17 C.F.R. § 166.3
Supervision
Each Commission registrant, except an associated person who has no supervisory duties, must diligently supervise the handling by its partners, officers, employees and agents (or persons occupying a similar status or performing a similar function) of all commodity interest accounts carried, operated, advised or introduced by the registrant and all other activities of its partners, officers, employees and agents (or persons occupying a similar status or performing a similar function) relating to its business as a Commission registrant.
Notes of Decisions
Cited in 32
cases, 1983–2020 · leading case: Brian Monieson v. Commodity Futures Trading Comm'n, 996 F.2d 852 (7th Cir. 1993).
Brian Monieson v. Commodity Futures Trading Comm'n, 996 F.2d 852 (7th Cir. 1993). “17 C.F.R. § 166.3 . Most important for this case, the complaint charged Monieson with liability as a “controlling person” of Furlett and Green-spon under Section 13(b) of the CEA, 7 U.”
Bennett v. EF Hutton Co., Inc., 597 F. Supp. 1547 (N.D. Ohio 1984). “Count Seven claims that the failure of Hutton, a commission registrant, “to diligently investigate, inquire, or supervise the handling of Troyer’s commodity account” violated 17 C.F.R. § 166.3 . Count Eight, brought pursuant to RICO, alleges that Troyer’s activity was a fraud in…”
Commodities Futures Trading Comm'n v. Commodities Fluctuations Sys., Inc., 583 F. Supp. 1382 (S.D.N.Y. 1984). “3 of the Regulations promulgated thereunder (“Regulations”) 17 C.F.R. § 166.3 . Our decision in this case is based on evidence presented at a hearing which commenced on November 9, 1983 and continued through November 17th and on post-hearing papers submitted by the parties.”
Commodity Futures Trading Comm'n v. Wilshire Inv. Mgmt. Corp., 531 F.3d 1339 (11th Cir. 2008). “Count II alleged that Wilshire, as President and CEO of WIM, violated 17 C.F.R. § 166.3 by failing to diligently supervise WIM’s APs.”
Commodity Futures Trading Comm'n v. R.J. Fitzgerald & Co., 173 F. Supp. 2d 1295 (M.D. Fla. 2001). “10 (a) and (c), 17 C.F.R. § 166.3 , and 7 U.S.C. § 13c(b).”
Sherman v. Sokoloff, 570 F. Supp. 1266 (S.D.N.Y. 1983). “17 C.F.R. § 166.3 (1982). The case is before us on defendant Rosenberg Commodities’ (Rosenberg) motion for summary judgment.”
JCC, Inc. v. Commodity Futures Trading Comm'n, 63 F.3d 1557 (11th Cir. 1995). “3 of the Commission’s regulations, 17 C.F.R. § 166.3 , 15 by allegedly failing to diligently supervise their employees.”
Khalid Bin Alwaleed Found. v. EF Hutton & Co., Inc., 709 F. Supp. 815 (N.D. Ill. 1989). “3 1 *818 of the CFTC, 17 C.F.R. § 166.3 , which directs all commission registrants to diligently supervise their employees’ handling of commodity interest accounts.”
Khalid Bin Talal Bin Abdul Azaiz Al Seoud v. E.F. Hutton & Co., 720 F. Supp. 671 (N.D. Ill. 1989). “CONCLUSION For the foregoing reasons we grant defendants’ motion to dismiss claims for relief numbered three ( 17 C.F.R. § 166.3 ), four ( 17 C.F.R. § 155 ), and twelve (civil conspiracy), deny defendants’ entire motion to strike, grant in part and deny in part defendants’…”
William Crothers v. Commodity Futures Trading Comm'n, 33 F.3d 405 (4th Cir. 1994). “Under 17 C.F.R. § 166.3 : *411 The Commission affirmed the ALJ’s conclusion that Crothers violated section 166.”
Commodity Futures Trading Comm'n v. Commonwealth Fin. Grp., Inc., 874 F. Supp. 1345 (S.D. Fla. 1994). “3 of the Regulations, 17 C.F.R. § 166.3 (1992), by failing to diligently supervise Commonwealth salespeople.”
Stevenson v. J.C. Bradford & Co. (In Re Cannon), 230 B.R. 546 (Bankr. W.D. Tenn. 1999). “( 17 C.F.R. § 166.3 ; NFA Rules 2-8, 2-9; Henricks Dep.”
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