83 FR 1548 - Performance of Certain Functions by the National Futures Association With Respect to the Receipt and Processing of Exchange Disciplinary and Access Denial Action Information

COMMODITY FUTURES TRADING COMMISSION

Federal Register Volume 83, Issue 9 (January 12, 2018)

Page Range		1548-1550
FR Document		2018-00468

The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is updating the delegation it issued in 1999 to the National Futures Association (``NFA'') regarding the duty to receive and to process exchange disciplinary and access denial action information. The delegation is being updated to clarify, among other things, that designated contract market (``DCM'') and swap execution facility (``SEF'') disciplinary and access denial notices must be filed with the NFA instead of the Commission. The NFA will continue to serve as the official custodian of records for exchange disciplinary filings.

Federal Register, Volume 83 Issue 9 (Friday, January 12, 2018)

[Federal Register Volume 83, Number 9 (Friday, January 12, 2018)]
[Rules and Regulations]
[Pages 1548-1550]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-00468]


-----------------------------------------------------------------------

COMMODITY FUTURES TRADING COMMISSION

17 CFR Part 9


Performance of Certain Functions by the National Futures 
Association With Respect to the Receipt and Processing of Exchange 
Disciplinary and Access Denial Action Information

AGENCY: Commodity Futures Trading Commission.

ACTION: Notice and order; delegation of authority.

-----------------------------------------------------------------------

SUMMARY: The Commodity Futures Trading Commission (``Commission'' or

[[Page 1549]]

``CFTC'') is updating the delegation it issued in 1999 to the National 
Futures Association (``NFA'') regarding the duty to receive and to 
process exchange disciplinary and access denial action information. The 
delegation is being updated to clarify, among other things, that 
designated contract market (``DCM'') and swap execution facility 
(``SEF'') disciplinary and access denial notices must be filed with the 
NFA instead of the Commission. The NFA will continue to serve as the 
official custodian of records for exchange disciplinary filings.

DATES: This notice and order takes effect on March 13, 2018.

FOR FURTHER INFORMATION CONTACT: Rachel Berdansky, Deputy Director, 
202-418-5429 or [email protected]; David Steinberg, Associate 
Director, 202-418-5102 or [email protected]; Division of Market 
Oversight, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1151 21st Street NW, Washington, DC 20581.

SUPPLEMENTARY INFORMATION:

I. Introduction

    In a separate document published elsewhere in this issue of the 
Federal Register, the Commission issued final rules that update its 17 
CFR part 9 rules (``Final Part 9 Rules''), including Sec.  9.11, that 
sets forth the notice requirements for an exchange regarding 
disciplinary and access denial actions. Section 9.11 was first 
established in 1978 to carry out certain mandates of section 8c of the 
Commodity Exchange Act (``Act'' or ``CEA'').\1\ Section 8c of the Act 
generally: (i) Requires exchanges to discipline members and to notify 
the disciplined individuals, the Commission, and the public of 
disciplinary actions; and (ii) grants the Commission the authority to 
review exchange disciplinary actions. Section 9.11 sets forth the 
manner in which an exchange is to provide that notice.
---------------------------------------------------------------------------

    \1\ 43 FR 59343 (Dec. 20, 1978).
---------------------------------------------------------------------------

    In 1999, the Commission delegated authority to the NFA to receive 
and to process exchange disciplinary and access denial information 
(``Part 9 Delegation'').\2\ Consequently, the NFA currently serves as 
the official custodian of records for exchange disciplinary filings. In 
1999, concurrent with the Part 9 Delegation, the Commission published 
an advisory permitting exchanges to file 9.11 notices with the 
Commission or the NFA (``Part 9 Advisory'').\3\ While permitting filing 
with the Commission, the Part 9 Advisory encourages exchanges to file 
the required notice with the NFA. The Final Part 9 Rules, among other 
things, codify the Part 9 Advisory and replace the Sec.  9.11 
requirement that written notice be provided to the Commission with a 
requirement that notice be provided to the NFA via the NFA's Background 
Affiliation Status Information Center (``BASIC'') system.\4\ Moreover, 
because SEFs did not exist when the Commission issued the initial 
delegation in 1999, this Notice and Order is being updated to reflect 
that the NFA will receive disciplinary and access denial action notices 
from SEFs in addition to DCMs.\5\ For purposes of this Notice and 
Order, the term ``exchange'' includes DCMs and SEFs.
---------------------------------------------------------------------------

