Title 17, Part 171 — Rules Relating to Review of National Futures Association Decisions in Disciplinary, Membership Denial, Registration and Member Responsibility Actions
36 sections
Section 171.1
Scope of rules.
Section 171.2
Definitions.
Section 171.3
Business address; hours.
Section 171.4
Computation of time.
Section 171.5
Extension of time.
Section 171.6
Ex parte communications.
Section 171.7
[Reserved]
Section 171.8
Filing with the Proceedings Clerk.
Section 171.9
Service.
Section 171.10
Motions.
Section 171.11
Sanctions.
Section 171.12
Settlement.
Section 171.13
Practice before the Commission.
Section 171.14
Waiver of rules.
Section 171.20
[Reserved]
Section 171.21
Notice of final decision.
Section 171.22
Effective date of final decisions in disciplinary, membership denial and registration actions.
Section 171.23
Notice of appeal.
Section 171.24
Submission of the record.
Section 171.25
Appeal brief.
Section 171.26
Answering brief.
Section 171.27
Limited participation by interested persons.
Section 171.28
Participation by Commission staff.
Section 171.30
Scope of review.
Section 171.31
Commission review in the absence of an appeal.
Section 171.32
Oral argument.
Section 171.33
Final decision by the Commission.
Section 171.34
Standards of review.
Section 171.40
Notice of the commencement of a member responsibility action.
Section 171.41
Petition for a stay of effective date of a member responsibility action pending a hearing by the National Futures Association.
Section 171.42
Notice of a final decision of the National Futures Association in a member responsibility action.
Section 171.43
Petition for a stay of the effective date of a final decision of the National Futures Association in a member responsibility action.
Section 171.44
Notice of appeal.
Section 171.45
General procedures.
Section 171.46
Standards of review.
Section 171.50
Delegation to the General Counsel.