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Federal Register: CFTC Amends SRO Financial Surveillance Programs for FCMs

The CFTC rule change regarding the standards for an SRO's financial surveillance examination program for futures commission merchants ("FCMs") was published in the Federal Register. The amendments, previously covered here, will go into effect on May 3, 2019.

Primary Sources

  1. Federal Register: CFTC Final Rule - Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations (84 FR 12882)

Tags

Body of Law
CEA Regulation
Jurisdiction
US - Federal
Organization
CFTC, NFA, CFTC Markets
Sub-Author
CFTC