Rules & Regulations

(a) Notice. Whenever information comes to the attention of the Commission that an applicant for initial registration in any capacity under the Act may be ...

(a) Notice. On the basis of information obtained by the Commission, the Commission may at any time serve notice upon a registrant in any capacity ...

(a) Notice. (1) On the basis of information obtained by the Commission, the Commission may at any time serve written notice upon a registrant in ...

The Commission will not initiate a proceeding under section 8a(2)(E) of the Act, if respondeat superior is the sole basis upon which the registrant may ...

(a) Notice. On the basis of information obtained by the Commission, the Commission may at any time give written notice to any applicant for registration ...

(a) In general. Except as otherwise provided by law or by these rules, for good cause shown, the Commission or an Administrative Law Judge before ...

A copy of any order issued pursuant to §3.60 of this part shall be served promptly upon the applicant or registrant, the Division of Swap ...

(a) Petition. The registrant and his sponsor or supervising floor broker may file a petition with the Proceedings Clerk and serve a copy of the ...

(a) Notice. A registrant must notify the Commission under section 4k(5) of the Act of any facts regarding an associated person of the registrant or ...

(a) The Commission hereby delegates, until such time as it orders otherwise, to the Director of the Division of Swap Dealer and Intermediary Oversight or ...