Rules & Regulations

(a)(1) Each applicant or registrant as a futures commission merchant, retail foreign exchange dealer, swap dealer, major swap participant, commodity trading advisor, commodity pool operator, ...

(a) A futures commission merchant, retail foreign exchange dealer, swap dealer, major swap participant, introducing broker, commodity trading advisor, commodity pool operator, floor trader that ...

(a) Notwithstanding any other provision of these regulations and pursuant to the terms and conditions of this subpart: (1) The National Futures Association may grant ...

(a) A temporary license issued pursuant to §3.40 shall terminate: (1) Five days after service upon the applicant of a notice by the Commission or ...

(a) A temporary license shall not be deemed to be a registration or to confer any right to such registration. (b) Unless a temporary license ...

(a) Notwithstanding any other provisions of these regulations, and pursuant to the terms and conditions of this subpart, the National Futures Association may grant a ...

(a) Subject to the provisions of §3.46 of this subpart and all of the obligations imposed on such registrants under the Act (in particular, section ...

(a) A temporary license issued pursuant to §3.44 shall terminate: (1) Five days after service upon the applicant of a notice by the National Futures ...

(a) A temporary license shall not be deemed to be a registration or to confer any right to such registration. (b) Unless a temporary license ...

(a) For purposes of this subpart, service upon an applicant or registrant will be sufficient if mailed by registered mail or certified mail return receipt ...