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Code of Federal Regulations (Last Updated: April 5, 2024) |
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Title 17 - Commodity and Securities Exchanges |
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Chapter I - Commodity Futures Trading Commission |
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Part 3 - Registration |
| 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. |
| § 3.11 - Registration of floor brokers and floor traders. |
| § 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 |