17 CFR Part 3, Subpart A - Registration
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- § 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 [Reserved]
- § 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 [Reserved]
- § 3.21 Exemption from fingerprinting requirement in certain cases.
- § 3.22 Supplemental filings.
- §§ 3.23-3.29 [Reserved]
- § 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.