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Home Page > Executive Branch > Code of Federal Regulations > Electronic Code of Federal Regulations
e-CFR Data is current as of February 4, 2010
TITLE 17--Commodity and Securities Exchanges
CHAPTER I--COMMODITY FUTURES TRADING COMMISSION
PART 3--REGISTRATION
Subpart A--REGISTRATION
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| Registration processing by the National Futures Association; notification and duration of registration. |
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| Registration in one capacity not included in registration in any other capacity. |
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| Registration of futures commission merchants, introducing brokers, commodity trading advisors, commodity pool operators and leverage transaction merchants. |
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| Registration of floor brokers and floor traders. |
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| Registration of associated persons of futures commission merchants, introducing brokers, commodity trading advisors, commodity pool operators and leverage transaction merchants. |
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| Registration of agricultural trade option merchants and their associated persons. |
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| Exemption from fingerprinting requirement in certain cases. |
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| Current address for purpose of delivery of communications from the Commission or the National Futures Association. |
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| Deficiencies, inaccuracies, and changes, to be reported. |
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| Withdrawal from registration. |
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Subpart B--TEMPORARY LICENSES
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| Temporary licensing of applicants for associated person, floor broker or floor trader registration. |
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| Relationship to registration. |
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| Temporary licensing of applicants for guaranteed introducing broker registration. |
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| Restrictions upon activities. |
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| Relationship to registration. |
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Subpart C--DENIAL, SUSPENSION OR REVOCATION OF REGISTRATION
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| Withdrawal of application for registration. |
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| Suspension and revocation of registration pursuant to section 8a(2) of the Act. |
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| Suspension or modification of registration pursuant to section 8a(11) of the Act. |
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| Proceedings under section 8a(2)(E) of the Act. |
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| Procedure to deny, condition, suspend, revoke or place restrictions upon registration pursuant to sections 8a(2), 8a(3) and 8a(4) of the Act. |
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| Extensions of time for proceedings brought under 3.55, 3.56, and 3.60 of this part. |
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| Service of order issued by an Administrative Law Judge or the Commission. |
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| Procedure to lift or modify conditions or restrictions. |
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Subpart D--NOTICE UNDER SECTION 4K(5) OF THE ACT
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| Notification of certain information regarding associated persons. |
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Subpart E--DELEGATION AND RESERVATION OF AUTHORITY
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| Delegation and reservation of authority. |
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| Appendix A to Part 3
--Interpretative Statement With Respect to Section 8(2)(C) and (E) and Section 8(3)(J) and (M) of the Commodity Exchange Act |
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