    \2\ 64 FR 39913 (July 23, 1999).
    \3\ Id. at 39915.
    \4\ The NFA's BASIC system allows the public to access 
disciplinary information contributed by the NFA, CFTC, DCMs, and 
SEFs pertaining to the types of violations committed, penalties 
imposed, the effective date of the action, and summary of the 
disciplinary action. The BASIC system enables the public to conduct 
a search by NFA identification number, individual name, or firm 
name.
    \5\ The Final Part 9 Rules amend the definition of ``exchange'' 
in Sec.  9.2 to include SEFs in addition to DCMs.
---------------------------------------------------------------------------

II. Delegation of Duties to the NFA

A. Processing Regulation 9.11 Filings

    The NFA must process exchange Sec.  9.11 notices in a manner 
consistent with Sec.  9.11. For purposes of this Notice and Order, the 
term ``process'' generally refers to receipt of filings and review of 
filings for compliance with applicable requirements. Section 9.11(a) 
requires that whenever an exchange decision, pursuant to which a 
disciplinary or access denial action to be imposed has become final, 
the exchange must provide written notice of such action to the NFA 
within 30 days. In addition, Sec.  9.11 notices filed with the NFA must 
satisfy all of the content requirements set forth in Sec.  9.11(b). 
Toward that end, notices filed with the NFA will be deemed certified 
when an authorized exchange employee verifies the accuracy of the 
information entered into BASIC.

B. Commission Access to BASIC and Reports

    The NFA must provide the Commission with access to the BASIC system 
so that the Commission can diligently carry out its legislative 
mandate. This includes access to a Management Report that includes the 
following for each disciplinary or access denial action:
     Name of Contributor (i.e., an exchange, the NFA, or the 
Commission);
     Name of Respondent;
     Contributor Reference Number (i.e., disciplinary case 
number generated by contributor);
     Date of Decision or Order;
     Date of Notification of NFA;
     Total Number of Days for Data to be Released into BASIC 
(i.e., number of days from the date of an exchange final action until 
the date of exchange verification/certification); and
     Name of Staff Person Entering Data (i.e., initials).
    The Commission currently has access to the BASIC system and the 
ability to generate 26 standardized reports that are customizable with 
respect to the timeframe selected (e.g., January 1, 2017 to May 31, 
2017), including the Management Report. Among other things, the 
Commission is able to analyze the data maintained in BASIC by: 
Disciplinary actions against firms or individuals resulting in fines, 
suspensions, or expulsions; disciplinary actions issued by each 
exchange; and the type of rule violations across all exchanges. The 
Commission generates these reports on an as needed basis. As the 
Commission needs these reports for effective oversight of the 
exchanges, the NFA must continue to provide the Commission with the 
capability to generate each of these reports from BASIC. The NFA shall 
continue working with the Commission to develop additional query 
capabilities as the Commission deems necessary to fulfill its 
regulatory and oversight responsibilities.

C. BASIC Maintenance

    The NFA shall maintain, and serve as the official custodian of, 
records for exchange Sec.  9.11 filings. The NFA shall fulfill this 
obligation by continuing to maintain the BASIC system and further 
developing it as necessary to comply with the terms of this Notice and 
Order. The NFA shall also implement such additional procedures (or 
modify existing procedures) as are necessary to reasonably ensure the 
security and integrity of these records.

III. Authority

    Pursuant to section 8a(10) of the Act, the Commission has issued 
numerous orders authorizing the NFA to perform various portions of the 
Commission's registration functions and responsibilities under the 
Act.\6\ In this connection, the Commission has previously issued orders 
authorizing the

[[Page 1550]]

NFA to perform the full range of registration processing functions with 
respect to applicants for and persons registered as a: futures 
commission merchant, commodity pool operator, or commodity trading 
advisor; \7\ introducing broker; \8\ leverage transaction merchant; \9\ 
floor broker; \10\ floor trader; \11\ retail foreign exchange dealer; 
\12\ and swap dealer or major swap participant (collectively, 
registrants).\13\ Additionally, the NFA has adopted, and the Commission 
has approved, rules that govern the performance of the registration 
functions. For example, NFA Rule 501 pertains to the NFA's authority to 
deny, condition, suspend, and revoke registration for registrants. NFA 
Rule 504 sets forth the procedures governing applicants and registrants 
disqualified from registration under sections 8a(2), 8a(3), or 8a(4) of 
the Act.
---------------------------------------------------------------------------

