Title 17

PART 170

Part 170 - Registered Futures Associations

PART 170 - REGISTERED FUTURES ASSOCIATIONS Authority:7 U.S.C. 6d, 6m, 6p, 6s, 12a, and 21. Source:44 FR 20651, Apr. 6, 1979, unless otherwise noted.

17:2.0.1.1.30.1SUBPART A
Subpart A - Standards Governing Commission Review of Applications for Registration as a Futures Association Under Section 17 of the Act
17:2.0.1.1.30.1.1.1SECTION 170.1
   170.1 Demonstration of purposes (section 17(b)(1) of the Act).
17:2.0.1.1.30.1.1.2SECTION 170.2
   170.2 Membership restrictions (section 17(b)(2) of the Act).
17:2.0.1.1.30.1.1.3SECTION 170.3
   170.3 Fair and equitable representation of members (section 17(b)(5) of the Act).
17:2.0.1.1.30.1.1.4SECTION 170.4
   170.4 Allocation of dues (section 17(b)(6) of the Act).
17:2.0.1.1.30.1.1.5SECTION 170.5
   170.5 Prevention of fraudulent and manipulative practices (section 17(b)(7) of the Act).
17:2.0.1.1.30.1.1.6SECTION 170.6
   170.6 Disciplinary proceedings (sections 17(b)(8) and (b)(9) of the Act).
17:2.0.1.1.30.1.1.7SECTION 170.7
   170.7 Membership denial (section 17(b)(9) of the Act).
17:2.0.1.1.30.1.1.8SECTION 170.8
   170.8 Settlement of customer disputes (section 17(b)(10) of the Act).
17:2.0.1.1.30.1.1.9SECTION 170.9
   170.9 General standard.
17:2.0.1.1.30.1.1.10SECTION 170.10
   170.10 Proficiency examinations (sections 4p and 17(p) of the Act).
17:2.0.1.1.30.2SUBPART B
Subpart B - Registration Statement of Futures Associations to be Submitted to the Commission
17:2.0.1.1.30.2.1.1SECTION 170.11
   170.11 Form of registration statement; review of registration statement.
17:2.0.1.1.30.2.1.2SECTION 170.12
   170.12 Delegation of Authority to Director of the Division of Swap Dealer and Intermediary Oversight.
17:2.0.1.1.30.3SUBPART C
Subpart C - Membership in a Registered Futures Association
17:2.0.1.1.30.3.1.1SECTION 170.15
   170.15 Futures commission merchants.
17:2.0.1.1.30.3.1.2SECTION 170.16
   170.16 Swap dealers and major swap participants.
17:2.0.1.1.30.3.1.3SECTION 170.17
   170.17 Introducing brokers, commodity pool operators, and commodity trading advisors.