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Electronic Code of Federal Regulations
Title 17: Commodity and Securities Exchanges
§41.23 Listing of security futures products for trading.
(a) Initial listing of products for trading. To list new security futures products for trading, a designated contract market shall submit to the Commission at its Washington, DC headquarters, either in electronic or hard-copy form, to be received by the Commission no later than the day prior to the initiation of trading, a filing that:
(1) Is labeled “Listing of Security Futures Product;”
(2) Includes a copy of the product's rules, including its terms and conditions;
(3) Includes the certifications required by §41.22;
(4) Includes a certification that the terms and conditions of the contract comply with the additional conditions for trading of §41.25;
(5) If the board of trade is a designated contract market pursuant to section 5 of the Act, it includes a certification that the security futures product complies with the Act and rules thereunder; and
(6) Includes a copy of the submission cover sheet in accordance with the instructions in appendix D of part 40.
(7) Includes a request for confidential treatment as permitted under the procedures of §40.8.
(b) Voluntary submission of security futures products for Commission approval. A designated contract market may request that the Commission approve any security futures product under the procedures of §40.5 of this chapter, provided however, that the registered entity shall include the certification required by §41.22 with its submission under §40.5 of this chapter. Notice designated contract markets may not request Commission approval of security futures products.
[66 FR 55083, Nov. 1, 2001, as amended at 69 FR 67507, Nov. 18, 2004; 74 FR 17394, Apr. 15, 2009; 77 FR 66344, Nov. 2, 2012]