    \6\ 7 U.S.C. 12a(10) (2014). Further, CEA section 17(o) provides 
that the Commission may require a registered futures association 
(``RFA'') to perform Commission registration functions in accordance 
with the Act and the RFA's rules. 7 U.S.C. 21(o) (2014).
    \7\ See 49 FR 39593 (Oct. 9, 1984).
    \8\ See 48 FR 35158 (Aug. 3, 1983).
    \9\ See 54 FR 19556 (May 8, 1989).
    \10\ See 51 FR 34490 (Sep. 29, 1986).
    \11\ See 58 FR 19657 (Apr. 15, 1993).
    \12\ See 75 FR 55310 (Sep. 10, 2010).
    \13\ See 77 FR 2708 (Jan. 19, 2012).
---------------------------------------------------------------------------

    In light of NFA's experience in processing and maintaining exchange 
disciplinary and access denial actions on behalf of the Commission, the 
Commission has determined that it will continue to delegate these 
functions to the NFA. This Notice and Order is in accord with the 
Commission's previous delegations to the NFA to perform registration 
processing functions with respect to applicants and registrants, in 
that, an individual's or firm's disciplinary history clearly is a 
factor that must be considered in any fitness determination. Deeming 
the NFA as the custodian of all exchange Sec.  9.11 filings, and 
delegating to the NFA the responsibility for processing such filings 
and generating reports with the information amassed, should ensure that 
the NFA has the necessary information to continue to make appropriate 
registration determinations. Further, the Commission believes that this 
delegation order will enhance efficiency by permitting the Commission 
to carry out its statutory responsibilities under the CEA, while also 
freeing up Commission resources to be directed to other parts of its 
regulatory mandate.

IV. Conclusion and Order

    The Commission has determined, in accordance with section 8a(10) of 
the Act, to delegate to the NFA the authority to perform the following 
functions:
    (1) To process exchange disciplinary information filed with it by 
an exchange or the Commission for inclusion in the BASIC system;
    (2) To provide the Commission with access to a Management Report 
summarizing all recent exchange disciplinary information and to provide 
the Commission with the capability to generate standardized reports on 
the BASIC system;
    (3) To assist the Commission in enforcing exchange compliance with 
regulation 9.11 filing requirements; and
    (4) To serve as the official custodian of a database containing 
records of all exchange disciplinary and access denial actions filed 
with the NFA for inclusion in the BASIC system.
    The NFA is authorized to perform all functions specified herein 
until such time as the Commission orders otherwise. Nothing in this 
Notice and Order shall affect the Commission's oversight authority of 
exchange disciplinary programs. The Commission is retaining all of its 
oversight authority, including its authority to review and to modify 
exchange disciplinary actions and to take enforcement or other remedial 
action against exchanges for noncompliance with Sec.  9.11. The NFA may 
submit to the Commission for clarification any specific matters that 
have been delegated to it, and
    Commission staff will be available to discuss with NFA staff issues 
relating to implementation of this Notice and Order.

    Issued in Washington, DC, on January 9, 2018, by the Commission.
Christopher J. Kirkpatrick,
Secretary of the Commission.

Appendix to Performance of Certain Functions by the National Futures 
Association With Respect to Regulation 9.11--Commission Voting Summary

    On this matter, Chairman Giancarlo and Commissioners Quintenz 
and Behnam voted in the affirmative. No Commissioner voted in the 
negative.

