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.