Disciplinary Procedures

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Commodity Futures Trading Commission
  5. Designated Contract Markets
  6. Disciplinary Procedures

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Section
38.700

Core Principle 13.

Section
38.701

Enforcement staff.

Section
38.702

Disciplinary panels.

Section
38.703

Notice of charges.

Section
38.704

Right to representation.

Section
38.705

Answer to charges.

Section
38.706

Denial of charges and right to hearing.

Section
38.707

Hearings.

Section
38.708

Decisions.

Section
38.709

Final decisions.

Section
38.710

Disciplinary sanctions.

Section
38.711

Warning letters.

Section
38.712

Additional sources for compliance.