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Title 17: Commodity and Securities Exchanges
CHAPTER I: COMMODITY FUTURES TRADING COMMISSION
PART 40: PROVISIONS COMMON TO REGISTERED ENTITIES
40.8 - Availability of public information.
(a) The following sections of all applications to become a designated contract market, derivatives execution transaction facility or designated clearing organization will be public: transmittal letter, proposed rules, the applicant's regulatory compliance chart, documents establishing the applicant's legal status, documents setting forth the applicant's governance structure, and any other part of the application not covered by a request for confidential treatment.
(b) The following submissions required by ? 36.3(c)(4) of this chapter by an electronic trading facility on which significant price discovery contracts are traded or executed will be public: rulebook, the facility's regulatory compliance chart, documents establishing the facility's legal status, documents setting forth the facility's governance structure, and any other parts of the submissions not covered by a request for confidential treatment.
(c) Any information required to be made publicly available by a registered entity under Sections 5(d)(7), 5a(d)(4) and 5b(c)(2)(L) of the Act, respectively, will be treated as public information by the Commission at the time an order of designation or registration is issued by the Commission, a registered entity is deemed to be designated or registered, or a rule or rule amendment of the registered entity is approved or deemed to be approved by the Commission or can first be made effective the day following its certification by the registered entity.
(d) Commission staff will not consider requests for confidential treatment of information that is required to be made public under section 5(d)(7) of the Act of Commission regulations ? 40.3(a)(7) or ? 40.5(a)(8).
[67 FR 62880, Oct. 9, 2002, as amended at 69 FR 67505, Nov. 18, 2004; 71 FR 1971, Jan. 12, 2006; 74 FR 17394, Apr. 15, 2009]
Editorial Note:
At 74 FR 17394, Apr. 15, 2009, ? 40.8 was amended by adding (c); however, the amendment could not be incorporated because (c) already exists.
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