# 17 C.F.R. § 3.4 (2026): Registration in one capacity not included in registration in any other capacity

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/CFR_T17_P3_S3_4

## Section

- **Citation:** 17 C.F.R. § 3.4 (2026)
- **Heading:** Registration in one capacity not included in registration in any other capacity
- **Jurisdiction:** Federal
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** August 14, 2026
- **Source:** Compiled text
- **Location:** Title 17 CFR: Commodity and Securities Exchanges / Chapter I: COMMODITY FUTURES TRADING COMMISSION / Part 3: REGISTRATION / Subpart A: Registration / § 3.4: § 3.4   Registration in one capacity not included in registration in any other capacity.

## Text

(a) Except as may be otherwise provided in the Act or in any rule, regulation, or order of the Commission, each futures commission merchant, retail foreign exchange dealer, swap dealer, major swap participant, floor broker, floor trader of any commodity for future delivery, commodity trading advisor, commodity pool operator, introducing broker, leverage transaction merchant, and associated person (other than an associated person of a swap dealer or major swap participant) must register as such under the Act. Except as may be otherwise provided in the Act or in any rule, regulation, or order of the Commission, registration in one capacity under the Act shall not include registration in any other capacity.
(b) Except as may be provided in any rule, regulation or order of the Commission, registration as an associated person in one capacity shall not include registration as an associated person in any other capacity:
Provided, however,
That an associated person who is sponsored by a registrant, which itself is registered in more than one capacity, need register only once to act as an associated person of the registrant, and shall be deemed to be an associated person of such registrant, in each such capacity.
[49 FR 39530, Oct. 9, 1984, as amended at 58 FR 19590, Apr. 15, 1993; 75 FR 55424, Sept. 10, 2010; 77 FR 2626, Jan. 19, 2012; 77 FR 51904, Aug. 28, 2012]

## Nearby sections

- [17 C.F.R. § 3.1 (2026) § 3.1   Definitions.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P3_S3_1.md)
- [17 C.F.R. § 3.2 (2026) § 3.2   Registration processing by the National Futures Association; notification and duration of registration.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P3_S3_2.md)
- [17 C.F.R. § 3.3 (2026) § 3.3   Chief compliance officer.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P3_S3_3.md)
- [17 C.F.R. § 3.4 (2026) § 3.4   Registration in one capacity not included in registration in any other capacity.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P3_S3_4.md)
- [17 C.F.R. § 3.10 (2026) § 3.10   Registration of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators, swap dealers, major swap participants and leverage transaction merchants.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P3_S3_10.md)
- [17 C.F.R. § 3.11 (2026) § 3.11   Registration of floor brokers and floor traders.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P3_S3_11.md)
- [17 C.F.R. § 3.12 (2026) § 3.12   Registration of associated persons of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators and leverage transaction merchants.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P3_S3_12.md)
- [17 C.F.R. § 3.21 (2026) § 3.21   Exemption from fingerprinting requirement in certain cases.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P3_S3_21.md)
- [17 C.F.R. § 3.22 (2026) § 3.22   Supplemental filings.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P3_S3_22.md)
- [17 C.F.R. § 3.30 (2026) § 3.30   Current address for purpose of delivery of communications from the Commission or the National Futures Association.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P3_S3_30.md)
- [17 C.F.R. § 3.31 (2026) § 3.31   Deficiencies, inaccuracies, and changes, to be reported.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P3_S3_31.md)
- [17 C.F.R. § 3.33 (2026) § 3.33   Withdrawal from registration.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P3_S3_33.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/CFR_T17_P3_S3_4. Check the current official text before relying on it. Not legal advice.