Modification to Self-Certification Amending Rule 9.2 Investigations, Hearings, and Appeals

Notice Type Notice ID
Rulebook & Agreement 1037.061319

On June 4, 2019 Nadex submitted a self-certification to the Commodity Futures Trading Commission (the “Commission”) pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (the “Act”), and §40.6(a) of the regulations promulgated by the Commission, providing notice of its intent to amend its Rule 9.2 Investigations, Hearings, and Appeals to more closely reflect the language in the relevant CFTC Regulations, and to further clarify the hearing process.  Nadex submitted a modification to this submission on June 13, 2019.  This modification pertains to Rule 9.2(g)(i), and indicates that a hearing will take place promptly following receipt of the Member’s response contesting the compliance officer’s finding and/or proposed sanction.  These changes become effective on trade date June 19, 2019.

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PDF icon Notice 1037 Link.pdf178.93 KB

Should you have any questions or require further information, please contact the Compliance Department.