federal_register: 2018-14272

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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
2018-14272 Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations Proposed Rule The Commodity Futures Trading Commission ("Commission" or "CFTC") is proposing to amend its regulations governing the minimum standards for a self-regulatory organization's ("SRO") financial surveillance examination program of futures commission merchants ("FCMs"). The proposed amendments would revise the scope of a third- party expert's evaluation of the SRO's financial surveillance program to cover only the examination standards used by SRO staff in conducting FCM examinations. The proposed amendments also would revise the minimum timeframes between when an SRO must engage a third-party expert to evaluate its FCM examination standards. 2018-07-03 2018 7 https://www.federalregister.gov/documents/2018/07/03/2018-14272/financial-surveillance-examination-program-requirements-for-self-regulatory-organizations https://www.govinfo.gov/content/pkg/FR-2018-07-03/pdf/2018-14272.pdf Commodity Futures Trading Commission 77 The Commodity Futures Trading Commission ("Commission" or "CFTC") is proposing to amend its regulations governing the minimum standards for a self-regulatory organization's ("SRO") financial surveillance examination program of futures commission...  

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