17 C.F.R. Appendix D to Part 40—Submission Cover Sheet and Instructions
Title 17 - Commodity and Securities Exchanges
A properly completed submission cover sheet must accompany all rule submissions submitted electronically by a designated contract market, registered derivatives transaction execution facility, or registered derivatives clearing organization to the Secretary of the Commodity Futures Trading Commission, at [email protected] in a format specified by the Secretary of the Commission. Each submission should include the following: 1. Identifier Code (optional)—If applicable, the exchange or clearing organization Identifier Code at the top of the cover sheet. Such codes are commonly generated by the exchanges or clearing organizations 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 the appropriate box for a designated contract market (DCM), derivatives clearing organization (DCO), or derivatives transaction execution facility (DTEF). 5. Type of Filing—Indicate whether the filing is a rule amendment or new product and the applicable category under that heading. 6. Rule Numbers—For rule filings only, identify rule number(s) being adopted or modified in the case of rule amendment filings. 7. Description—For rule or rule amendment filings only, enter a brief description of the new rule or rule amendment. This narrative should describe the substance of the submission with enough specificity to characterize all essential aspects of the filing. 8. Other Requirements—Comply with all filing requirements for the underlying proposed rule or rule amendment. The filing of the submission cover sheet does not obviate the responsibility to comply with any applicable filing requirement (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). A sample of the required submission cover sheet follows. [69 FR 67505, Nov. 18, 2004, as amended at 71 FR 1971, Jan. 12, 2006]
Title 17: Commodity and Securities Exchanges
PART 40—PROVISIONS COMMON TO CONTRACT MARKETS, DERIVATIVES TRANSACTION EXECUTION FACILITIES AND DERIVATIVES CLEARING ORGANIZATIONS
Appendix D to Part 40—Submission Cover Sheet and Instructions
