17 CFR Part 3
PART 3—REGISTRATION
- PART 3—REGISTRATION
- Chapter I—Commodity Futures Trading Commission
- Subpart A—Registration
- § 3.1 Definitions.
- § 3.2 Registration processing by the National Futures Association; notification and duration of registration.
- § 3.3 Chief compliance officer.
- § 3.4 Registration in one capacity not included in registration in any other capacity.
- §§ 3.5-3.9 [Reserved]
- § 3.10 Registration of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators, swap dealers, major swap participants and leverage transaction merchants.
- § 3.11 Registration of floor brokers and floor traders.
- § 3.12 Registration of associated persons of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators and leverage transaction merchants.
- §§ 3.13-3.20 [Reserved]
- § 3.21 Exemption from fingerprinting requirement in certain cases.
- § 3.22 Supplemental filings.
- §§ 3.23-3.29 [Reserved]
- § 3.30 Current address for purpose of delivery of communications from the Commission or the National Futures Association.
- § 3.31 Deficiencies, inaccuracies, and changes, to be reported.
- § 3.33 Withdrawal from registration.
- Subpart B—Temporary Licenses
- § 3.40 Temporary licensing of applicants for associated person, floor broker or floor trader registration.
- § 3.42 Termination.
- § 3.43 Relationship to registration.
- § 3.44 Temporary licensing of applicants for guaranteed introducing broker registration.
- § 3.45 Restrictions upon activities.
- § 3.46 Termination.
- § 3.47 Relationship to registration.
- Subpart C—Denial, Suspension or Revocation of Registration
- § 3.50 Service.
- § 3.51 Withdrawal of application for registration.
- §§ 3.52-3.54 [Reserved]
- § 3.55 Suspension and revocation of registration pursuant to section 8a(2) of the Act.
- § 3.56 Suspension or modification of registration pursuant to section 8a(11) of the Act.
- § 3.57 Proceedings under section 8a(2)(E) of the Act.
- § 3.60 Procedure to deny, condition, suspend, revoke or place restrictions upon registration pursuant to sections 8a(2), 8a(3) and 8a(4) of the Act.
- § 3.61 Extensions of time for proceedings brought under § 3.55, § 3.56, and § 3.60 of this part.
- § 3.62 [Reserved]
- § 3.63 Service of order issued by an Administrative Law Judge or the Commission.
- § 3.64 Procedure to lift or modify conditions or restrictions.
- Subpart D—Notice Under Section 4k(5) of the Act
- § 3.70 Notification of certain information regarding associated persons.
- Subpart E—Delegation and Reservation of Authority
- § 3.75 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
- Appendix B to Part 3—Statement of Acceptable Practices With Respect to Ethics Training
- Appendix C to Part 3—Guidance on the Application of § 3.3(e), Chief Compliance Officer Annual Report Form and Content
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