On January 9, the Commodity Futures Trading Commission announced it had unanimously approved final rules that update Parts 3 (Registration) and 9 (Review of Exchange Disciplinary, Access Denial or Other Adverse Actions). These updates integrate existing advisory guidance, incorporate swap execution facilities, and update provisions currently applicable to designated contract markets. The CFTC also approved an updated notice and order for the National Futures Association (NFA) to manage exchange disciplinary and access denial notices.
The amended rules will be effective 60 days after publication in the Federal Register.
CFTC’s Release is available here.