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(a)By whom. All documents filed with the Commission shall be signed personally:
(1) By the person or persons on whose behalf they are tendered for filing;
(2) By a general partner, officer or director of a partnership, corporation, association, or other legal entity; or
(3) By an attorney-at-law having authority with respect thereto.
(b)Effect. The signature on any document of any person acting either for himself or as attorney or agent for another constitutes certification by him that:
(1) He has read the document subscribed and knows the contents thereof;
(2) If executed in any representative capacity, it was done with full power and authority to do so;
(3) To the best of his knowledge, information, and belief, every statement contained in the document is true and not misleading; and
(4) The document is not being interposed for delay.
This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.
This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].
It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.
§ 2 - Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce
§ 12a - Registration of commodity dealers and associated persons; regulation of registered entities
§ 18 - Complaints against registered persons
Title 17 published on 15-Nov-2018 03:52
The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 12 after this date.
The Commodity Futures Trading Commission (“Commission”) is amending its Rules of Practice, Rules Relating to Reparation Proceedings, and its Rules Relating to Review of National Futures Association (“NFA”) Decisions in Disciplinary, Membership Denial, Registration and Membership Responsibility Actions, to simplify and clarify service, filing and formatting requirements, particularly those requirements applicable to electronic service and filing. The Commission is also amending its Rules Relating to Reparations Proceedings to clarify the authority of its Judgment Officers.
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is amending its regulations delegating authority to the Commission's Office of General Counsel, so that all delegations thereto will be to the General Counsel, with authority to sub-delegate to any Commission employee under the supervision of the General Counsel.