U.S. Code of Federal Regulations

Regulations most recently checked for updates: Aug 27, 2025

All TitlesTitle 17Chapter IPart 3Subpart A - Subpart A—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 - §[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.
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