Title 17

PART 3

Part 3 - Registration

PART 3 - REGISTRATION Authority:5 U.S.C. 552, 552b; 7 U.S.C. 1a, 2, 6a, 6b, 6b-1, 6c, 6d, 6e, 6f, 6g, 6h, 6i, 6k, 6m, 6n, 6o, 6p, 6s, 8, 9, 9a, 12, 12a, 13b, 13c, 16a, 18, 19, 21, and 23. Source:45 FR 80491, Dec. 5, 1980, unless otherwise noted.

17:1.0.1.1.3.1SUBPART A
Subpart A - Registration
17:1.0.1.1.3.1.7.1SECTION 3.1
   3.1 Definitions.
17:1.0.1.1.3.1.7.2SECTION 3.2
   3.2 Registration processing by the National Futures Association; notification and duration of registration.
17:1.0.1.1.3.1.7.3SECTION 3.3
   3.3 Chief compliance officer.
17:1.0.1.1.3.1.7.4SECTION 3.4
   3.4 Registration in one capacity not included in registration in any other capacity.
17:1.0.1.1.3.1.7.5SECTION 3.5-3.9
   3.5-3.9 [Reserved]
17:1.0.1.1.3.1.7.6SECTION 3.10
   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.
17:1.0.1.1.3.1.7.7SECTION 3.11
   3.11 Registration of floor brokers and floor traders.
17:1.0.1.1.3.1.7.8SECTION 3.12
   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.
17:1.0.1.1.3.1.7.9SECTION 3.13-3.20
   3.13-3.20 [Reserved]
17:1.0.1.1.3.1.7.10SECTION 3.21
   3.21 Exemption from fingerprinting requirement in certain cases.
17:1.0.1.1.3.1.7.11SECTION 3.22
   3.22 Supplemental filings.
17:1.0.1.1.3.1.7.12SECTION 3.23-3.29
   3.23-3.29 [Reserved]
17:1.0.1.1.3.1.7.13SECTION 3.30
   3.30 Current address for purpose of delivery of communications from the Commission or the National Futures Association.
17:1.0.1.1.3.1.7.14SECTION 3.31
   3.31 Deficiencies, inaccuracies, and changes, to be reported.
17:1.0.1.1.3.1.7.15SECTION 3.33
   3.33 Withdrawal from registration.
17:1.0.1.1.3.2SUBPART B
Subpart B - Temporary Licenses
17:1.0.1.1.3.2.7.1SECTION 3.40
   3.40 Temporary licensing of applicants for associated person, floor broker or floor trader registration.
17:1.0.1.1.3.2.7.2SECTION 3.42
   3.42 Termination.
17:1.0.1.1.3.2.7.3SECTION 3.43
   3.43 Relationship to registration.
17:1.0.1.1.3.2.7.4SECTION 3.44
   3.44 Temporary licensing of applicants for guaranteed introducing broker registration.
17:1.0.1.1.3.2.7.5SECTION 3.45
   3.45 Restrictions upon activities.
17:1.0.1.1.3.2.7.6SECTION 3.46
   3.46 Termination.
17:1.0.1.1.3.2.7.7SECTION 3.47
   3.47 Relationship to registration.
17:1.0.1.1.3.3SUBPART C
Subpart C - Denial, Suspension or Revocation of Registration
17:1.0.1.1.3.3.7.1SECTION 3.50
   3.50 Service.
17:1.0.1.1.3.3.7.2SECTION 3.51
   3.51 Withdrawal of application for registration.
17:1.0.1.1.3.3.7.3SECTION 3.52-3.54
   3.52-3.54 [Reserved]
17:1.0.1.1.3.3.7.4SECTION 3.55
   3.55 Suspension and revocation of registration pursuant to section 8a(2) of the Act.
17:1.0.1.1.3.3.7.5SECTION 3.56
   3.56 Suspension or modification of registration pursuant to section 8a(11) of the Act.
17:1.0.1.1.3.3.7.6SECTION 3.57
   3.57 Proceedings under section 8a(2)(E) of the Act.
17:1.0.1.1.3.3.7.7SECTION 3.60
   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.
17:1.0.1.1.3.3.7.8SECTION 3.61
   3.61 Extensions of time for proceedings brought under § 3.55, § 3.56, and § 3.60 of this part.
17:1.0.1.1.3.3.7.9SECTION 3.62
   3.62 [Reserved]
17:1.0.1.1.3.3.7.10SECTION 3.63
   3.63 Service of order issued by an Administrative Law Judge or the Commission.
17:1.0.1.1.3.3.7.11SECTION 3.64
   3.64 Procedure to lift or modify conditions or restrictions.
17:1.0.1.1.3.4SUBPART D
Subpart D - Notice Under Section 4k(5) of the Act
17:1.0.1.1.3.4.7.1SECTION 3.70
   3.70 Notification of certain information regarding associated persons.
17:1.0.1.1.3.5SUBPART E
Subpart E - Delegation and Reservation of Authority
17:1.0.1.1.3.5.7.1SECTION 3.75
   3.75 Delegation and reservation of authority.
17:1.0.1.1.3.6SUBPART 0
17:1.0.1.1.3.7.7.1.4APPENDIX Appendix A
   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
17:1.0.1.1.3.7.7.1.5APPENDIX Appendix B
   Appendix B to Part 3 - Statement of Acceptable Practices With Respect to Ethics Training
17:1.0.1.1.3.7.7.1.6APPENDIX Appendix C
   Appendix C to Part 3 - Guidance on the Application of § 3.3(e), Chief Compliance Officer Annual Report Form and Content