Registration

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Commodity Futures Trading Commission
  5. Registration
  6. Registration

Checkout our iOS App for a better way to browser and research.

Section
3.1

Definitions.

Section
3.2

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

Section
3.3

Chief compliance officer.

Section
3.4

Registration in one capacity not included in registration in any other capacity.

Sections
3.5-3.9

§§ 3.5-3.9 [Reserved]

Section
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.

Section
3.11

Registration of floor brokers and floor traders.

Section
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.

Sections
3.13-3.20

§§ 3.13-3.20 [Reserved]

Section
3.21

Exemption from fingerprinting requirement in certain cases.

Section
3.22

Supplemental filings.

Sections
3.23-3.29

§§ 3.23-3.29 [Reserved]

Section
3.30

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

Section
3.31

Deficiencies, inaccuracies, and changes, to be reported.

Section
3.33

Withdrawal from registration.