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Title 17

Displaying title 17, up to date as of 9/21/2021. Title 17 was last amended 9/01/2021.
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Title 17 Commodity and Securities Exchanges Part / Section
Chapter I Commodity Futures Trading Commission 1 – 199
Part 3 Registration 3.1 – 3.75
Subpart A Registration 3.1 – 3.33
Subpart B Temporary Licenses 3.40 – 3.47
§ 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 – 3.64
Subpart D Notice Under Section 4k(5) of the Act 3.70
§ 3.70 Notification of certain information regarding associated persons.
Subpart E Delegation and Reservation of Authority 3.75
§ 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