Regulatory Alerts2018-01-12 | 2018-00467Technical Amendments to Rules on Registration and Review of Exchange Disciplinary, Access Denial, or Other Adverse Actions
The Commodity Futures Trading Commission adopted technical amendments to its rules governing the registration of intermediaries and the review of exchange disciplinary, access denial, or other adverse actions. These changes integrate existing advisory guidance, incorporate swap execution facilities into the regulatory framework, and update provisions for designated contract markets. The final rules also remove outdated cross-references and mandate the publication of disciplinary actions on exchange websites to enhance transparency.
Share