17 C.F.R. PART 3--REGISTRATION
TITLE 17--Commodity and Securities Exchanges
CHAPTER I--COMMODITY FUTURES TRADING COMMISSION
PART 3--REGISTRATION
Subpart A--REGISTRATION
|
|
| Registration processing by the National Futures Association; notification and duration of registration.
|
|
|
|
| Registration in one capacity not included in registration in any other capacity.
|
|
|
|
| Registration of futures commission merchants, introducing brokers, commodity trading advisors, commodity pool operators and leverage transaction merchants.
|
|
|
|
| Registration of floor brokers and floor traders.
|
|
|
|
| Registration of associated persons of futures commission merchants, introducing brokers, commodity trading advisors, commodity pool operators and leverage transaction merchants.
|
|
|
|
| Registration of agricultural trade option merchants and their associated persons.
|
|
|
|
| Exemption from fingerprinting requirement in certain cases.
|
|
|
|
| Current address for purpose of delivery of communications from the Commission or the National Futures Association.
|
|
|
|
| Deficiencies, inaccuracies, and changes, to be reported.
|
|
|
|
| Withdrawal from registration.
|
|
Subpart B--TEMPORARY LICENSES
|
|
| Temporary licensing of applicants for associated person, floor broker or floor trader registration.
|
|
|
|
| Relationship to registration.
|
|
|
|
| Temporary licensing of applicants for guaranteed introducing broker registration.
|
|
|
|
| Restrictions upon activities.
|
|
|
|
| Relationship to registration.
|
|
Subpart C--DENIAL, SUSPENSION OR REVOCATION OF REGISTRATION
|
|
| Withdrawal of application for registration.
|
|
|
|
| Suspension and revocation of registration pursuant to section 8a(2) of the Act.
|
|
|
|
| Suspension or modification of registration pursuant to section 8a(11) of the Act.
|
|
|
|
| Proceedings under section 8a(2)(E) of the Act.
|
|
|
|
| Procedure to deny, condition, suspend, revoke or place restrictions upon registration pursuant to sections 8a(2), 8a(3) and 8a(4) of the Act.
|
|
|
|
| Extensions of time for proceedings brought under 3.55, 3.56, and 3.60 of this part.
|
|
|
|
| Service of order issued by an Administrative Law Judge or the Commission.
|
|
|
|
| Procedure to lift or modify conditions or restrictions.
|
|
Subpart D--NOTICE UNDER SECTION 4K(5) OF THE ACT
|
|
| Notification of certain information regarding associated persons.
|
|
Subpart E--DELEGATION AND RESERVATION OF AUTHORITY
|
|
| Delegation and reservation of authority.
|
|
|
|
|
Appendix A to Part 3--Interpretative Statement With Respect to Section 8a(2)(C) and (E) and Section 8a(3)(J) and (M) of the Commodity Exchange Act
|
|
