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Section 3.1
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Registration processing by the National Futures Association; notification and duration of registration |
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Section 3.2
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Chief compliance officer |
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Section 3.3
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Registration in one capacity not included in registration in any other capacity |
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Section 3.4
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Registration of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading |
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Section 3.10
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Registration of floor brokers and floor traders |
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Section 3.11
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Registration of associated persons of futures commission merchants, retail foreign exchange dealers, introducing brokers, |
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Section 3.12
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Exemption from fingerprinting requirement in certain cases |
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Section 3.21
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Supplemental filings |
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Section 3.22
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Current address for purpose of delivery of communications from the Commission or the National Futures Association |
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Section 3.30
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Deficiencies, inaccuracies, and changes, to be reported |
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Section 3.31
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Withdrawal from registration |
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Section 3.33
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Temporary licensing of applicants for associated person, floor broker or floor trader registration |
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Section 3.40
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Termination |
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Section 3.42
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Relationship to registration |
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Section 3.43
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Temporary licensing of applicants for guaranteed introducing broker registration |
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Section 3.44
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Restrictions upon activities |
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Section 3.45
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Termination |
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Section 3.46
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Relationship to registration |
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Section 3.47
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Service |
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Section 3.50
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Withdrawal of application for registration |
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Section 3.51
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Suspension and revocation of registration pursuant to section 8a(2) of the Act |
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Section 3.55
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Suspension or modification of registration pursuant to section 8a(11) of the Act |
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Section 3.56
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Proceedings under section 8a(2)(E) of the Act |
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Section 3.57
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Procedure to deny, condition, suspend, revoke or place restrictions upon registration pursuant to sections 8a(2), 8a(3) |
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Section 3.60
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Extensions of time for proceedings brought under Sec |
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Section 3.61
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Service of order issued by an Administrative Law Judge or the Commission |
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Section 3.63
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Procedure to lift or modify conditions or restrictions |
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Section 3.64
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Notification of certain information regarding associated persons |
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Section 3.70
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Delegation and reservation of authority |
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Section 3.75
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Requirements as to form |