Statutes, codes, and regulations
Code of Federal Regulations
Title 17 - COMMODITY AND SECURITIES EXCHANGESChapter I - COMMODITY FUTURES TRADING COMMISSIONPart 171 - RULES RELATING TO REVIEW OF NATIONAL FUTURES ASSOCIATION DECISIONS IN DISCIPLINARY, MEMBERSHIP DENIAL, REGISTRATION AND MEMBER RESPONSIBILITY ACTIONS
Subpart D - COMMISSION REVIEW OF DECISIONS BY THE NATIONAL FUTURES ASSOCIATION IN MEMBER RESPONSIBILITY ACTIONS
Section 171.40 - Notice of the commencement of a member responsibility action

17 C.F.R. § 171.40

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Current through November 30, 2024
Section 171.40 - Notice of the commencement of a member responsibility action

The notice of a Member Responsibility Action provided by the National Futures Association pursuant to its rules shall advise the affected parties of their right to petition the Commission pursuant to § 171.41 to stay the effective date of the action pending a hearing before the National Futures Association on the factual issues relevant to the suspension, restriction or remedial action ordered.

17 C.F.R. §171.40