# 17 CFR § 3.22: Supplemental filings

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/ecfr-17-3.22

## Section

- **Citation:** 17 CFR § 3.22
- **Heading:** Supplemental filings
- **Jurisdiction:** Federal
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** September 22, 2026
- **Source:** Publisher's official text
- **Location:** Title 17—Commodity and Securities Exchanges > CHAPTER I—COMMODITY FUTURES TRADING COMMISSION > PART 3—REGISTRATION > Subpart A—Registration

## Text

Notwithstanding any other provision of this chapter, the Commission, the Directors of the Market Participants Division or Division of Enforcement or either Director's designee, or the National Futures Association may, at any time, give written notice to any registrant, applicant for registration, or person required to be registered:
(a)(1) That derogatory information has come to the attention of the staff of the Commission or the National Futures Association which, if true, could constitute grounds upon which to base a determination that the person is unfit to become, or to remain, registered or temporarily licensed in accordance with the Act or the regulations thereunder and setting forth such information in the notice and requesting the person to provide evidence mitigating the seriousness of the statutory disqualification set forth in the notice and evidence that the person has undergone rehabilitation, or
(2) That the Commission or the National Futures Association has undertaken a routine or periodic review of the registrant's fitness to remain registered or temporarily licensed; and
(b) That the person, or any individual who, based upon his or her relationship with that person is required to file a Form 8-R in accordance with the requirements of this part, as applicable, must, within such period of time as the Commission or the National Futures Association may specify, complete and file with the Commission or the National Futures Association a current Form 7-R, or if appropriate, a Form 8-R, in accordance with the instructions thereto.
(c) Failure to provide the information required under paragraph (b) of this section is a violation of the Commission's regulations which itself constitutes grounds upon which to base a determination that the person is unfit to become or to remain so registered.
(Approved by the Office of Management and Budget under control number 3038-0023)
[45 FR 8049, Dec. 5, 1980, as amended at 47 FR 27551, June 25, 1982; 49 FR 39532, Oct. 9, 1984; 53 FR 8433, Mar. 15, 1988; 57 FR 23148, June 2, 1992; 67 FR 62351, Oct. 7, 2002; 77 FR 51906, Aug. 28, 2012; 78 FR 22419, Apr. 16, 2013]

## Nearby sections

- [17 CFR § 3.1 § 3.1 Definitions.](https://www.frixlaw.com/law-library/statutes/ecfr-17-3.1.md)
- [17 CFR § 3.2 § 3.2 Registration processing by the National Futures Association; notification and duration of registration.](https://www.frixlaw.com/law-library/statutes/ecfr-17-3.2.md)
- [17 CFR § 3.3 § 3.3 Chief compliance officer.](https://www.frixlaw.com/law-library/statutes/ecfr-17-3.3.md)
- [17 CFR § 3.4 § 3.4 Registration in one capacity not included in registration in any other capacity.](https://www.frixlaw.com/law-library/statutes/ecfr-17-3.4.md)
- [17 CFR § 3.10 § 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/ecfr-17-3.10.md)
- [17 CFR § 3.11 § 3.11 Registration of floor brokers and floor traders.](https://www.frixlaw.com/law-library/statutes/ecfr-17-3.11.md)
- [17 CFR § 3.12 § 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/ecfr-17-3.12.md)
- [17 CFR § 3.21 § 3.21 Exemption from fingerprinting requirement in certain cases.](https://www.frixlaw.com/law-library/statutes/ecfr-17-3.21.md)
- [17 CFR § 3.22 § 3.22 Supplemental filings.](https://www.frixlaw.com/law-library/statutes/ecfr-17-3.22.md)
- [17 CFR § 3.30 § 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/ecfr-17-3.30.md)
- [17 CFR § 3.31 § 3.31 Deficiencies, inaccuracies, and changes, to be reported.](https://www.frixlaw.com/law-library/statutes/ecfr-17-3.31.md)
- [17 CFR § 3.33 § 3.33 Withdrawal from registration.](https://www.frixlaw.com/law-library/statutes/ecfr-17-3.33.md)
- [17 CFR § 3.40 § 3.40 Temporary licensing of applicants for associated person, floor broker or floor trader registration.](https://www.frixlaw.com/law-library/statutes/ecfr-17-3.40.md)
- [17 CFR § 3.42 § 3.42 Termination.](https://www.frixlaw.com/law-library/statutes/ecfr-17-3.42.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/ecfr-17-3.22. Check the current official text before relying on it. Not legal advice.