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Part 3
FEDERAL · 17 CFR
Part 3 — Registration
35 sections · Title 17: Commodity and Securities Exchanges
§ 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
§§ 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
§§ 3.13-3.20 [Reserved]
§ 3.21
Exemption from fingerprinting requirement in certain cases.
§ 3.22
Supplemental filings.
§ 3.23-3.29
§§ 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.
§ 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.
§ 3.50
Service.
§ 3.51
Withdrawal of application for registration.
§ 3.52-3.54
§§ 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
§ 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.
§ 3.70
Notification of certain information regarding associated persons.
§ 3.75
Delegation and reservation of authority.