- Section 3.1 - Definitions
- Section 3.2 - Registration processing by the National Futures Association; notification and duration of registration
- Section 3.3 - Chief compliance officer
- Section 3.5-3.9 - Reserved
- Section 3.10 - [Effective 11/25/2024] Registration of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators, swap dealers, major swap participants and leverage transaction merchants
- Section 3.10 - [Effective until 11/25/2024] Registration of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators, swap dealers, major swap participants and leverage transaction merchants
- Section 3.11 - Registration of floor brokers and floor traders
- Section 3.12 - Registration of associated persons of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators and leverage transaction merchants
- Section 3.13-3.20 - Reserved
- Section 3.21 - Exemption from fingerprinting requirement in certain cases
- Section 3.22 - Supplemental filings
- Section 3.23-3.29 - Reserved
- Section 3.30 - Current address for purpose of delivery of communications from the Commission or the National Futures Association
- Section 3.31 - Deficiencies, inaccuracies, and changes, to be reported
- Section 3.33 - Withdrawal from registration
- Section 3.4 - Registration in one capacity not included in registration in any other capacity