Performance of Registration Functions by National Futures Association With Respect to Swap Dealers and Major Swap Participants (Notice Order)

77 FR XXXX

The CFTC is authorizing the National Futures Association (NFA),

to take the following actions: to process and grant applications for registration and withdrawals of registration with respect to swap dealers (SDs) and major swap participants (MSPs), and to notify of provisional registration; to confirm initial compliance with requirements applicable to SDs and MSPs under CEA Section 4s; to conduct proceedings to deny, condition, suspend, restrict or revoke the registration of any SD or MSP or

of any applicant for registration in either category; to maintain records regarding SDs and MSPs; and to serve as the official custodian of those Commission records.

Cross References: Dodd-Frank Section 731; CEA Sections 4s, 8(a)(10) and 17(o); 17 CFR 23.21.