17 CFR Part 171
PART 171—RULES RELATING TO REVIEW OF NATIONAL FUTURES ASSOCIATION DECISIONS IN DISCIPLINARY, MEMBERSHIP DENIAL, REGISTRATION AND MEMBER RESPONSIBILITY ACTIONS
- PART 171—RULES RELATING TO REVIEW OF NATIONAL FUTURES ASSOCIATION DECISIONS IN DISCIPLINARY, MEMBERSHIP DENIAL, REGISTRATION AND MEMBER RESPONSIBILITY ACTIONS
- Chapter I—Commodity Futures Trading Commission
- Subpart A—General Provisions
- § 171.1 Scope of rules.
- § 171.2 Definitions.
- § 171.3 Business address; hours.
- § 171.4 Computation of time.
- § 171.5 Extension of time.
- § 171.6 Ex parte communications.
- § 171.7 [Reserved]
- § 171.8 Filing with the Proceedings Clerk.
- § 171.9 Service.
- § 171.10 Motions.
- § 171.11 Sanctions.
- § 171.12 Settlement.
- § 171.13 Practice before the Commission.
- § 171.14 Waiver of rules.
- Subpart B—Notice and Effective Date of Final Decisions in Disciplinary, Membership Denial and Registration Actions
- § 171.20 [Reserved]
- § 171.21 Notice of final decision.
- § 171.22 Effective date of final decisions in disciplinary, membership denial and registration actions.
- § 171.23 Notice of appeal.
- § 171.24 Submission of the record.
- § 171.25 Appeal brief.
- § 171.26 Answering brief.
- § 171.27 Limited participation by interested persons.
- § 171.28 Participation by Commission staff.
- Subpart C—Commission Review of Final Decisions in Disciplinary, Membership Denial and Registration Actions
- § 171.30 Scope of review.
- § 171.31 Commission review in the absence of an appeal.
- § 171.32 Oral argument.
- § 171.33 Final decision by the Commission.
- § 171.34 Standards of review.
- Subpart D—Commission Review of Decisions by the National Futures Association In Member Responsibility Actions
- § 171.40 Notice of the commencement of a member responsibility action.
- § 171.41 Petition for a stay of effective date of a member responsibility action pending a hearing by the National Futures Association.
- § 171.42 Notice of a final decision of the National Futures Association in a member responsibility action.
- § 171.43 Petition for a stay of the effective date of a final decision of the National Futures Association in a member responsibility action.
- § 171.44 Notice of appeal.
- § 171.45 General procedures.
- § 171.46 Standards of review.
- Subpart E—Delegation of Functions
- § 171.50 Delegation to the General Counsel.
Feedback