Rule Certification

Rule Certification & Approval Procedures (applicable to DCMs, DCOs, SEFs)

The Commission has issued proposed rules to implement the Dodd-Frank Wall Street Reform and Consumer Protection Act, and is seeking input on these rules from the public.

A list of proposed rules for this topic, along with other related Federal Register notices, is provided below. Members of the public are encouraged to review proposed rules, and offer comment by clicking the associated "Comment File" link.

How to submit a comment

Additional information regarding Rule Certification & Approval Procedures (applicable to DCMs, DCOs, SEFs) is provided below, including factsheets for each proposed rule, and details of meetings held between CFTC staff and outside parties. 

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, 2011

Final Rule: 76 FR 44776 // PDF Version
7/27/2011
17 CFR Part 40 Provisions Common to Registered Entities
Effective Date: September 26, 2011

Proposed Rule: 75 FR 67282 // PDF Version
11/2/2010
17 CFR Part 40 Provisions Common to Registered Entities
Comment File – Closing Date: 1/3/2011

Additional Information

Fact Sheet: Part 40 Final Rulemaking
Q&A: Part 40 Final Rulemaking

Event: 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 40

Event: Open Meeting on Third Series of Proposed Rules under the Dodd-Frank Act