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17 C.F.R. · Commodity and Securities Exchanges
17 C.F.R. § 1.67

Notification of final disciplinary action involving financial harm to a customer.

Title 17 C.F.R. ● ACTIVE Primary Source
Regulatory Text

17 C.F.R. § 1.67 — Notification of final disciplinary action involving financial harm to a customer.

§ 1.67 Notification of final disciplinary action involving financial harm to a customer. (a) Definitions. For purposes of this section: Final disciplinary action means any decision by or settlement with a contract market or swap execution facility in a disciplinary matter which cannot be further appealed at the contract market or swap execution facility, is not subject to the stay of the Commission or a court of competent jurisdiction, and has not been reversed by the Commission or any court of competent jurisdiction. (b) Upon any final disciplinary action in which a contract market or swap execution facility finds that a member has committed a rule violation that involved a transaction for a customer, whether executed or not, and that resulted in financial harm to the customer: (1)(i) The contract market or swap execution facility shall promptly provide written notice of the disciplinary action to the futures commission merchant or other registrant; and (ii) A futures commission merchant or other registrant that receives a notice, under paragraph (b)(1)(i) of this section shall promptly provide written notice of the disciplinary action to the customer as disclosed on its books and records. If the customer is another futures commission merchant or other registrant, such futures commission merchant or other registrant shall promptly provide notice to the customer. (2) A written notice required by paragraph (b)(1) of this section must include the principal facts of the disciplinary action and a statement that the contract market or swap execution facility has found that the member has committed a rule violation that involved a transaction for the customer, whether executed or not, and that resulted in financial harm to the customer. For the purposes of this paragraph, a notice which includes the information listed in § 9.11(b) of this chapter shall be deemed to include the principal facts of the disciplinary action thereof. [77 FR 66331, Nov. 2, 2012]

Source: ecfr.gov · govinfo.gov — public domain Official Source ↗
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BS-CFR17-SEC-4208A6
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REGULATION / FEDERAL-CFR-SECTION
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boisestandard.org
Citation
17 C.F.R. § 1.67
Corpus
CFR — Code of Federal Regulations
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✓ ACTIVE
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PRIMARY-SOURCE
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✓ TRUE
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e6ce312b21290503...
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Pending — corpus passes queued
The regulatory text of 17 C.F.R. § 1.67 is reproduced from the official Code of Federal Regulations as published by the Office of the Federal Register and the National Archives and Records Administration.
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Title 17 — Commodity and Securities Exchanges
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17 C.F.R. — public domain ← All Legislation
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boisestandard.org → United States → Law → CFR → Title 17 → 17 C.F.R. § 1.67