[Code of Federal Regulations]
[Title 17, Volume 1]
[Revised as of April 1, 2007]
From the U.S. Government Printing Office via GPO Access
[CITE: 17CFR145.6]

[Page 524-525]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER I--COMMODITY FUTURES TRADING COMMISSION
 
PART 145_COMMISSION RECORDS AND INFORMATION--Table of Contents
 
Sec.  145.6  Commission offices to contact for assistance; registration 

records available.

    (a) Whenever this part directs that a request be directed to the 
FOI, Privacy and Sunshine Acts compliance staff at the principal office 
of the Commission in Washington, DC, the request shall be made in 
writing and shall be addressed or otherwise directed to the Assistant 
Secretary for FOI, Privacy and Sunshine Acts Compliance, Office of the 
Secretariat, 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 
Sec. Sec.  145.0(c) and 145.2 should be sent to:

Commodity Futures Trading Commission, 140 Broadway, New York, New York 
10005, Telephone: (646) 746-9700
Commodity Futures Trading Commission, 525 West Monroe Street, Suite 1100 
North, Chicago, Illinois 60661, Telephone: (312) 596-0700
Commodity Futures Trading Commission, 510 Grain Exchange Building, 
Minneapolis, Minnesota 55415, Telephone: (612) 370-3255
Commodity Futures Trading Commission, 4900 Main Street, Suite 721, 
Kansas City, Missouri 64112, Telephone: (816) 931-7600

    (b)(1) The publicly available portions of Form 7-R (application for 
registration as a futures commission merchant, introducing broker, 
commodity

[[Page 525]]

trading advisor, commodity pool operator or leverage transaction 
merchant), Form 8-R (application for registration as an associated 
person, floor broker, floor trader and biographical supplement to 
application on Form 7-R), Form 3-R (changes and corrections; multiple 
associations) Form 8-S (certificate of special registration), Form 8-T 
(notice of termination), Form 7-W (withdrawal from firm registration) 
and Form 8-W (withdrawal from floor broker or floor trader registration) 
will be available for public inspection and copying. Such registration 
forms will be available in the offices of the National Futures 
Association, 200 West Madison Street, Chicago, Illinois 60606. 
Telephone: (312) 781-1300.
    (2) The fingerprint card and any supplementary attachments filed in 
response to:
    (i) Items 6-9, 14-21, the ``Personal Information,'' or the 
``Disciplinary Information'' sections on Form 8-R;
    (ii) Item 3 on Form 8-S;
    (iii) Items 3-5, 9-11, the ``Withdrawal Reasons,'' the 
``Disciplinary Information,'' or the ``Matter Information'' sections on 
Form 8-T;
    (iv) Items 9-10 on Form 7-R;
    (v) Item 7 and the ``Additional Customer Information'' section on 
Form 7-W; and
    (vi) Item 7 on Form 8-W generally will not be available for public 
inspection and copying unless such disclosure is required under the 
Freedom of Information Act. Changes or corrections to those items 
reported on Form 3-R will be treated similarly. When such fingerprint 
cards or supplementary attachments are on file, the FOI, Privacy and 
Sunshine Acts compliance staff will decide any request for access in 
accordance with the procedures set forth in Sec. Sec.  145.7 and 145.9.

(7 U.S.C. 2, 4, 6, and 12; secs. 2(a)(1), 4c, 4d, 4e, 4f, 4k, 4m, 4n, 
4p, 8, 8a and 19 of the Commodity Exchange Act (7 U.S.C. 2 and 4, 6c, 
6d, 6e, 6f, 6k, 6m, 6n, 6p, 12, 12a and 23 (1982)); 5 U.S.C. 552 and 
552b)

[49 FR 39534, Oct. 9, 1984, and 51 FR 26870, July 28, 1986, as amended 
at 53 FR 8435, Mar. 15, 1988; 54 FR 19886, May 9, 1989; 57 FR 29203, 
July 1, 1992; 58 FR 19597, Apr. 15, 1993; 60 FR 49335, Sept. 25, 1995; 
64 FR 26, Jan. 4, 1999; 67 FR 62353, Oct. 7, 2002; 67 FR 63539, Oct. 15, 
2002; 69 FR 41426, July 9, 2004]