[Code of Federal Regulations]
[Title 17, Volume 1]
[Revised as of April 1, 2007]
From the U.S. Government Printing Office via GPO Access
[CITE: 17CFR14.5]

[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 
 
Sec.  14.5  Criminal conviction.

    Any person who after licensing or certification to practice his 
profession by any competent authority has been convicted of any felony 
or of a misdemeanor involving fraud or involving moral turpitude in 
matters related to the regulatory responsibilities of the Commission, 
and whose conviction has not been reversed by an appellate court, may 
not appear or practice before the Commission. A conviction within the 
meaning of this section shall be deemed to have occurred when the 
convicting court enters its judgment or order, regardless of whether an 
appeal is pending or could be taken, and includes a judgment on a plea 
of nolo contendere.