 

Division of Swap Dealer 

and Intermediary Oversight 

and to such members of the 

Commission’s staff acting 

under his direction as he 

may designate

Director of the Division of 

Clearing and Risk and to the 

Director of the Market 

Participants Division and to 

such members of the 

Commission’s staff acting 

under their direction as they

may designate

140.95(b) Director of the Division of 

Clearing and Risk and 

Division of Swap Dealer 

Director of the Division of 

Clearing and Risk and to the 

Director of the Market 
24

and Intermediary Oversight 

may submit any matter 

which has been delegated 

to him

Participants Division may 

submit any matter which has 

been delegated to them

140.95(c) Director of the Division of 

Clearing and Risk and 

Division of Swap Dealer 

and Intermediary Oversight

Director of the Division of 

Clearing and Risk and to the 

Director of the Market 

Participants Division

140.96(a) Director of the Division of 

Market Oversight or the 

Director's designee, 

Director of the Division of 

Market Oversight or the 

Director's designee, or the 

Director of the Division of 

Data or the Director's designee, 

140.96(b) the Director of Swap 

Dealer and Intermediary 

Oversight or the Director’s 

designee, and to the 

Director of the Division of 

Clearing and Risk or the 

Director’s designee

the Director of Market 

Participants Division or the 

Director’s designee, and to the 

Director of the Division of 

Clearing and Risk or the 

Director’s designee, and to the 

Director of the Division of 

Data or the Director’s 

designee,

140.96(c) Director of the Division of 

Swap Dealer and 

Intermediary Oversight or 

the Director of the Division 

of Clearing and Risk

Director of the Market 

Participants Division or the 

Director of the Division of 

Clearing and Risk or the 

Director of the Division of 

Data

140.96(d) Director of the Division of 

Market Oversight and to 

the Director of the Division 

of Swap Dealer and 

Intermediary Oversight or 

the Director of the Division 

of Clearing and Risk

Director of the Division of 

Market Oversight or to the 

Director of the Market 

Participants Division or to the 

Director of the Division of 

Clearing and Risk or to the 

Director of the Division of 

Data

140.99(a)(2) Division of the 

Commission or of the 

Office of the General 

Counsel

Division of the Commission

140.99(a)(2) Division that issued it, or 

the Office of the General 

Counsel if issued thereby.

Division that issued it.
25

140.99(a)(3) Division of the 

Commission or of the 

Office of the General 

Counsel

Division of the Commission

140.99(a)(3) Division of the 

Commission or of the 

Office of the General 

Counsel, as applicable

Division of the Commission

140.99(a)(5) Division of Swap Dealer 

and Intermediary 

Oversight, the Division of 

Clearing and Risk or the 

Division of Market 

Oversight

Market Participants Division,

the Division of Clearing and 

Risk, the Division of Market 

Oversight, the Division of 

Data, the Legal Division, and 

any successor divisions or 

organizational units, as the 

context requires

140.99(d)(2)(ii) Director of the Division of 

Swap Dealer and 

Intermediary Oversight

Director of the Market 

Participants Division

140.99(d)(2)(ii) Director, Division of

Clearing and Risk, 

Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street NW., 

Washington, DC 20581.

Director, Division of Clearing 

and Risk at the Commission’s 

Washington, DC headquarters.

140.99(d)(2)(iii) Director, Division of Swap 

Dealer and Intermediary 

Oversight, Commodity 

Futures Trading 

Commission, Three 

Lafayette Centre, 1155 21st 

Street NW., Washington, 

DC 20581.

Director, Market Participants 

Division at the Commission’s 

Washington, DC headquarters.

