PART 3—REGISTRATION

PART 3—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.
§§ 3.5-3.9 - 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.
§ 3.10 - 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.
§§ 3.13-3.20 - Exemption from fingerprinting requirement in certain cases.
§ 3.21 - Exemption from fingerprinting requirement in certain cases.
§ 3.22 - Supplemental filings.
§§ 3.23-3.29 - Current address for purpose of delivery of communications from the Commission or the National Futures Association.
§ 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.
§ 3.40 - Temporary licensing of applicants for associated person, floor broker or floor trader registration.
§ 3.42 - Termination.
§ 3.43 - Relationship to registration.
§ 3.44 - Temporary licensing of applicants for guaranteed introducing broker registration.
§ 3.45 - Restrictions upon activities.
§ 3.46 - Termination.
§ 3.47 - Relationship to registration.
§ 3.50 - Service.
§ 3.51 - Withdrawal of application for registration.
§§ 3.52-3.54 - Suspension and revocation of registration pursuant to section 8a(2) of the Act.
§ 3.55 - Suspension and revocation of registration pursuant to section 8a(2) of the Act.
§ 3.56 - Suspension or modification of registration pursuant to section 8a(11) of the Act.
§ 3.57 - Proceedings under section 8a(2)(E) of the Act.
§ 3.60 - Procedure to deny, condition, suspend, revoke or place restrictions upon registration pursuant to sections 8a(2), 8a(3) and 8a(4) of the Act.
§ 3.61 - Extensions of time for proceedings brought under § 3.55, § 3.56, and § 3.60 of this part.
§ 3.62 - Service of order issued by an Administrative Law Judge or the Commission.
§ 3.63 - Service of order issued by an Administrative Law Judge or the Commission.
§ 3.64 - Procedure to lift or modify conditions or restrictions.
§ 3.70 - Notification of certain information regarding associated persons.
§ 3.75 - Delegation and reservation of authority.

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