Rule Certification

Rule Certification & Approval Procedures (applicable to DCMs, DCOs, SEFs)

The Commission finalized rules to implement the Dodd-Frank Wall Street Reform and Consumer Protection Act regarding Rule Certification & Approval Procedures applicable to DCMs, DCOs, SEFs. 

Related Federal Register Releases

Final Rule: 76 FR 45666 // PDF Version
8/1/2011
17 CFR Part 40 Provisions Common to Registered Entities; Correction
Effective Date: September 26, 2011

Final Rule: 76 FR 44776 // PDF Version
7/27/2011
17 CFR Part 40 Provisions Common to Registered Entities
Effective Date: September 26, 2011

Proposed Rule: 75 FR 67282 // PDF Version
11/2/2010
17 CFR Part 40 Provisions Common to Registered Entities
Comment File – Closing Date: 1/3/2011

Additional Information

Fact Sheet: Part 40 Final Rulemaking
Q&A: Part 40 Final Rulemaking

Event: Open Meeting on Three Final Rule Proposals and Two Proposed Rules under the Dodd-Frank Act

Fact Sheet: Proposed Rules to Implement New Statutory Provisions in Part 40 of the Commission Regulations
Q&A: Part 40

Event: Open Meeting on Third Series of Proposed Rules under the Dodd-Frank Act