140.99(d)(2)(iv) or dsioletters@cftc.gov (for 

a request filed with the 

Division of Swap Dealer 

and Intermediary 

Oversight), as appropriate, 

and a properly signed paper 

copy of the request must be 

provided to the Division of 

Market Oversight, the 

Division of Clearing and 

Risk, or the Division of 

or 

mpdlettersmpdletters@cftc.gov 

(for a request filed with the 

Market Participants Division), 

as appropriate, and a properly 

signed paper copy of the 

request must be provided to the 

Division of Market Oversight, 

the Division of Data, the 

Division of Clearing and Risk, 

or the Market Participants 
26

Swap Dealer and 

Intermediary Oversight, as 

appropriate, within ten 

days for purposes of 

verification of the 

electronic submission.

Division, as appropriate, 

pursuant to paragraph (d)(2)(i)-

(iii) of this section, as 

applicable, within ten days for 

purposes of verification of the 

electronic submission.

142.2(d) Office of General Counsel Legal Division

144.1(b) Three Lafayette Centre, 

1155 21st Street NW., 

Washington, DC 20581.

at the Commission’s 

Washington, DC headquarters.

144.1(e) National Futures 

Association, 200 West 

Madison Street, Suite 

1600, Chicago, Illinois 

60606

National Futures Association, 

300 S Riverside Plaza suite 

1800, Chicago, IL 60606

144.5(a) Commission office in 

Washington, DC

Commission’s Washington, 

DC headquarters

145.0(a) Compliance staff—refers to 

the FOI Compliance Staff 

of the Office of General 

Counsel at the 

Commission’s principal 

office in Washington, DC 

assigned to respond to 

requests for information 

and to handle various other 

matters under the Freedom 

of Information Act.

FOIA Compliance staff—

refers to the Freedom of 

Information Act Compliance 

Staff assigned to respond to 

requests for information under 

the Freedom of Information 

Act.

145.2 principal office of the 

Commission in 

Washington, DC

at the Washington, DC 

headquarters

145.6(a) the Office of General 

Counsel, Commodity 

Futures Trading 

Commission, Three 

Lafayette Centre, 1155 21st 

Street NW., Washington, 

DC 20581. Requests for 

public records directed to a 

regional office of the 

Commission pursuant to 

§145.2 should be sent to:

the Legal Division at the 

Commission’s Washington, 

DC headquarters, Attn: FOIA 

Request or electronically via 

foiasubmissions@cftc.gov. 

Requests for public records 

directed to a regional office of 

the Commission pursuant to §

145.2 should be sent to the 

Eastern Regional Office, 

Central Regional Office, or 
27

Commodity Futures 

Trading Commission, 140 

Broadway, 19th Floor, 

New York, New York 

10005, Telephone: (646) 

746-9700.

Commodity Futures 

Trading Commission, 525 

West Monroe Street, Suite 

1100, Chicago, Illinois 

60661, Telephone: (312) 

596-0700.

Commodity Futures 

Trading Commission, 4900 

Main Street, Suite 500, 

Kansas City, Missouri 

64112, Telephone: (816) 

960-7700.

Southwestern Regional Office,

as applicable.

145.6(b)(1) National Futures 

Association, 200 West 

Madison Street, Suite 

1600, Chicago, Illinois 

60606

National Futures Association, 

300 S Riverside Plaza suite 

1800, Chicago, IL 60606

145.7(b) Office of General Counsel Legal Division

145.7(c) Office of General Counsel Legal Division

145.7(f) Office of General Counsel Legal Division

145.7(g) Office of General Counsel Legal Division

145.7(h)(3) Office of General Counsel Legal Division

145.7(h)(3) Compliance Staff FOIA compliance staff

145.7(g)(2) Office of General Counsel Legal Division

145.7(g)(2) Compliance Staff FOIA compliance staff

145.7(g)(5) Office of General Counsel Legal Division

145.7(g)(7) Office of General Counsel Legal Division

145.7(j) Office of General Counsel Legal Division

145.7(j) Compliance Staff FOIA compliance staff
28

145.9(d)(2) Assistant Secretary of the 

Commission for FOI, 

Privacy and Sunshine Acts 

Compliance

Legal Division at the 

Commission’s Washington, 

DC headquarters, Attn: FOIA 

compliance staff

145.9(d)(3) Assistant Secretary of the 

Commission for FOI, 

Privacy and Sunshine Acts 

Compliance

FOIA compliance staff

145.9(d)(7) Assistant Secretary FOIA compliance staff

145.9(d)(9) Assistant Secretary of the 

Commission for FOI, 

Privacy and Sunshine Acts 

Compliance or his or her 

designee

FOIA compliance staff

149.9(e) Assistant Secretary or his 

or her designee

FOIA compliance staff

145.9(e) Assistant Secretary of the 

Commission for FOI, 

Privacy and Sunshine Acts 

Compliance

FOIA compliance staff

145.9(f)(1) Assistant Secretary of the 

Commission for FOI, 

Privacy and Sunshine Acts 

compliance

FOIA compliance staff

145.9(f)(2) Assistant Secretary or his 

or her designee

FOIA compliance staff

145.9(f)(3) Assistant Secretary or his 

or her designee

FOIA compliance staff

145.9(g)(3) Office of General Counsel Legal Division

145.9(g)(3) Assistant Secretary of the 

Commission for FOI, 

Privacy and Sunshine Acts 

compliance

FOIA compliance staff

145.9(g)(5) Office of General Counsel Legal Division

145.9(g)(7) Office of General Counsel Legal Division

145.9(g)(8) Assistant Secretary of the 

Commission for FOI, 

Privacy and Sunshine Acts 

Compliance

FOIA compliance staff

145.9(h) Assistant Secretary of the 

Commission for FOI, 

FOIA compliance staff
29

Privacy and Sunshine Acts 

Compliance

Part 145, App. A Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581

the Commission’s Washington, 

DC headquarters

Part 145, App. A, (a) Office of External Affairs Office of Public Affairs

Part 145, App. A, (d) Executive Director, 

Administrative Services 

Section

Chief Administrative Officer, 

Division of Administration

Part 145, App. A, (g) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

Part 145, App. A, (g) National Futures 

Association, 200 West 

Madison Street, Suite 

1600, Chicago, Illinois 

60606

National Futures Association, 

300 S Riverside Plaza suite 

1800, Chicago, IL 60606

146.2(c) The term FOI, Privacy and 

Sunshine Acts compliance 

staff refers to the staff in 

the Office of the Secretariat 

in the Commission's 

principal office in 

Washington, DC who are 

assigned to respond to 

requests and handle various 

other matters under the 

Freedom of Information 

Act, the Privacy Act of 

1974 and the Government 

in the Sunshine Act

FOIA Compliance staff—

refers to the Freedom of 

Information Act Compliance 

Staff assigned to respond to 

requests for information under 

the Freedom of Information 

Act.

146.3(a) pertaining to him pertaining to them

146.3(a) FOI, Privacy and Sunshine 

Acts compliance staff, 

Office of the Secretariat

Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581.

FOIA compliance staff in the 

Legal Division at the 

Commission’s Washington, 

DC headquarters and clearly 

marked “Privacy Act request.”

146.4(b) Executive Director General Counsel

146.4(b) his identity their identity
30

146.4(b) he is familiar with and 

understands

they are familiar with and 

understand

146.4(b) FOI, Privacy and Sunshine 

Acts compliance staff, 

Office of the Secretariat

Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581.

FOIA compliance staff in the 

Legal Division at the 

Commission’s Washington, 

DC headquarters and clearly 

marked “Privacy Act request.”

146.5(e) FOI, Privacy and Sunshine 

Acts compliance staff, 

Office of the Secretariat

FOIA compliance staff 

146.5(f) FOI, Privacy and Sunshine 

Acts compliance staff, 

Office of the Secretariat

Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581.

FOIA compliance staff in the 

Legal Division at the 

Commission’s Washington, 

DC headquarters and clearly 

marked “Privacy Act request.”

146.6(d) FOI, Privacy and Sunshine 

Acts compliance staff, 

Office of the Secretariat

Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581.

FOIA compliance staff in the 

Legal Division at the 

Commission’s Washington, 

DC headquarters.

146.8(a) pertaining to him pertaining to them

146.8(a) under his name under their name

146.8(a) if he believes if they believe

146.8(d) FOI, Privacy and Sunshine 

Acts compliance staff, 

Office of the Secretariat

Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581.

Chief Privacy Officer at the 

Commission’s Washington, 

DC headquarters.

146.8(e) Executive Director General Counsel
31

146.8(f) Executive Director General Counsel

146.8(g) Executive Director General Counsel

146.8(h) Executive Director General Counsel

146.9(c) FOI, Privacy and Sunshine 

Acts compliance staff, 

Office of the Secretariat

Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581.

General Counsel, Legal 

Division at the Commission’s 

Washington, DC headquarters

146.9(d) FOI, Privacy and Sunshine 

Acts compliance staff, 

Office of the Secretariat

General Counsel

146.9(e)(3) FOI, Privacy and Sunshine 

Acts compliance staff, 

Office of the Secretariat

Chief Privacy Officer

146.11(b) FOI, Privacy and Sunshine 

Acts compliance staff, 

Office of the Secretariat

Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581.

Chief Privacy Officer at the 

Commission’s Washington, 

DC headquarters.

Part 146 App. A, (b) FOI, Privacy and Sunshine 

Acts compliance staff, 

Office of the Secretariat

Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581.

FOIA compliance staff at the 

Commission’s Washington, 

DC headquarters.

147.2(g) The term FOI, Privacy and 

Sunshine Acts compliance 

staff refers to the staff in 

the Office of the Secretariat 

in the Commission's 

principal office in 

Washington, DC who are 

assigned to respond to 

requests and handle various 

other matters under the 

FOIA Compliance staff—

refers to the Freedom of 

Information Act Compliance 

Staff assigned to respond to 

requests for information under 

the Freedom of Information 

Act.
32

Freedom of Information 

Act, the Privacy Act of 

1974 and the Government 

in the Sunshine Act

147.4(d)(1) Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581

at the Commission’s 

Washington, DC headquarters

147.5(h) offices of the FOI, Privacy 

and Sunshine Acts 

compliance staff, Office of 

the Secretariat, Commodity 

Futures Trading 

Commission, Three 

Lafayette Centre, 1155 21st 

Street, NW., Washington, 

DC 20581.

Office of the Secretariat at the 

Commission’s Washington, 

DC headquarters. 

147.5(i) offices of the FOI, Privacy 

and Sunshine Acts 

compliance staff, Office of 

the Secretariat, Commodity 

Futures Trading 

Commission, Three 

Lafayette Centre, 1155 21st 

Street, NW., Washington, 

DC 20581.

Office of the Secretariat at the 

Commission’s Washington, 

DC headquarters. 

147.6(c) offices of the FOI, Privacy 

and Sunshine Acts 

compliance staff, Office of 

the Secretariat, Commodity 

Futures Trading 

Commission, Three 

Lafayette Centre, 1155 21st 

Street, NW., Washington, 

DC 20581.

Office of the Secretariat at the 

Commission’s Washington, 

DC headquarters. 

147.8(a) offices of the FOI, Privacy 

and Sunshine Acts 

compliance staff, Office of 

the Secretariat, Commodity 

Futures Trading 

Commission, Three 

Lafayette Centre, 1155 21st 

Street, NW., Washington, 

DC 20581.

Office of the Secretariat at the 

Commission’s Washington, 

DC headquarters.
33

147.8(b)(1) Assistant Secretary of the 

Commission for FOI, 

Privacy and Sunshine Acts

compliance after due 

consultation with the 

Office of the 

Commission’s General 

Counsel and the Director of 

any affected staff division

Legal Division in consultation 

with the Director of any 

affected staff division

147.9(b) FOI, Privacy and Sunshine 

Acts compliance staff,

Office of the Secretariat, 

Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581.

