// definition
Product self-certification
A compliance submission to the CFTC
Short definition
A procedure under CFTC rule 40.2 allowing a registered venue to submit a product for trading by certifying compliance. The filing includes the terms and supporting analysis. This route differs from a request for express approval; the CFTC may require further information and retains its oversight powers.
risk atlas
Knowledge map
Intuition
The venue certifies compliance and documents the product’s characteristics.
Related analyses
Primary sources
- eCFR, 17 CFR 40.2Paragraphs (a)–(c): submission, analysis, further information and possible stay.
- CFTC, Listing ProceduresCertification and voluntary requests for approval are separate routes.