General Counsel of the Commission a statement as to the nature thereof together with any desired explanation as to why it is deemed consistent with this section. Employment of a recurrent character may be covered by a single comprehensive statement. Each such statement should include an appropriate caption indicating that it is filed pursuant to this section. The reporting requirements of this paragraph do not apply to communications incidental to court appearances in litigation involving the Commission. As used in this section, the term "appear before the Commission" means personal appearance before or personal communication with the Commission, or any member or employee thereof, in connection with any interpretation or matter of substance arising under the statutory provisions administered by the Commission. As used in this section, the term "representative" or "representative capacity" shall include not only the usual type of representation by an attorney, but also representation of a corporation in the capacity of an officer, director, or controlling stockholder thereof.

(d) Advisory rulings. Persons in doubt as to the applicability of this section may apply for an advisory ruling of the Commission by addressing a letter requesting an advisory ruling to the Office of General Counsel.

[41 FR 27511, July 2, 1976, as amended at 42 FR 15902, Mar. 24, 1977]

§ 140.735-11 Action in case of personal interest.

Any employee assigned to work on any application, filing or matter of a company (a) in which he or his spouse or his minor child or any other relatives who are residents of his immediate household then own any securities or have a personal interest, including a continuing financial interest through a pension or retirement plan, shared income, or other arrangement, as a result of any current or prior employment or business or professional association; or (b) with which he has been employed or associated in the past; or (c) which was a client of a firm with which he had been associated shall immediately advise the division director

or other office head in writing of all pertinent facts. Division directors and other office heads are authorized to direct the reporting employee to continue with the assignment in question where the interest is not so substantial as to be likely to affect the integrity of the services which the Government may expect from the employee and where it appears in the interest of the Government, taking into account (1) the prohibitions stated in this subpart; (2) the general desirability of avoiding situations that raise a question of conflict of interest or the appearance of a conflict of interest; (3) the extent to which the employee's activities will be supervised; and (4) the difficulty of assigning the matter to some other employee. Where the employee in question is not relieved of the assignment, his written report concerning the nature of his interest shall be forwarded by the division director or other office head to the General Counsel with a notation that he has been directed to continue the assignment, together with such explanation, if any, as may seem appropriate. In the event that a division director or other office head deems that he has, himself, such personal interest in an application, filing or matter of a company as may raise a question as to his disinterestedness, he may delegate his responsibility with regard thereto to a subordinate, but in that event shall submit a brief memorandum of the circumstances to the General Counsel.

§ 140.735-12 Statutory provisions applicable to conduct of Commission members and employees.

Each member and employee is responsible for acquainting himself with each statute that relates to his ethical and other conduct as an employee of the Commission and of the Government, including the statutory provisions listed below. Violations of any of these statutes are deemed to be violations of the rules in this subpart as well. 22

22Copies of these and other pertinent statutes, regulations and orders are on file in the Office of the General Counsel in Washington, D.C., and in each Regional Office of the Commission and available for review by all Commission members and employees.

(a) Sections 2(a)(7), 9(d) and 9(e) of the Commodity Exchange Act.

(b) House Concurrent Resolution 175, 85th Congress, 2d Session, 72 Stat. B12, the "Code of Ethics for Government Service."

(c) Chapter 11 of title 18, United States Code, relating to bribery, graft, and conflict of interests, as appropriate to the employees concerned.

(d) The prohibition against lobbying with appropriated funds (18 U.S.C. 1913).

(e) The prohibitions against disloyalty and striking (5 U.S.C. 7311, 18 U.S.C. 1918).

(f) The prohibitions against (1) the disclosure of classified information (18 U.S.C. 798, 50 U.S.C. 783); and (2) disclosure of confidential information (18 U.S.C. 1905).

(g) The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 7352).

(h) The prohibition against the misuse of a Government vehicle (31 U.S.C. 638a(c)).

(i) The prohibition against the misuse of the franking privilege (18 U.S.C. 1719).

(j) The prohibition against the use of deceit in an examination or personnel action in connection with Government employment (18 U.S.C. 1917).

(k) The prohibition against fraud or false statements in a Government matter (18 U.S.C. 1001).

(1) The prohibition against mutilating or destroying a public record (18 U.S.C. 2071).

(m) The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508).

(n) The prohibitions against (1) embezzlement of Government money or property (18 U.S.C. 641); (2) failing to account for public money (18 U.S.C. 643); and (3) embezzlement of the money or property of another person in the possession of an employee by reason of his employment (18 U.S.C. 654).

(o) The prohibition against unauthorized use of documents relating to claims from or by the Government (18 U.S.C. 285).

(p) The prohibitions against political activities in subchapter III of chapter

73 of title 5, United States Code and 18 U.S.C. 602, 603, 607 and 608.

(q) The prohibition against an employee acting as the agent of a foreign principal registered under the Foreign Agents Registration Act (18 U.S.C. 219).

[41 FR 27511, July 2, 1976, as amended at 42 FR 15902, Mar. 24, 1977]

§ 140.735-13 Special Government employ

ees.

