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