Subpart A - Registration

§ 3.1 - Definitions.

§ 3.2 - Registration processing by the National Futures Association; notification and duration of registration.

§ 3.3 - Chief compliance officer.

§ 3.4 - Registration in one capacity not included in registration in any other capacity.

§ 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 - Registration of floor brokers and floor traders.

§ 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 - Registration of agricultural trade option merchants and their associated persons.

§ 3.14 - Requirements for trainers of associated persons of agricultural trade option merchants.

§ 3.21 - Exemption from fingerprinting requirement in certain cases.

§ 3.22 - Supplemental filings.

§ 3.30 - Current address for purpose of delivery of communications from the Commission or the National Futures Association.

§ 3.31 - Deficiencies, inaccuracies, and changes, to be reported.

§ 3.32 - Changes requiring new registration; addition of principals.

§ 3.33 - Withdrawal from registration.

§ 3.34 - Mandatory ethics training for registrants.

§§ 3.13--3.20 - [Reserved]

§§ 3.23--3.29 - [Reserved]

§§ 3.14--3.20 - [Reserved]

§§ 3.5--3.9 - [Reserved]

§§ 3.15--3.20 - [Reserved]

Subpart B - Temporary Licenses

§ 3.40 - Temporary licensing of applicants for associated person, floor broker or floor trader registration.

§ 3.41 - Restrictions upon activities.

§ 3.42 - Termination.

§ 3.43 - Relationship to registration.

§ 3.44 - Temporary licensing of applicants for guaranteed introducing broker registration.

§ 3.45 - Restrictions upon activities.

§ 3.46 - Termination.

§ 3.47 - Relationship to registration.

Subpart C - Denial, Suspension or Revocation of Registration

§ 3.50 - Service.

§ 3.51 - Withdrawal of application for registration.

§ 3.55 - Suspension and revocation of registration pursuant to section 8a(2) of the Act.

§ 3.56 - Suspension or modification of registration pursuant to section 8a(11) of the Act.

§ 3.57 - Proceedings under section 8a(2)(E) of the Act.

§ 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.

§ 3.61 - Extensions of time for proceedings brought under § 3.55, § 3.56, and § 3.60 of this part.

§ 3.62 - [Reserved]

§ 3.63 - Service of order issued by an Administrative Law Judge or the Commission.

§ 3.64 - Procedure to lift or modify conditions or restrictions.

§§ 3.52--3.54 - [Reserved]

Subpart D - Notice Under Section 4k(5) of the Act

§ 3.70 - Notification of certain information regarding associated persons.

Subpart E - Delegation and Reservation of Authority

§ 3.75 - Delegation and reservation of authority.

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

Appendix B to Part 3 - Statement of Acceptable Practices With Respect to Ethics Training

Appendix C to Part 3 - Guidance on the Application of § 3.3(e), Chief Compliance Officer Annual Report Form and Content