Market regulation · 23/07/1999

Commodity Futures Trading Commission Issues Guidance on Alternative Methods for Disclosure of Exchange Disciplinary Information

The Commodity Futures Trading Commission is providing guidance on alternative methods for exchanges to comply with Regulation 9.11(a) regarding the disclosure of information on disciplinary actions and access denial actions, allowing exchanges to electronically transmit notices to the National Futures Association's Background Affiliation Status Information Center (BASIC) system or deliver written notice to be input into BASIC.