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e-CFR data is current as of September 18, 2020

Title 17Chapter IPart 3


TITLE 17—Commodity and Securities Exchanges

CHAPTER I—COMMODITY FUTURES TRADING COMMISSION

PART 3—REGISTRATION

rule

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.
rule

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.
rule

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.
rule

Subpart D—NOTICE UNDER SECTION 4K(5) OF THE ACT

§3.70
Notification of certain information regarding associated persons.
rule

Subpart E—DELEGATION AND RESERVATION OF AUTHORITY

§3.75
Delegation and reservation of authority.
rule

   

Appendix
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
Appendix B to Part 3—Statement of Acceptable Practices With Respect to Ethics Training
Appendix
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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