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  1. LII
  2. Electronic Code of Federal Regulations (e-CFR)
  3. Title 17. Commodity and Securities Exchanges
  4. Chapter I. COMMODITY FUTURES TRADING COMMISSION
  5. Part 3. REGISTRATION
  6. Subpart A. Registration

17 CFR Subpart A - Registration

  • CFR
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  1. § 3.1 Definitions.
  2. § 3.2 Registration processing by the National Futures Association; notification and duration of registration.
  3. § 3.3 Chief compliance officer.
  4. § 3.4 Registration in one capacity not included in registration in any other capacity.
  5. §§ 3.5-3.9 [Reserved]
  6. § 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.
  7. § 3.11 Registration of floor brokers and floor traders.
  8. § 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.
  9. §§ 3.13-3.20 [Reserved]
  10. § 3.21 Exemption from fingerprinting requirement in certain cases.
  11. § 3.22 Supplemental filings.
  12. §§ 3.23-3.29 [Reserved]
  13. § 3.30 Current address for purpose of delivery of communications from the Commission or the National Futures Association.
  14. § 3.31 Deficiencies, inaccuracies, and changes, to be reported.
  15. § 3.33 Withdrawal from registration.

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