Title 17

PART 171

Part 171 - Rules Relating To Review Of National Futures Association Decisions In Disciplinary, Membership Denial, Registration And Member Responsibility Actions

PART 171 - RULES RELATING TO REVIEW OF NATIONAL FUTURES ASSOCIATION DECISIONS IN DISCIPLINARY, MEMBERSHIP DENIAL, REGISTRATION AND MEMBER RESPONSIBILITY ACTIONS Authority:7 U.S.C. 4a, 12a and 21, unless otherwise noted. Source:55 FR 41068, Oct. 9, 1990, unless otherwise noted.

17:2.0.1.1.31.1SUBPART A
Subpart A - General Provisions
17:2.0.1.1.31.1.1.1SECTION 171.1
   171.1 Scope of rules.
17:2.0.1.1.31.1.1.2SECTION 171.2
   171.2 Definitions.
17:2.0.1.1.31.1.1.3SECTION 171.3
   171.3 Business address; hours.
17:2.0.1.1.31.1.1.4SECTION 171.4
   171.4 Computation of time.
17:2.0.1.1.31.1.1.5SECTION 171.5
   171.5 Extension of time.
17:2.0.1.1.31.1.1.6SECTION 171.6
   171.6 Ex parte communications.
17:2.0.1.1.31.1.1.7SECTION 171.7
   171.7 [Reserved]
17:2.0.1.1.31.1.1.8SECTION 171.8
   171.8 Filing with the Proceedings Clerk.
17:2.0.1.1.31.1.1.9SECTION 171.9
   171.9 Service.
17:2.0.1.1.31.1.1.10SECTION 171.10
   171.10 Motions.
17:2.0.1.1.31.1.1.11SECTION 171.11
   171.11 Sanctions.
17:2.0.1.1.31.1.1.12SECTION 171.12
   171.12 Settlement.
17:2.0.1.1.31.1.1.13SECTION 171.13
   171.13 Practice before the Commission.
17:2.0.1.1.31.1.1.14SECTION 171.14
   171.14 Waiver of rules.
17:2.0.1.1.31.2SUBPART B
Subpart B - Notice and Effective Date of Final Decisions in Disciplinary, Membership Denial and Registration Actions
17:2.0.1.1.31.2.1.1SECTION 171.20
   171.20 [Reserved]
17:2.0.1.1.31.2.1.2SECTION 171.21
   171.21 Notice of final decision.
17:2.0.1.1.31.2.1.3SECTION 171.22
   171.22 Effective date of final decisions in disciplinary, membership denial and registration actions.
17:2.0.1.1.31.2.1.4SECTION 171.23
   171.23 Notice of appeal.
17:2.0.1.1.31.2.1.5SECTION 171.24
   171.24 Submission of the record.
17:2.0.1.1.31.2.1.6SECTION 171.25
   171.25 Appeal brief.
17:2.0.1.1.31.2.1.7SECTION 171.26
   171.26 Answering brief.
17:2.0.1.1.31.2.1.8SECTION 171.27
   171.27 Limited participation by interested persons.
17:2.0.1.1.31.2.1.9SECTION 171.28
   171.28 Participation by Commission staff.
17:2.0.1.1.31.3SUBPART C
Subpart C - Commission Review of Final Decisions in Disciplinary, Membership Denial and Registration Actions
17:2.0.1.1.31.3.1.1SECTION 171.30
   171.30 Scope of review.
17:2.0.1.1.31.3.1.2SECTION 171.31
   171.31 Commission review in the absence of an appeal.
17:2.0.1.1.31.3.1.3SECTION 171.32
   171.32 Oral argument.
17:2.0.1.1.31.3.1.4SECTION 171.33
   171.33 Final decision by the Commission.
17:2.0.1.1.31.3.1.5SECTION 171.34
   171.34 Standards of review.
17:2.0.1.1.31.4SUBPART D
Subpart D - Commission Review of Decisions by the National Futures Association In Member Responsibility Actions
17:2.0.1.1.31.4.1.1SECTION 171.40
   171.40 Notice of the commencement of a member responsibility action.
17:2.0.1.1.31.4.1.2SECTION 171.41
   171.41 Petition for a stay of effective date of a member responsibility action pending a hearing by the National Futures Association.
17:2.0.1.1.31.4.1.3SECTION 171.42
   171.42 Notice of a final decision of the National Futures Association in a member responsibility action.
17:2.0.1.1.31.4.1.4SECTION 171.43
   171.43 Petition for a stay of the effective date of a final decision of the National Futures Association in a member responsibility action.
17:2.0.1.1.31.4.1.5SECTION 171.44
   171.44 Notice of appeal.
17:2.0.1.1.31.4.1.6SECTION 171.45
   171.45 General procedures.
17:2.0.1.1.31.4.1.7SECTION 171.46
   171.46 Standards of review.
17:2.0.1.1.31.5SUBPART E
Subpart E - Delegation of Functions
17:2.0.1.1.31.5.1.1SECTION 171.50
   171.50 Delegation to the General Counsel.