January 9, 2018
CFTC Approves Amendments to Commission Regulations under Parts 3 and 9
Washington, DC — The Commodity Futures Trading Commission (CFTC) today unanimously approved final rules that update Parts 3 and 9 to integrate existing advisory guidance, incorporate swap execution facilities (SEFs), and update provisions currently applicable to designated contract markets (DCMs).
Part 3 governs registration of intermediaries and Part 9 details the rules relating to CFTC review of exchange disciplinary, access denial, or other adverse actions. The final amendments revise existing Part 9 rules to delete numerous cross-references to previously deleted Part 8 rules, and add citations to applicable parallel provisions contained in Part 37 for SEFs and Part 38 for DCMs. The CFTC removed Part 8 during implementation of the Dodd-Frank Act. Additionally, the final rules require the publication of final disciplinary and access denial actions taken by the SEFs and DCMs on their websites.
The CFTC also approved an updated notice and order for the National Futures Association to receive and process exchange disciplinary and access denial notices.
Last Updated: January 9, 2018