(a) Definition. Special Government employee means a "special Government employee" as defined in section 202 of Title 18 of the United States Code who is employed in the executive branch. In the Commission these employees usually are experts and consultants.

(b) Applicability of this subpart to special Government employees. All provisions of this subpart applicable to regular Commission employees are applicable to special Government employees, except § 140.735-5(a)(ii) (furnishing of commodity-related advice; provided, however, that this particular exception applies only if a special Government employee of the Commission has not personally and substantially participated in the matter and has served with the Commission no more than 60 days during the immediately preceding period of 365 consecutive days), § 140.735-5(e) (obtaining prior approval for outside employment), § 140.735-5(f) prohibition upon association of name with professional firm), and § 140.735-7 (filing statement of employment and financial interests), unless the Commission deems it necessary or appropriate in the public interest that the employee be subject to any of these provisions. 23 Additional specific provisions applicable to special Government employees are listed in paragraph (c) of this section.

(c) Prohibitions. A special Government employee shall not:

(1) Use his Government employment for a purpose that is, or gives the ap

23 Particular attention is directed to the fact that the prohibitions of sections 2a(7), 9(d) and 9(e) of the Commodity Exchange Act apply to special Government employees employed by the Commission as well as regular Commission employees.

pearance of being, motivated by the desire for private gain for himself or another person, particularly one with whom he has family, business, or financial ties;

(2) Use information obtained as a result of his Government employment for private gain for himself or another person either by direct action on his part or by counsel, recommendation, or suggestion to another person, particularly one with whom he has family, business, or financial ties. For purposes of this subparagraph, “information" means information obtained under Government authority which has not become part of the body of public information. A special Government employee may teach, lecture, or write provided he meets the requirements of § 140.735–5 (c) and (e);

(3) Use his Government employment to coerce, or give the appearance of coercing, a person to provide financial benefit to himself or another person, particularly one with whom he has family, business or financial ties; or

(4) Receive or solicit from a person having business with the Commission anything of value as a gift, gratuity, loan, entertainment, or favor for himself or another person, particularly one with whom he has family, business, or financial ties. The same exхсерtions in § 140.735-8(b) applicable to regular employees are also applicable to special Government employees.

(d) Statement of employment and financial interests. Prior to entrance on duty, each special Government employee shall submit to the Director of Personnel a statement of employment and financial interests which reports (1) all other employment, and (2) the financial interests of the special Government employee which the Commission determines are relevant in the light of the duties he is to perform. Statements shall be on CFTC Form 70 and shall be kept current throughout the period of employment by the filing of supplementary statements in accordance with the requirements of § 140.735-7(d). This paragraph shall not be construed as requiring the submission of information referred to in § 140.735-7(e) (information not known by employee). Paragraphs (f), (g) and (h) of § 140.735-7 shall be applicable

with respect to statements required under this section.

(e) Waiver of requirement of filing statement. The Commission may waive the requirement of paragraph (d) of this section in the case of a special Government employee who is not a "consultant" or an "expert," as those terms are defined in Chapter 304 of the Federal Personnel Manual if the duties of the position are determined to be at a level of responsibility which does not require the submission of such statement to protect the integrity of the Commission.

§ 140.735-14 Other standards of conduct. (a) Office gifts. A Commission member or employee shall not solicit a contribution from another employee for a gift to an employee in a superior position. An employee in a superior official position shall not accept a gift presented as a contribution from employees receiving less salary than himself. An employee shall not accept a gift presented as a contribution from employees receiving less salary than himself. An employee shall not make a donation as a gift to an employee in a superior official position (5 U.S.C. 7351). However, this subparagraph does not prohibit the use of completely voluntary contributions of nominal amounts by employees within the Commission to establish funds for the limited purpose of providing token remembrances or gifts of nominal value in situations such as death, illness, marriage, birth or retirement.

(b) Gifts from foreign governments. A Commission member or employee shall not accept a gift, present, decoration, or other thing of value from a foreign government unless authorized by Congress as provided by the Constitution and in 5 U.S.C. 7342.

(c) Gambling, betting and lotteries. An employee shall not participate, while on Government-owned or leased property or while on duty for the Government, in any gambling activity including the operation of a gambling device, in conducting a lottery or pool, in a game for money or property, or in selling or purchasing a numbers slip or ticket. However, this section does not preclude activities:

(1) Necessitated by an employee's law enforcement duties; or

(2) Under section 3 of Executive Order 10927, pertaining to fund-raising activities conducted by employee organizations.

(d) General conduct prejudicial to the government. An employee shall not engage in criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct, or other conduct prejudicial to the Government.

(e) Use of Government property. An employee shall not directly or indirectly use, or allow the use of, Government property of any kind, including property leased to the Government, for other than officially approved activities. An employee has a positive duty to protect and conserve Government property, including equipment, supplies and other property entrusted or issued to him.

