17 CFR Part 14
RULES RELATING TO SUSPENSION OR DISBARMENT FROM APPEARANCE AND PRACTICE
April 15, 2021
§
14.1
Scope
§
14.2
Definitions of appearance and practice
§
14.3
Hearings
§
14.4
Violation of Commodity Exchange Act
§
14.5
Criminal conviction
§
14.6
Disbarment or suspension by licensing authority
§
14.7
Finding of violation of Commodity Exchange Act or Federal securities laws in another proceeding
§
14.8
Lack of requisite qualifications, character and integrity
§
14.9
Duty to file information concerning adverse judicial or administrative action
§
14.10
Reinstatement
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