[FR Doc. 2018-00468 Filed 1-11-18; 8:45 am]
BILLING CODE 6351-01-P

1548 Federal Register / Vol. 83, No. 9 / Friday, January 12, 2018 / Rules and Regulations

§ 9.12 Effective date of disciplinary or § 9.24(a)(2) will be increased by one Division in the manner requested by the
access denial action. day. Division and, upon request, deliver that
(a) Effective date. Any disciplinary or ■ 13. Revise § 9.13 to read as follows: information to the person who is the
access denial action taken by an subject of the disciplinary or access
exchange will not become effective until § 9.13 Publication of notice. denial action. Delivery to the person
at least fifteen days after the written Whenever an exchange suspends, who is the subject of the disciplinary or
notice prescribed by § 9.11 is delivered expels or otherwise disciplines, or access denial action must be in the
to the person disciplined or denied denies any person access to the manner prescribed by § 9.11(c). A
access; Provided, however, That the exchange, it must make public its person subject to the disciplinary action
exchange may cause a disciplinary findings by disclosing at least the or access denial action requesting a
action to become effective prior to that information contained in the notice copy of the information furnished to the
time if: required by § 9.11(b). An exchange must Division must, if the exchange rules so
(1) As permitted by part 37, appendix make such findings public as soon as provide, agree to pay the exchange
B, Core Principle 2, paragraph (a)(14) of the disciplinary action or access denial reasonable fees for printing the copy.
this chapter or part 38, appendix B, Core action becomes effective in accordance (b) Review on motion of the
Principle 13, paragraph (a)(7) of this with the provisions of § 9.12 by posting Commission. The Commission may
chapter (emergency disciplinary a notice on its website to which its institute review of an exchange
actions), the exchange reasonably members and the public regularly have disciplinary or access denial action on
believes, and so states in its written access. Such notice must be maintained its own motion. Other than in
decision, that immediate action is and readily available on the exchange’s extraordinary circumstances, such
necessary to protect the best interests of website. review will be initiated within 180 days
the marketplace; or ■ 14. In § 9.24, revise paragraph (a)(2) to after the NFA has received the notice of
(2) As permitted by part 37, appendix read as follows: exchange action provided for in § 9.11.
B, Core Principle 2, paragraph (a)(10)(vi) If the Commission should institute
§ 9.24 Petition for stay pending review. review on its own motion, it will issue
of this chapter or part 38, appendix B, (a) * * *
Core Principle 13, paragraph (a)(4) of an order permitting the person who is
(2) Within ten days after a notice of the subject of the disciplinary or access
this chapter (hearings), the exchange summary action has been delivered in
determines, and so states in its written denial action an opportunity to file an
accordance with § 9.12(b) to a person appropriate submission, and the
decision, that the actions of a person who is the subject of a summary action
who is within the exchange’s exchange an opportunity to file a reply
permitted by part 37, appendix B, Core thereto.
jurisdiction has impeded the progress of Principle 2, paragraph (a)(14) of this
a disciplinary hearing; or chapter or part 38, appendix B, Core Issued in Washington, DC, on January 9,
(3) As permitted by part 37, appendix 2018, by the Commission.
Principle 13, paragraph (a)(7) of this
B, Core Principle 2, paragraph (a)(13) of chapter (emergency disciplinary Christopher J. Kirkpatrick,
this chapter (summary fines for actions), that person may petition the Secretary of the Commission.
violations of rules regarding timely Commission to stay the effectiveness of Note: The following appendix will not
submission of records) or part 38, the summary action pending completion appear in the Code of Federal Regulations.
appendix B, Core Principle 13, of the exchange proceeding.
paragraph (a)(6) of this chapter * * * * * Appendix to Technical Amendments to
(summary fines for violations of rules Rules on Registration and Review of
■ 15. Revise § 9.31 to read as follows:
regarding timely submission of records, Exchange Disciplinary, Access Denial
decorum, or other similar activities), the § 9.31 Commission review of disciplinary or Other Adverse Actions—Commission
exchange determines that a person has or access denial action on its own motion. Voting Summary
violated exchange rules relating to (a) Request for additional information. On this matter, Chairman Giancarlo and
decorum or attire, or timely submission Where a person disciplined or denied Commissioners Quintenz and Behnam voted
of accurate records required for clearing access has not appealed the exchange in the affirmative. No Commissioner voted in
or verifying each day’s transactions or decision to the Commission, upon the negative.
other similar activities; or review of the notice specified in § 9.11, [FR Doc. 2018–00467 Filed 1–11–18; 8:45 am]
(4) The person against whom the the Division of Market Oversight or the BILLING CODE 6351–01–P
action is taken has consented to the Division of Swap Dealer and
penalty to be imposed and to the timing Intermediary Oversight may request that
of its effectiveness. the exchange file with the Division the COMMODITY FUTURES TRADING
(b) Notice of early effective date. If the record of the exchange proceeding, or COMMISSION
exchange determines in accordance designated portions of the record, a brief
with paragraph (a)(1) of this section that statement of the evidence and testimony 17 CFR Part 9
a disciplinary action will become adduced to support the exchange’s
effective prior to the expiration of findings that a rule or rules of the Performance of Certain Functions by
fifteen days after written notice thereof, exchange were violated and such the National Futures Association With
it must notify the person disciplined in recordings, transcripts and other Respect to the Receipt and Processing
writing, either personally or by email to documents applicable to the particular of Exchange Disciplinary and Access
the person’s last known email address, exchange proceeding as the Division Denial Action Information
sradovich on DSK3GMQ082PROD with RULES

