Federal Register: CFTC Proposes Technical Amendments to Rules on Registration and Review of Adverse Actions

The CFTC proposed technical amendments to Part 9 of its rules, which governs registration and review of exchange disciplinary, access denial or other adverse actions.

The proposal (i) integrates existing advisory guidance, (ii) incorporates swap execution facilities ("SEFs"), (iii) updates provisions currently applicable to designated contract markets ("DCMs"), (iv) revises existing rules to delete numerous cross-references to previously deleted regulations, and (v) adds citations to applicable parallel provisions for SEFs and DCMs. The proposal also addresses the publication of final disciplinary and access denial actions taken by the SEFs and DCMs on their exchange websites.

Comments on the proposed amendments must be submitted by March 24, 2017.