federal_register: 2018-00467

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document_number title type abstract publication_date pub_year pub_month html_url pdf_url agency_names agency_ids excerpts regulation_id_numbers
2018-00467 Technical Amendments to Rules on Registration and Review of Exchange Disciplinary, Access Denial, or Other Adverse Actions Rule The Commodity Futures Trading Commission ("CFTC" or "Commission") is adopting certain amendments to its rules that, respectively, govern registration of intermediaries and relate to the Commission's review of exchange disciplinary, access denial, or other adverse actions. Generally speaking, these amendments are technical in nature. The amendments to both areas of the rules integrate existing advisory guidance. The amendments to the rules on review of exchange disciplinary, access denial, or other adverse actions also incorporate swap execution facilities ("SEFs") and update provisions currently applicable to designated contract markets ("DCMs"). These final rules also remove numerous outdated cross-references, and add citations to applicable parallel provisions contained in other Commission regulations pertaining to SEFs and DCMs. Additionally, the final rules address the publication of final disciplinary and access denial actions taken by the SEFs and DCMs on their exchange websites. 2018-01-12 2018 1 https://www.federalregister.gov/documents/2018/01/12/2018-00467/technical-amendments-to-rules-on-registration-and-review-of-exchange-disciplinary-access-denial-or https://www.govinfo.gov/content/pkg/FR-2018-01-12/pdf/2018-00467.pdf Commodity Futures Trading Commission 77 The Commodity Futures Trading Commission ("CFTC" or "Commission") is adopting certain amendments to its rules that, respectively, govern registration of intermediaries and relate to the Commission's review of exchange disciplinary, access denial, or...  

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