stating the reasons for the may specify. The exchange must AGENCY: Commodity Futures Trading
determination. The exchange must also promptly advise the person who is the Commission.
immediately notify the Commission by subject of the disciplinary or access ACTION: Notice and order; delegation of
email to secretary@cftc.gov. Where denial action of the Division’s request. authority.
notice is delivered by email, the time Within thirty days after service of the
within which the person so notified Division’s request, the exchange must SUMMARY: The Commodity Futures
may file a petition for stay pursuant to file the information requested with the Trading Commission (‘‘Commission’’ or

VerDate Sep<11>2014 15:52 Jan 11, 2018 Jkt 244001 PO 00000 Frm 00034 Fmt 4700 Sfmt 4700 E:\FR\FM\12JAR1.SGM 12JAR1

1550 Federal Register / Vol. 83, No. 9 / Friday, January 12, 2018 / Rules and Regulations

NFA to perform the full range of or the Commission for inclusion in the SUMMARY: The Federal Energy
registration processing functions with BASIC system; Regulatory Commission (Commission) is
respect to applicants for and persons (2) To provide the Commission with issuing a final rule to amend its
registered as a: futures commission access to a Management Report regulations governing the maximum
merchant, commodity pool operator, or summarizing all recent exchange civil monetary penalties assessable for
commodity trading advisor; 7 disciplinary information and to provide violations of statutes, rules, and orders
introducing broker; 8 leverage the Commission with the capability to within the Commission’s jurisdiction.
transaction merchant; 9 floor broker; 10 generate standardized reports on the The Federal Civil Penalties Inflation
floor trader; 11 retail foreign exchange BASIC system; Adjustment Act of 1990, as amended
dealer; 12 and swap dealer or major swap (3) To assist the Commission in most recently by the Federal Civil
participant (collectively, registrants).13 enforcing exchange compliance with Penalties Inflation Adjustment Act
Additionally, the NFA has adopted, and regulation 9.11 filing requirements; and Improvements Act of 2015, requires the
the Commission has approved, rules (4) To serve as the official custodian Commission to issue this final rule.
that govern the performance of the of a database containing records of all DATES: This final rule is effective
registration functions. For example, exchange disciplinary and access denial January 12, 2018.
NFA Rule 501 pertains to the NFA’s actions filed with the NFA for inclusion FOR FURTHER INFORMATION CONTACT:
authority to deny, condition, suspend, in the BASIC system. Todd Hettenbach, Attorney, Office of
and revoke registration for registrants. The NFA is authorized to perform all Enforcement, Federal Energy Regulatory
NFA Rule 504 sets forth the procedures functions specified herein until such Commission, 888 First Street NE,
governing applicants and registrants time as the Commission orders Washington, DC 20426, (202) 502–8794
disqualified from registration under otherwise. Nothing in this Notice and Todd.Hettenbach@ferc.gov.
sections 8a(2), 8a(3), or 8a(4) of the Act. Order shall affect the Commission’s
SUPPLEMENTARY INFORMATION:
In light of NFA’s experience in oversight authority of exchange
processing and maintaining exchange disciplinary programs. The Commission Order No. 839
disciplinary and access denial actions is retaining all of its oversight authority, Final Rule
on behalf of the Commission, the including its authority to review and to
modify exchange disciplinary actions 1. In this final rule, the Federal
Commission has determined that it will Energy Regulatory Commission
continue to delegate these functions to and to take enforcement or other
remedial action against exchanges for (Commission) is complying with its
the NFA. This Notice and Order is in statutory obligation to amend the civil
accord with the Commission’s previous noncompliance with § 9.11. The NFA
may submit to the Commission for monetary penalties provided by law for
delegations to the NFA to perform matters within the agency’s jurisdiction.
registration processing functions with clarification any specific matters that
respect to applicants and registrants, in have been delegated to it, and Background
that, an individual’s or firm’s Commission staff will be available to
2. The Federal Civil Penalties
disciplinary history clearly is a factor discuss with NFA staff issues relating to
Inflation Adjustment Act Improvements
that must be considered in any fitness implementation of this Notice and
Act of 2015 (2015 Adjustment Act),1
determination. Deeming the NFA as the Order.
which further amended the Federal
custodian of all exchange § 9.11 filings, Issued in Washington, DC, on January 9, Civil Penalties Inflation Adjustment Act
and delegating to the NFA the 2018, by the Commission. of 1990 (1990 Adjustment Act),2
responsibility for processing such filings Christopher J. Kirkpatrick, required the head of each federal agency
and generating reports with the Secretary of the Commission. to issue a rule by July 2016 adjusting for
information amassed, should ensure inflation each ‘‘civil monetary penalty’’
Appendix to Performance of Certain
that the NFA has the necessary provided by law within the agency’s
Functions by the National Futures
information to continue to make jurisdiction and to make further
Association With Respect to Regulation
appropriate registration determinations. inflation adjustments on an annual basis
9.11—Commission Voting Summary
Further, the Commission believes that every January 15 thereafter.3
this delegation order will enhance On this matter, Chairman Giancarlo and
Commissioners Quintenz and Behnam voted II. Discussion
efficiency by permitting the
Commission to carry out its statutory in the affirmative. No Commissioner voted in 3. The 2015 Adjustment Act defines a
responsibilities under the CEA, while the negative. civil monetary penalty as any penalty,
also freeing up Commission resources to [FR Doc. 2018–00468 Filed 1–11–18; 8:45 am] fine, or other sanction that: (A)(i) Is for
be directed to other parts of its BILLING CODE 6351–01–P a specific monetary amount as provided
regulatory mandate. by federal law; or (ii) has a maximum
amount provided for by federal law; (B)
IV. Conclusion and Order is assessed or enforced by an agency
DEPARTMENT OF ENERGY
The Commission has determined, in pursuant to federal law; and (C) is
accordance with section 8a(10) of the Federal Energy Regulatory assessed or enforced pursuant to an
Act, to delegate to the NFA the authority Commission administrative proceeding or a civil
to perform the following functions: action in the federal courts.4 This
(1) To process exchange disciplinary 18 CFR Parts 250 and 385
1 Sec. 701, Public Law 114–74, 129 Stat. 584, 599.
information filed with it by an exchange [Docket No. RM18–4–000; Order No. 839] 2 Public Law 101–410, 104 Stat. 890 (codified as
sradovich on DSK3GMQ082PROD with RULES

