Federal (United States) · Regulations
Subpart A — Registration
12 sections
12 sections
- 17 C.F.R. § 3.1Definitions.
- 17 C.F.R. § 3.2Registration processing by the National Futures Association; notification and duration of registration.
- 17 C.F.R. § 3.3Chief compliance officer.
- 17 C.F.R. § 3.4Registration in one capacity not included in registration in any other capacity.
- 17 C.F.R. § 3.10Registration 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.
- 17 C.F.R. § 3.11Registration of floor brokers and floor traders.
- 17 C.F.R. § 3.12Registration of associated persons of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators and leverage transaction merchants.
- 17 C.F.R. § 3.21Exemption from fingerprinting requirement in certain cases.
- 17 C.F.R. § 3.22Supplemental filings.
- 17 C.F.R. § 3.30Current address for purpose of delivery of communications from the Commission or the National Futures Association.
- 17 C.F.R. § 3.31Deficiencies, inaccuracies, and changes, to be reported.
- 17 C.F.R. § 3.33Withdrawal from registration.