federal_register: E7-2528
Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API
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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 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| E7-2528 | Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (“SROs”) | Rule | The Commission hereby adopts final acceptable practices for minimizing conflicts of interest in decision making by designated contract markets ("DCMs" or "exchanges"),\1\ pursuant to Section 5(d)(15) ("Core Principle 15") \2\ of the Commodity Exchange Act ("CEA" or "Act").\3\ The final acceptable practices are the first issued for Core Principle 15 and are applicable to all DCMs.\4\ They focus upon structural conflicts of interest within modern self- regulation, and offer DCMs a "safe harbor" by which they may minimize such conflicts and comply with Core Principle 15. To receive safe harbor treatment, DCMs must implement the final acceptable practices in their entirety, including instituting boards of directors that are at least 35% public and establishing oversight of all regulatory functions through Regulatory Oversight Committees ("ROCs') consisting exclusively of public directors. --------------------------------------------------------------------------- | 2007-02-14 | 2007 | 2 | https://www.federalregister.gov/documents/2007/02/14/E7-2528/conflicts-of-interest-in-self-regulation-and-self-regulatory-organizations-sros | https://www.govinfo.gov/content/pkg/FR-2007-02-14/pdf/E7-2528.pdf | Commodity Futures Trading Commission | 77 | The Commission hereby adopts final acceptable practices for minimizing conflicts of interest in decision making by designated contract markets ("DCMs" or "exchanges"),\1\ pursuant to Section 5(d)(15) ("Core Principle 15") \2\ of the Commodity Exchange... |