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CFTC | RIN: 3038-AE73 | Publication ID: Fall 2018 |
Title: ●Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations | |
Abstract:
The Commodity Futures Trading Commission ("Commission") is proposing to amend its regulations governing the minimum standards for a self-regulatory organization’s (SRO) financial surveillance examination program of futures commission merchants (FCMs). The proposed amendments would revise the scope of a third-party expert’s evaluation of the SRO’s financial surveillance program to cover only the examination standards used by SRO staff in conducting FCM examinations. The proposed amendments also would revise the minimum timeframes between when an SRO must engage a third-party expert to evaluate its FCM examination standards. |
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Agency: Commodity Futures Trading Commission(CFTC) | Priority: Other Significant |
RIN Status: First time published in the Unified Agenda | Agenda Stage of Rulemaking: Final Rule Stage |
Major: Undetermined | Unfunded Mandates: Undetermined |
EO 13771 Designation: Independent agency | |
CFR Citation: 17 CFR 1 | |
Legal Authority: 7 U.S.C. 6c, 6f, 7, 12a and 21 (2012) |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: No | Government Levels Affected: None |
Federalism: No | |
Included in the Regulatory Plan: No | |
RIN Data Printed in the FR: No | |
Agency Contact: Thomas J. Smith Deputy Director, Market Participants Division Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581 Phone:202 418-5495 Email: tsmith@cftc.gov Joshua Beale Associate Director, Market Participants Division Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581 Phone:202 418-5446 Email: jbeale@cftc.gov Jennifer Bauer Special Counsel, Division of Swap Intermediary Oversight Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581 Phone:202 418-5472 Fax:202 418-5528 Email: jbauer@cftc.gov |