REGISTRATION RULES
Table of Contents

Part 100. Definitions

[¶ 8101] Rule 101. Definitions

Part 200. Registration Requirements and Procedures

[¶ 8201] Rule 201. Registration Requirements and Procedures
[¶ 8202] Rule 202. Registration Processing and Notification of Registration or Confirmation of Exemption from Registration
[¶ 8203] Rule 203. Registration Fees
[¶ 8204] Rule 204. Registration of Futures Commission Merchants, Notice Futures Commission Merchants, Introducing Brokers, Notice Introducing Brokers, Commodity Pool Operators, Commodity Trading Advisors and Leverage Transaction Merchants and Confirmation of Exemption from Registration Pursuant to Commission Regulation 30.5
[¶ 8205] Rule 205. Registration of Floor Brokers and Floor Traders
[¶ 8206] Rule 206. Registration of Associated Persons of Futures Commission Merchants, Introducing Brokers, Commodity Pool Operators, Commodity Trading Advisors and Leverage Transaction Merchants
[¶ 8207] Rule 207. Reporting of Dual and Multiple Associations
[¶ 8208] Rule 208. Reporting of Principals
[¶ 8209] Rule 209. Alternative to the Fingerprint Filing Requirement in Certain Cases
[¶ 8210] Rule 210. Deficiencies, Inaccuracies and Changes to Application Information Must Be Reported
[¶ 8211] Rule 211. Supplemental Filing Requirements
[¶ 8212] Rule 212. Registration in One Capacity Does Not Include Registration in Any Other Capacity
[¶ 8213] Rule 213. Current Address for Purpose of Delivery of Communications
[¶ 8214] Rule 214. Termination of Associated Person Registration and Principal Affiliation
[¶ 8215] Rule 215. [Reserved]

Part 300. Temporary Licenses

[¶ 8301] Rule 301. Temporary Licensing of Associated Persons
[¶ 8302] Rule 302. Temporary Licensing for Guaranteed Introducing Brokers
[¶ 8303] Rule 303. Temporary Licensing for Floor Brokers and Floor Traders

Part 400. Proficiency Requirements

[¶ 8401] Rule 401. Qualification Testing Requirements
[¶ 8402] Rule 402. Waiver of Testing Requirement

Part 500. Proceedings to Deny, Condition, Suspend and Revoke Registration

[¶ 8501] Rule 501. Authority to Deny, Condition, Suspend and Revoke Registration
[¶ 8502] Rule 502. General Provisions
[¶ 8503] Rule 503. Withdrawal of Application for Registration
[¶ 8504] Rule 504. Procedures Governing Applicants and Registrants, Disqualified from Registration under Section 8a(2), 8a(3) or 8a(4) of the Act
[¶ 8505] Rule 505. Motions
[¶ 8506] Rule 506. Hearing Procedures
[¶ 8507] Rule 507. Decision of Membership Committee or a Designated Subcommittee
[¶ 8508] Rule 508. Orders
[¶ 8509] Rule 509. Settlements
[¶ 8510] Rule 510. Procedures to Lift or Modify Conditions

Part 600. Withdrawal from Registration

[¶ 8601] Rule 601. Withdrawal From Registration

Part 700. Procedures Governing Access to and Certification of Registration Records Maintained by NFA

[¶ 8701] Rule 701. Disclosure of Information from Registration Records Maintained by NFA
[¶ 8702] Rule 702. Certification of the Authenticity of Registration Records Maintained by NFA

Part 800. Electronic Filing of Registration Forms

[¶ 8801] Rule 801. Electronic Filing of Forms 7-R, 8-R, 3-R, 7-W and 8-T
[¶ 8802] Rule 802. Certifications, Acknowledgements, Agreements and Representations