Part 40, Provisions Common to Registered Entities

The requested information is essential to the staff's review of submissions and the Commission's oversight of the self-regulatory actions of designated contract markets, swap execution facilities, derivatives clearing organizations, and swap data repositories. The Electronic Trading Risk Principles Final Rule updates and modernizes Commission requirements in response to the evolution from pit trading to electronic trading. The risk principles adopted in the Final Rule are focused on electronic trading and order routing by DCMs and market participants. The risk principles are intended to mitigate the risk of market disruption and promote market integrity in connection with the trading on DCMs. Final Commission regulation 38.251(e) requires DCMs to adopt and implement rules governing market participants subject to their jurisdiction to prevent, detect, and mitigate market disruptions or system anomalies associated with electronic trading. DCMs are required to submit any rules addressing market disruptions or system anomalies associated with electronic trading to the Commission for adoption pursuant to §40.5 or §40.6. The obligations created by the final rules are essential to promote market integrity and reduce instances of market disruptions.

The latest form for Part 40, Provisions Common to Registered Entities expires 2024-01-31 and can be found here.