Office of the Secretariat at the 

Commission’s Washington, 

DC headquarters.

148.30 Executive Director of the

Commission, Three 

Lafayette Centre, 1155 21st 

Street, NW., Washington, 

DC 20581.

Executive Director at the 

Commission’s Washington, 

DC headquarters.

149.170(c) Equal Employment 

Opportunity Officer, 

Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581.

Equal Employment 

Opportunity Officer at the 

Commission’s Washington, 

DC headquarters.

150.4(e)(1) may designate from time to 

time

may designate

150.4(e)(2) may designate from time to 

time

may designate

150.4(e)(2) Office of Data and 

Technology

Division of Data

150.4(e)(3) Office of Data and 

Technology

Division of Data 

151.12 (section heading) Division of Market 

Oversight.

Division of Market Oversight 

or the Director of the Division 

of Data.

151.12(a) Director of the Division of 

Market Oversight or such 

other employee or 

employees as the Director 

The Commission hereby 

delegates, until it orders 

otherwise, to the Director of 

the Division of Market 
34

Oversight or, solely with 

respect to §151.12(a)(5), the 

Director of the Division of 

Data or, in either case, such 

other employee or employees 

as the appropriate Director 

may designate 

155.3(a)(1) Insure Ensure

155.4(a)(1) Insure Ensure

160.30(a) Insure Ensure

162.21(a)(1) Insure Ensure

165.3(a)(2) Commission, Three 

Lafayette Centre, 1155 21st 

Street, NW., Washington, 

DC 20581.

Whistleblower Office at the 

Commission’s Washington, 

DC headquarters.

165.7(b)(1) to the Commission by mail 

or fax to Commodity 

Futures Trading 

Commission, Three 

Lafayette Centre, 1155 21st 

Street, NW., Washington, 

DC 20581.

by mail or fax to the 

Whistleblower Office at the 

Commission’s Washington, 

DC headquarters.

165.12(c) Office of Consumer 

Education and Outreach

Market Participants Division

165.15(a)(2) Office of General Counsel Legal Division

170.12(section heading) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

170.12 Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

171.2(c) Commission’s Opinions 

Section

Legal Division’s Litigation, 

Enforcement, and Adjudication 

Section

171.8(a) Three Lafayette Centre, 

1155 21st Street, NW, 

Washington, DC 20581

at the Commission’s 

Washington, DC headquarters

171.8(b) Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581

at the Commission’s 

Washington, DC headquarters

171.28 , the Division of Swap 

Dealer and Intermediary 

the Market Participants 

Division, the Division of 
35

Oversight and the Division 

of Clearing and Risk, or the 

Division of Market 

Oversight 

Clearing and Risk, the 

Division of Market Oversight, 

or the Division of Data 

171.31(a) the Division of Swap 

Dealer and Intermediary 

Oversight, and the Division 

of Clearing and Risk or the 

Division of Market 

Oversight days.

the Market Participants 

Division, the Division of 

Clearing and Risk, the 

Division of Market Oversight, 

or the Division of Data 

190.10(a) Commodity Futures 

Trading Commission, 

Three Lafayette Centre, 

1155 21st Street, NW., 

Washington, DC 20581

at the Commission’s 

Washington, DC headquarters

190.10(b)(4) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

190.10(d)(1) Division of Swap Dealer 

and Intermediary Oversight

Market Participants Division

PART 12—RULES RELATING TO REPARATIONS

3. The authority citation for part 12 continues to read as follows: 

Authority: 7 U.S.C. 2(a)(12), 12a(5), and 18. 

4. In § 12.13, paragraph (b)(3) is revised to read as follows: 

§ 12.13 Complaint; election of procedure.

* * * * *

(b) * * *

(3) Time and place of filing of complaint. A complaint shall be filed by delivering 

a copy thereof, in proper form to the Office of Proceedings at the Commission’s 

Washington, DC headquarters. The complaint may be filed in person, during normal 

business hours, or by certified mail, or registered mail with return receipt requested. The 

complaint shall not be served on any person or party named therein. Upon the filing of 
36

the complaint and the appropriate filing fee, the Proceedings Clerk shall assign a docket 

number to the matter and shall maintain the official docket.

