[Code of Federal Regulations]
[Title 17, Volume 1]
[Revised as of April 1, 2006]
From the U.S. Government Printing Office via GPO Access
[CITE: 17CFR14.1]

[Page 307]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER I--COMMODITY FUTURES TRADING COMMISSION
 
PART 14_RULES RELATING TO SUSPENSION OR DISBARMENT FROM APPEARANCE AND 
PRACTICE--Table of Contents
 
Sec.  14.1  Scope.




Sec.
14.1 Scope.
14.2 Definitions of appearance and practice.
14.3 Hearings.
14.4 Violation of Commodity Exchange Act.
14.5 Criminal conviction.
14.6 Disbarment or suspension by licensing authority.
14.7 Finding of violation of Commodity Exchange Act or Federal 
          securities laws in another proceeding.
14.8 Lack of requisite qualifications, character and integrity.
14.9 Duty to file information concerning adverse judicial or 
          administrative action.
14.10 Reinstatement.

    Authority: Pub. L. 93-463, sec. 101(a) (11), 88 Stat. 1391, 7 U.S.C. 
4a(j), unless otherwise noted.

    Source: 41 FR 28472, July 12, 1976, unless otherwise noted.


    The rules of this part describe the circumstances under which 
persons may be denied, either temporarily or permanently, the privilege 
of appearing or practicing before the Commission as an attorney or 
accountant. An attorney may also be excluded from further participation 
in a particular adjudicatory proceeding in accordance with the 
provisions of Sec.  10.11(b) of this chapter or from further 
participation in a particular investigatory proceeding in accordance 
with the provisions of Sec.  11.7(c)(2) of this chapter.