[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: 17CFR14.9]

[Page 309]
 
              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.  14.9  Duty to file information concerning adverse judicial or 
administrative action.

    Any person appearing or practicing before the Commission who has 
been the subject of a conviction, suspension, disbarment, revocation, 
injunction or finding of the kind described in Sec. Sec.  14.5 through 
14.7, unless based on action instituted by the Commission, shall 
promptly file a copy of the relevant order, judgment or decree with the 
Secretariat of the Commission at Three Lafayette Centre, 1155 21st 
Street, NW., Washington, DC 20581, together with any related opinion or 
statement of the agency or tribunal involved. Any person who has been 
the subject of administrative or judicial action of the kind described 
in Sec. Sec.  14.5 through 14.7 and who has not filed a copy of the 
order, judgment or decree within thirty days after its entry shall for 
that reason alone be disqualified from appearing or practicing before 
the Commission until such time as the appropriate filing shall be made, 
but neither the filing of these documents nor the failure of a person to 
file them shall in any way affect the operations of any other provision 
of this part.

[41 FR 28472, July 12, 1976, as amended at 60 FR 49335, Sept. 25, 1995]