GroundRules
17 CFR 171.40: Notice of the commencement of a member responsibility action.
Where this section sits in the code
- Title 17—Commodity and Securities Exchanges
- CHAPTER I—COMMODITY FUTURES TRADING COMMISSION
- PART 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
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.
Collected 2026-08-27T02:24:31Z. Source file · JSON