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.
- § 3.10— 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.
- § 3.21— 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.
- § 3.33— Withdrawal from registration.
Subpart B — Temporary Licenses
Subpart C — Denial, Suspension or Revocation of Registration
Subpart D — Notice Under Section 4k(5) of the Act
Subpart E — Delegation and Reservation of Authority