Title 17--Commodity and Securities Exchanges
CHAPTER I--COMMODITY FUTURES TRADING COMMISSION
PART 3--REGISTRATION
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![TEXT](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.1 |
Definitions. |
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![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.2 |
Registration processing by the National Futures Association; notification and duration of registration. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.4 |
Registration in one capacity not included in registration in any other capacity. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.10 |
Registration of futures commission merchants, introducing brokers, commodity trading advisors, commodity pool operators and leverage transaction merchants.
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![TEXT](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.11 |
Registration of floor brokers and floor traders. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.12 |
Registration of associated persons of futures commission merchants, introducing brokers, commodity trading advisors, commodity pool operators and leverage transaction merchants. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.13 |
Registration of agricultural trade option merchants and their associated persons. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.21 |
Exemption from fingerprinting requirement in certain cases. |
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![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.22 |
Supplemental filings. |
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![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.30 |
Current address for purpose of delivery of communications from the Commission or the National Futures Association. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.31 |
Deficiencies, inaccuracies, and changes, to be reported.
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![TEXT](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.33 |
Withdrawal from registration. |
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![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.40 |
Temporary licensing of applicants for associated person, floor broker or floor trader registration. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.42 |
Termination. |
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![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.43 |
Relationship to registration. |
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![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.44 |
Temporary licensing of applicants for guaranteed introducing broker registration. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.45 |
Restrictions upon activities. |
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![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.46 |
Termination. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.47 |
Relationship to registration. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.50 |
Service. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.51 |
Withdrawal of application for registration. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.55 |
Suspension and revocation of registration pursuant to section 8a(2) of the Act. |
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![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.56 |
Suspension or modification of registration pursuant to section 8a(11) of the Act. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.57 |
Proceedings under section 8a(2)(E) of the Act. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 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. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.61 |
Extensions of time for proceedings brought under 3.55, 3.56, and 3.60 of this part. |
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![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.63 |
Service of order issued by an Administrative Law Judge or the Commission. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.64 |
Procedure to lift or modify conditions or restrictions. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.70 |
Notification of certain information regarding associated persons. |
![TEXT](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/TEXT.gif) |
![PDF](https://webarchive.library.unt.edu/eot2008/20090510152124im_/http://www.access.gpo.gov/images/PDF.gif) | 3.75 |
Delegation and reservation of authority. |