7 See amended at 28 U.S.C. 2461 note).
49 FR 39593 (Oct. 9, 1984). Civil Monetary Penalty Inflation 3 28 U.S.C. 2461 note, at (4). The Commission
8 See 48 FR 35158 (Aug. 3, 1983).
9 See 54 FR 19556 (May 8, 1989).
Adjustments made its January 2017 adjustment on January 9,
2017, in Docket No. RM17–9–000. See Civil
10 See 51 FR 34490 (Sep. 29, 1986).
AGENCY: Federal Energy Regulatory Monetary Penalty Inflation Adjustments, Order No.
11 See 58 FR 19657 (Apr. 15, 1993).
Commission. 834, 82 FR 8137 (Jan. 24, 2017), FERC Stats. & Regs.
12 See 75 FR 55310 (Sep. 10, 2010). ¶ 31,390 (2017).
13 See 77 FR 2708 (Jan. 19, 2012).
ACTION: Final rule. 4 Id. (3).

VerDate Sep<11>2014 15:52 Jan 11, 2018 Jkt 244001 PO 00000 Frm 00036 Fmt 4700 Sfmt 4700 E:\FR\FM\12JAR1.SGM 12JAR1

Document Created: 2018-10-26 09:53:01
Document Modified: 2018-10-26 09:53:01

Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Rules and Regulations
Action		Notice and order; delegation of authority.
Dates		This notice and order takes effect on March 13, 2018.
Contact		Rachel Berdansky, Deputy Director, 202-418-5429 or [email protected]; David Steinberg, Associate Director, 202-418-5102 or [email protected]; Division of Market Oversight, Commodity Futures Trading Commission, Three Lafayette Centre, 1151 21st Street NW, Washington, DC 20581.
FR Citation		83 FR 1548