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Electronic Code of Federal Regulations

e-CFR data is current as of April 2, 2020

Title 17Chapter IPart 171


TITLE 17—Commodity and Securities Exchanges

CHAPTER I—COMMODITY FUTURES TRADING COMMISSION (CONTINUED)

PART 171—RULES RELATING TO REVIEW OF NATIONAL FUTURES ASSOCIATION DECISIONS IN DISCIPLINARY, MEMBERSHIP DENIAL, REGISTRATION AND MEMBER RESPONSIBILITY ACTIONS

rule

Subpart A—GENERAL PROVISIONS

§171.1
Scope of rules.
§171.2
Definitions.
§171.3
Business address; hours.
§171.4
Computation of time.
§171.5
Extension of time.
§171.6
Ex parte communications.
§171.7
[Reserved]
§171.8
Filing with the Proceedings Clerk.
§171.9
Service.
§171.10
Motions.
§171.11
Sanctions.
§171.12
Settlement.
§171.13
Practice before the Commission.
§171.14
Waiver of rules.
rule

Subpart B—NOTICE AND EFFECTIVE DATE OF FINAL DECISIONS IN DISCIPLINARY, MEMBERSHIP DENIAL AND REGISTRATION ACTIONS

§171.20
[Reserved]
§171.21
Notice of final decision.
§171.22
Effective date of final decisions in disciplinary, membership denial and registration actions.
§171.23
Notice of appeal.
§171.24
Submission of the record.
§171.25
Appeal brief.
§171.26
Answering brief.
§171.27
Limited participation by interested persons.
§171.28
Participation by Commission staff.
rule

Subpart C—COMMISSION REVIEW OF FINAL DECISIONS IN DISCIPLINARY, MEMBERSHIP DENIAL AND REGISTRATION ACTIONS

§171.30
Scope of review.
§171.31
Commission review in the absence of an appeal.
§171.32
Oral argument.
§171.33
Final decision by the Commission.
§171.34
Standards of review.
rule

Subpart D—COMMISSION REVIEW OF DECISIONS BY THE NATIONAL FUTURES ASSOCIATION IN MEMBER RESPONSIBILITY ACTIONS

§171.40
Notice of the commencement of a member responsibility action.
§171.41
Petition for a stay of effective date of a member responsibility action pending a hearing by the National Futures Association.
§171.42
Notice of a final decision of the National Futures Association in a member responsibility action.
§171.43
Petition for a stay of the effective date of a final decision of the National Futures Association in a member responsibility action.
§171.44
Notice of appeal.
§171.45
General procedures.
§171.46
Standards of review.
rule

Subpart E—DELEGATION OF FUNCTIONS

§171.50
Delegation to the General Counsel.

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