* * * * * 

5. In § 12.18, paragraph (e) is revised to read as follows:

§ 12.18 Answer; election of procedure.

* * * * *

(e) Time and place of filing an answer. An answer shall be filed by delivering 

a copy thereof, in proper form to the Office of Proceedings at the Commission’s 

Washington, DC headquarters. The answer may be filed in person, during normal 

business hours, or by certified mail, or registered mail with return receipt requested.

* * * * * 

PART 140— ORGANIZATION, FUNCTIONS, AND PROCEDURES OF THE 

COMMISSION

6. The authority citation for part 140 continues to read as follows: 

Authority: 7 U.S.C. 2(a)(12), 12a, 13(c), 13(d), 13(e), and 16(b).

7. In § 140.99, paragraph (d)(2)(i) is revised to read as follows:

§140.99 Requests for exemptive, no action and interpretative letters

* * * * *

(d)* * *

(2)(i)(A) A request for a Letter relating to the provisions of the Act or the 

Commission's rules, regulations or orders governing designated contract markets, 

registered swap execution facilities, registered foreign boards of trade, the nature of 

particular transactions and whether they are exempt or excluded from being required to 

be traded on one of the foregoing entities, made available for trading determinations, 
37

position limits, hedging exemptions, or position aggregation treatment shall be filed with 

the Director, Division of Market Oversight, Commodity Futures Trading Commission, at 

the Commission’s Washington, DC headquarters.

(B) A request for a Letter relating to the provisions of the Act or the 

Commission's rules, regulations (including, but not limited to, those in parts 43, 44, 45, 

46 and 49) or orders governing data or reporting, swap data repositories, the reporting of-

- or maintenance of records regarding--swap data, swap transaction and pricing data, 

market positions, market data, daily trade and supporting data reports shall be filed with 

the Director, Division of Data at the Commission’s Washington, DC headquarters. To 

the extent the subject of a Letter relates to the reporting or recordkeeping of commodity 

interest data, a copy of the Letter shall be filed with the Division of Data at the foregoing 

address and submitted pursuant to paragraph (d)(2)(iv) of this section.

* * * * *

Issued in Washington, DC, on December 10, 2020, by the Commission.

Robert Sidman

Deputy Secretary of the Commission.

NOTE: The following appendices will not appear in the Code of Federal Regulations.

Appendices to—Revision of Certain Provisions to Incorporate Changes in the 

Commission’s Administrative Structure, Remove Superfluous Verbiage, and 

Correct Inaccurate Text Voting Summary and Commissioner’s Statement

Appendix 1—Voting Summary
38

On this matter, Chairman Tarbert and Commissioners Quintenz, Behnam, Stump, 

and Berkovitz voted in the affirmative. No Commissioner voted in the negative. 

Appendix 2—Concurring Statement of Commissioner Dan M. Berkovitz

I concur in issuing the final rule that revises certain provisions of the 

Commission’s regulations to reflect recent changes to the CFTC’s administrative 

structure (Final Rule). The Final Rule changes dozens of references to various CFTC 

divisions and offices and the respective directors thereof, as well as certain addresses of 

CFTC offices, in accordance with the realignment.

The realignment was undertaken at the Chairman’s direction. Approval of the 

reorganization itself is not the subject of the Final Rule, and such approval has not 

otherwise been requested of the Commission.1 Rather, the Final Rule is necessary to 

change delegation authorities and reference the appropriate officials or offices for filings, 

notices, and other correspondence. As a Commissioner, I have a ministerial duty to 

maintain the accuracy of our regulations and therefore I concur in adoption of the Final 

Rule.

 

1 Accordingly, my approval of the Final Rule should not be viewed as approval of the reorganization itself.