2018-14272: Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations
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The Commodity Futures Trading Commission ("Commission" or "CFTC") 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.
The agency’s own summary, as published.
What this changes
Amends 1 part of the Code of Federal Regulations — the standing rules this notice rewrites.
Rulemaking docket
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