CFTC Sets Comment Deadline on Proposed Governance and Conflict Standards for Regulated Markets
Comments on CFTC proposed rules on governance and conflict standards for Designated Contract Markets ("DCMs") and Swap Execution Facilities ("SEFs") are due on or before April 22, 2024.
The proposed rules were published in the Federal Register. (See previous coverage.)
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The CFTC proposed new rules and amendments establishing governance and fitness requirements with respect to market regulation functions and conflict of interest standards at Designated Contract Markets and Swap Execution Facilities.
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- 89 FR 19646 - Requirements for Designated Contract Markets and Swap Execution Facilities Regarding Governance and the Mitigation of Conflicts of Interest Impacting Market Regulation Functions
- CFTC Comment Deadline: Requirements for Designated Contract Markets and Swap Execution Facilities Regarding Governance and the Mitigation of Conflicts of Interest Impacting Market Regulation Functions (2024-04-22)
- CFTC Rule 37.2: Applicable provisions.
- CFTC Rule 37.5: Information relating to swap execution facility compliance.
- CFTC Rule 37.203: Rule enforcement program.
- CFTC Rule 37.206: Disciplinary procedures and sanctions.
- CFTC Rule 37.207: Minimum fitness standards. (PROPOSED/WITHDRAWN)
- CFTC Rule 37.1201: General requirements. (PROPOSED/WITHDRAWN)
- CFTC Rule 37.1202: Conflicts of interest. (PROPOSED/WITHDRAWN)
- CFTC Rule 37.1203: Limitations on the use and disclosure of material non-public information. (PROPOSED/WITHDRAWN)
- CFTC Rule 37.1204: Board of directors. (PROPOSED/WITHDRAWN)
- CFTC Rule 37.1205: Nominating committee. (PROPOSED/WITHDRAWN)
- CFTC Rule 37.1206: Regulatory oversight committee. (PROPOSED/WITHDRAWN)
- CFTC Rule 37.1501: Chief compliance officer.
- CFTC Rule 38.2: Exempt provisions.
- CFTC Rule 38.5: Information relating to contract market compliance.
- CFTC Rule 38.155: Compliance staff and resources.
- CFTC Rule 38.158: Investigations and investigation reports.
- CFTC Rule 38.702: Disciplinary panels.
- CFTC Rule 38.801: Additional sources for compliance.
- CFTC Rule 38.851: Additional sources for compliance.
- CFTC Rule 38.852: Conflicts of interest. (PROPOSED/WITHDRAWN)
- CFTC Rule 38.853: Limitations on the use and disclosure of material non-public information. (PROPOSED/WITHDRAWN)
- CFTC Rule 38.854: Board of directors. (PROPOSED/WITHDRAWN)
- CFTC Rule 38.855: Nominating committee. (PROPOSED/WITHDRAWN)
- CFTC Rule 38.856: Chief regulatory officer. (PROPOSED/WITHDRAWN)
- CFTC Rule 38.857: Regulatory oversight committee. (PROPOSED/WITHDRAWN)
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Tags
Regulated Activities
Conflicts of Interest Governance
Regulated Entities
Markets
Sub-Entity
Exchanges / Contract Markets, SEFs / SBSEFs
Body of Law
CEA Regulation
Jurisdiction
US - Federal
Organization
CFTC, NFA, CFTC Markets
Sub-Author
CFTC