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.
Document
Performance of Certain Functions by the National Futures Association With Respect to the Receipt and Processing of Exchange Disciplinary and Access Denial Action Information
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is updating the delegation it issued in 1999 to the National Futures Association (``NFA'') regarding the du...
Legal Citation
Federal Register Citation
Use this for formal legal and research references to the published document.
83 FR 1548
Web Citation
Suggested Web Citation
Use this when citing the archival web version of the document.
“Performance of Certain Functions by the National Futures Association With Respect to the Receipt and Processing of Exchange Disciplinary and Access Denial Action Information,” thefederalregister.org (January 12, 2018), https://thefederalregister.org/documents/2018-00468/performance-of-certain-functions-by-the-national-futures-association-with-respect-to-the-receipt-and-processing-of-excha.