Appendix D to Part 40 - Submission Cover Sheet and Instructions
17:1.0.1.1.33.0.7.13.38 : Appendix D
Appendix D to Part 40 - Submission Cover Sheet and Instructions
(a) A properly completed submission cover sheet shall accompany
all rule and product submissions submitted electronically by a
registered entity in a format and manner specified by the Secretary
of the Commission to the Secretary of the Commission. A properly
completed submission cover sheet shall include all of the
following:
1. Identifier Code (optional) - A registered entity
Identifier Code at the top of the cover sheet, if applicable. Such
codes are commonly generated by registered entities 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 in the appropriate box indicating
that the rule or product is being submitted by a designated
contract market (DCM), derivatives clearing organization (DCO),
swap execution facility (SEF), or swap data repository (SDR).
5. Type of Filing - An indication as to whether the
filing is a new rule, rule amendment or new product. The registered
entity should check the appropriate box to indicate the applicable
category under that heading.
6. Rule Numbers - For rule filings, the rule number(s)
being adopted or modified in the case of rule amendment
filings.
7. Description - For rule or rule amendment filings, a
description of the new rule or rule amendment, including a
discussion of its expected impact on the registered entity, market
participants, and the overall market. The narrative should describe
the substance of the submission with enough specificity to
characterize all material aspects of the filing.
(b) Other Requirements - A submission shall comply with
all applicable filing requirements for proposed rules, rule
amendments, or products. The filing of the submission cover sheet
does not obviate the registered entity's responsibility to comply
with applicable filing requirements (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).
(c) Checking the box marked “confidential treatment requested”
on the Submission Cover Sheet does not obviate the submitter's
responsibility to comply with all applicable requirements for
requesting confidential treatment in § 40.8 and, where appropriate,
§ 145.9 of this chapter, and will not substitute for notice or full
compliance with such requirements.
[80 FR 59578, Oct. 2, 2015]