Part 171 — Rules Relating to Review of National Futures Association Decisions in Disciplinary, Membership Denial, Registration and Member Responsibility Actions
Subpart A — General Provisions
- § 171.1— Scope of rules.
- § 171.2— Definitions.
- § 171.3— Business address; hours.
- § 171.4— Computation of time.
- § 171.5— Extension of time.
- § 171.6— Ex parte communications.
- § 171.8— Filing with the Proceedings Clerk.
- § 171.9— Service.
- § 171.10— Motions.
- § 171.11— Sanctions.
- § 171.12— Settlement.
- § 171.13— Practice before the Commission.
- § 171.14— Waiver of rules.
Subpart B — Notice and Effective Date of Final Decisions in Disciplinary, Membership Denial and Registration Actions
- § 171.21— Notice of final decision.
- § 171.22— Effective date of final decisions in disciplinary, membership denial and registration actions.
- § 171.23— Notice of appeal.
- § 171.24— Submission of the record.
- § 171.25— Appeal brief.
- § 171.26— Answering brief.
- § 171.27— Limited participation by interested persons.
- § 171.28— Participation by Commission staff.
Subpart C — Commission Review of Final Decisions in Disciplinary, Membership Denial and Registration Actions
Subpart D — Commission Review of Decisions by the National Futures Association In Member Responsibility Actions
- § 171.40— Notice of the commencement of a member responsibility action.
- § 171.41— Petition for a stay of effective date of a member responsibility action pending a hearing by the National Futures Association.
- § 171.42— Notice of a final decision of the National Futures Association in a member responsibility action.
- § 171.43— Petition for a stay of the effective date of a final decision of the National Futures Association in a member responsibility action.
- § 171.44— Notice of appeal.
- § 171.45— General procedures.
- § 171.46— Standards of review.