Source: http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&rgn=div5&view=text&node=17:1.0.1.1.33&idno=17
Timestamp: 2015-11-29 03:23:47
Document Index: 491914309

Matched Legal Cases: ['art 40', '§40', '§40', '§40', '§40', '§40', '§40', '§40', '§145', '§145', '§145', '§40', 'art 40', '§40', '§40', '§145']

Title 17 → Chapter I → Part 40
§40.8 Availability of public information.(a) The following sections of all applications to become a designated contract market, swap execution facility, derivatives clearing organization, or swap data repository shall be made publicly available: Transmittal letter and first page of the application cover sheet, proposed rules, narrative summary of the applicant's proposed activities and regulatory compliance chart, documents establishing the applicant's legal status, documents setting forth the applicant's corporate and governance structure and any other part of the application not covered by a request for confidential treatment.(b) [Reserved](c) A registered entity's filing of new products pursuant to the self-certification procedures of §40.2 of this part, new products for Commission review and approval pursuant to §40.3 of this part, new rules and rule amendments for Commission review and approval pursuant to §40.4 or §40.5 of this part, and new rules and rule amendments pursuant to the self-certification procedures of §40.6 and §40.10 of this part shall be treated as public information unless accompanied by a request for confidential treatment. If a registered entity files a request for confidential treatment, the following procedures shall apply:(1) A detailed written justification of the confidential treatment request must be filed simultaneously with the request for confidential treatment. The form and content of the detailed written justification shall be governed by §145.9 of this chapter;(2) All material for which confidential treatment is requested must be segregated in an appendix to the submission;(3) The submission itself must indicate that material has been segregated and, as appropriate, an additional redacted version provided;(4) Commission staff may make an initial determination with respect to the request for confidential treatment without regard to whether a request for the information has been sought under the Freedom of Information Act;(5) All requests for confidential treatment shall be subject to the process provided by §145.9 of this chapter.(6) A submitter of information under this part may appeal an adverse decision by staff to the Commission's Office of General Counsel. The form and content of such appeal shall be governed by §145.9(g) of this chapter.(7) The grant of any part of a request for confidential treatment under this section may be reconsidered if a subsequent request under the Freedom of Information Act is made for the information.(d) Commission staff will not consider confidential treatment requests for information that is required to be made public under the Act. The terms and conditions of a product submitted to the Commission pursuant to §§40.2, 40.3, 40.5 and 40.6 of this part shall be made publicly available at the time of submission.
[76 FR 44790, July 27, 2011, as amended at 80 FR 59578, Oct. 2, 2015]
Appendix D to Part 40—Submission Cover Sheet and Instructions(a) A properly completed submission cover sheet shall accompany all rule and product submissions submitted electronically by a registered entity in a format and manner specified by the Secretary of the Commission to the Secretary of the Commission. A properly completed submission cover sheet shall include all of the following:1. Identifier Code (optional)—A registered entity Identifier Code at the top of the cover sheet, if applicable. Such codes are commonly generated by registered entities to provide an identifier that is unique to each filing (e.g., NYMEX Submission 03-116).2. Date—The date of the filing.3. Organization—The name of the organization filing the submission (e.g., CBOT).4. Filing as a—Check in the appropriate box indicating that the rule or product is being submitted by a designated contract market (DCM), derivatives clearing organization (DCO), swap execution facility (SEF), or swap data repository (SDR).5. Type of Filing—An indication as to whether the filing is a new rule, rule amendment or new product. The registered entity should check the appropriate box to indicate the applicable category under that heading.6. Rule Numbers—For rule filings, the rule number(s) being adopted or modified in the case of rule amendment filings.7. Description—For rule or rule amendment filings, a description of the new rule or rule amendment, including a discussion of its expected impact on the registered entity, market participants, and the overall market. The narrative should describe the substance of the submission with enough specificity to characterize all material aspects of the filing.(b) Other Requirements—A submission shall comply with all applicable filing requirements for proposed rules, rule amendments, or products. The filing of the submission cover sheet does not obviate the registered entity's responsibility to comply with applicable filing requirements (e.g., rules submitted for Commission approval under §40.5 must be accompanied by an explanation of the purpose and effect of the proposed rule along with a description of any substantive opposing views).(c) Checking the box marked “confidential treatment requested” on the Submission Cover Sheet does not obviate the submitter's responsibility to comply with all applicable requirements for requesting confidential treatment in §40.8 and, where appropriate, §145.9 of this chapter, and will not substitute for notice or full compliance with such requirements.
[80 FR 59578, Oct. 2, 2015]