17 CFR § 170.6 - Disciplinary proceedings (sections 17(b)(8) and (b)(9) of the Act).

---
identifier: "/us/cfr/t17/s170.6"
source: "ecfr"
legal_status: "authoritative_unofficial"
title: "17 CFR § 170.6 - Disciplinary proceedings (sections 17(b)(8) and (b)(9) of the Act)."
title_number: 17
title_name: "Commodity and Securities Exchanges"
section_number: "170.6"
section_name: "Disciplinary proceedings (sections 17(b)(8) and (b)(9) of the Act)."
chapter_name: "COMMODITY FUTURES TRADING COMMISSION"
part_number: "170"
part_name: "REGISTERED FUTURES ASSOCIATIONS"
positive_law: false
currency: "2026-04-05"
last_updated: "2026-04-05"
format_version: "1.1.0"
generator: "[email protected]"
authority: "7 U.S.C. 6d, 6m, 6p, 6s, 12a, and 21."
regulatory_source: "44 FR 20651, Apr. 6, 1979, unless otherwise noted."
cfr_part: "170"
---


# 170.6 Disciplinary proceedings (sections 17(b)(8) and (b)(9) of the Act).

A futures association must provide a fair and orderly procedure with respect to disciplinary actions brought against association members or persons associated with members. These rules governing such disciplinary actions shall contain, at a minimum, the procedural safeguards contained in section 17(b)(9) of the Act. In addition, an association, in disciplining its members should demonstrate that it will:

(a) Take vigorous action against those who engage in activities in violation of association rules;

(b) Conduct proceedings in a manner consistent with the fundamental elements of due process; and

(c) Impose discipline which is fair and has a reasonable basis in fact.

(Approved by the Office of Management and Budget under control number 3038-0022)

[44 FR 20651, Apr. 6, 1979, as amended at 46 FR 63036, Dec. 30, 1981]