Subpart A—Registration

1. CFR
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3. Title 17
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5. Chapter I
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7. Part 3
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9. Subpart A

Sections

• 3.1
  § 3.1 Definitions.
• 3.2
  § 3.2 Registration processing by the National Futures Association; notification and duration of registration.
• 3.3
  § 3.3 Chief compliance officer.
• 3.4
  § 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
  § 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
  § 3.11 Registration of floor brokers and floor traders.
• 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.
• 3.13-3.20
  §§ 3.13-3.20 [Reserved]
• 3.21
  § 3.21 Exemption from fingerprinting requirement in certain cases.
• 3.22
  § 3.22 Supplemental filings.
• 3.23-3.29
  §§ 3.23-3.29 [Reserved]
• 3.30
  § 3.30 Current address for purpose of delivery of communications from the Commission or the National Futures Association.
• 3.31
  § 3.31 Deficiencies, inaccuracies, and changes, to be reported.
• 3.33
  § 3.33 Withdrawal from registration.