Rule Certification
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Rule Certification & Approval Procedures (applicable to DCMs, DCOs, SEFs)
The Commission finalized rules to implement the Dodd-Frank Wall Street Reform and Consumer Protection Act regarding Rule Certification & Approval Procedures applicable to DCMs, DCOs, SEFs.
Related Federal Register Releases
Final Rule: 76 FR 45666 // PDF Version
8/1/2011
17 CFR Part 40 Provisions Common to Registered Entities; Correction
Effective Date: September 26, 2011Final Rule: 76 FR 44776 // PDF Version
7/27/2011
17 CFR Part 40 Provisions Common to Registered Entities
Effective Date: September 26, 2011Proposed Rule: 75 FR 67282 // PDF Version
11/2/2010
17 CFR Part 40 Provisions Common to Registered Entities
Comment File – Closing Date: 1/3/2011Additional Information
Fact Sheet: Part 40 Final Rulemaking
Q&A: Part 40 Final RulemakingEvent: Open Meeting on Three Final Rule Proposals and Two Proposed Rules under the Dodd-Frank Act
Fact Sheet: Proposed Rules to Implement New Statutory Provisions in Part 40 of the Commission Regulations
Q&A: Part 40Event: Open Meeting on Third Series of Proposed Rules under the Dodd-Frank Act
JP Morgan
Goldman Sachs
Barclays
Morgan Stanley
VI. Segregation and Bankruptcy
XV. Rule Certification
XIII. SEF Registration
XIV. FBOT Registration
XV. Rule Certification
Argus Oil Market Regulation Summit 2010
See Also:
