17 C.F.R. § 33.8

Promotional material

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Each futures commission merchant and each introducing broker shall retain, in accordance with § 1.31 of this chapter, all promotional material it provides, directly or indirectly, to option customers as well as the true source of authority for the information contained therein.

[48 FR 35303, Aug. 3, 1983]

Notes of Decisions

Cited in 1 case, 2000–2000 · leading case: Commodity Futures Trading Comm'n v. Rosenberg, 85 F. Supp. 2d 424 (D.N.J. 2000).

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Commodity Futures Trading Comm'n v. Rosenberg, 85 F. Supp. 2d 424 (D.N.J. 2000). “§ 6d(1)(1999); 31 17 C.F.R. § 33.8 (b)(1999). 32 Thus, to find that Rosenberg violated the registration provisions of the CEA, this Court must first determine whether Rosenberg meets the statutory definitions of either “futures commission merchant” or “introducing broker.”

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