(f) Indebtedness. The Commission considers the indebtedness of its members and employees to be essentially a matter of their own concern. The Commission will not be placed in the position of acting as a collection agency or of determining the validity or amount of contested debts. Nevertheless, failure on the part of an employee without good reason and in a proper and timely manner to honor debts acknowledged by him to be valid or reduced to judgement by a court or imposed by law, such as federal, state or local taxes, or to make or to adhere to satisfactory arrangement for the settlement thereof, may be cause for disciplinary action. For purposes of this section, "in a proper and timely manner" means in a manner which the Commission determines does not, under the circumstances, reflect adversely on the Government as his employer.

alty prescribed by law. Departure from any of the rules in this subpart by former members and employees may be cause for disqualification from appearing and practicing before the Commission, which may be in addition to any penalty prescribed by law. In a situation in which a conflict of interests or appearance of a conflict of interests arises and when, after consideration of the required explanations as provided by § 140.735-7(h), no resolution of the conflict or apparent conflict has resulted, the Commission may decide that remedial action is required. In such case, the Commission will initiate immediate action to end the conflict or appearance of conflict of interests. Remedial action may include but is not limited to: (a) Changes in assigned duties; (b) disposition or divestment by the employee or special Government employee of his conflicting interest; (c) disciplinary action; or (d) disqualification from a particular assignment. Remedial action, whether disciplinary or otherwise, shall be effected in accordance with any applicable laws, Executive Orders, and regulations.

§ 140.735-16 Interpretative and advisory service.

(a) Counselor for the Commission. The General Counsel, or his designee, will serve as Counselor for the Commission and as the Commission's representative to the Civil Service Commission on matters covered by this Part.

(b) Duties of the Counselor. The Counselor shall:

(1) Coordinate the agency's counseling services and assure that counseling and interpretations on questions of conflict of interests and other matters covered by the regulations in this sub

ee of the Commission shall secure or attempt to secure the employment of a blood relative by the Commission.

§ 140.735-15 Disciplinary and other remedial action.

A violation of the regulations in this subpart by an employee or special Government employee may be cause for appropriate disciplinary action which may be in addition to any pen

al Deputy Counselors, who shall be appointed by the General Counsel, in coordination with the Chairman of the Commission, for each Regional Office of the Commission;

(2) Render authoritative advice and guidance on matters covered by the regulations in this subpart which are presented to him by employees in the Washington, D.C., headquarters office;

and

(3) Receive information on, and resolve or forward to the Commission for consideration, any conflict of interests or apparent conflict of interests which appears in the Statements of Employment and Financial Interests submitted under this subpart, which is not resolved by the Director of Personnel, and any other conflict of or apparent conflict of interests which otherwise appears.

(c) Regional Deputy Counselors. Regional Deputy Counselors shall:

(1) Give advice and guidance when requested to the employees assigned to their respective Regional Offices; and

(2) Receive information on and attempt to resolve, or refer to the Director of Personnel, any conflict of interests or appearance of conflict of interests in Statements of Employment and Financial Interests submitted by employees to whom they are required to give advice and guidance.

(d) Confidentiality of communications. Communications between the Counselor and Regional Deputy Counselors and an employee shall be confidential, except as deemed necessary by the Commission or the Counselor to carry out the purposes of this subpart and of the laws of the United States. 24

(e) Furnishing of conduct regulations. The Director of Personnel shall furnish a copy of this Conduct Regulation to each member, employee and special Government employee immediately upon issuance and to each new member and new employee upon his entrance on duty and shall thereafter, annually, and at such other times as circumstances warrant, bring to the attention of each member and employee this Conduct Regulation and all revisions thereof.

(f) Availability of counseling services. The Director of Personnel shall notify each member, employee and

24 No attorney-client privilege, however, attaches to such communications since the counselors are counsel to the Commission, not for the employce. Thus, any evidence of criminal law violations divulged by an employee to the counselor must be reported by the latter to the Commission, which may refer the matter to the Criminal Division of the Department of Justice and the United States Attorney in whose venue the violations lie.

145.8 Fees for records services. 145.9 Petition for confidential treatment of certain information submitted to the Commission.

145.9a Appendix A-Compilation of Commission Records available to the public. [Reserved]

145.9b Appendix B-Schedule of fees.

AUTHORITY: Pub. L. 89-554, 80 Stat. 383, Pub. L. 90-23, 81 Stat. 54, and Pub. L. 93502, 88 Stat. 1561-1564 (5 U.S.C. 552); Sec. 101(a), Pub. L. 93-463, 88 Stat. 1389 (7 U.S.C. 4a(j)).

SOURCE: 41 FR 16290, Apr. 16, 1976, unless otherwise noted.

§ 145.1 Information published in the Federal Register.

Except as provided in § 145.5, pertaining to nonpublic matters, the following materials shall be published in the FEDERAL REGISTER for the guidance of the public:

(a) Description of the Commission's central and field organization and the established place at which, the employees from whom, and the methods whereby the public may obtain information, make submittals or requests, or obtain decisions;

(b) Statements of the general course and method by which the Commission's functions are channeled and determined, including the nature and re