Regulatory Alerts2023-09-06 | 2023-18694Provisions Common to Registered Entities
The Commodity Futures Trading Commission proposes amendments to Part 40 regulations governing how registered entities submit self-certifications and approval requests for rules and products. The changes aim to clarify and simplify regulatory procedures by updating definitions of dormant entities, removing obsolete dormant product and rule categories, and explicitly including margin methodologies in the definition of rules. These adjustments are intended to enhance regulatory utility and reduce compliance burdens while maintaining market integrity and safety standards.
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