federal_register: 99-33305
Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API
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| document_number | title | type | abstract | publication_date | pub_year | pub_month | html_url | pdf_url | agency_names | agency_ids | excerpts |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 99-33305 | Proposed Rulemaking Concerning Amendments to Insider Trading Regulation | Proposed Rule | The Commodity Futures Trading Commission (``Commission'') proposes to amend Commission Regulation 1.59 which addresses various trading prohibitions imposed on persons associated with self-regulatory organizations (``SROs''). Regulation 1.59 presently requires SROs to adopt rules prohibiting employees, governing board members, and members of committees from certain trading activities and from disclosing material, non-public information. The Commission proposes to amend Regulation 1.59 so that governing board members, and individuals serving as the ``functional equivalent'' of governing board members, would be clearly excluded from the definition of ``employee'' for Regulation 1.59 purposes. The Commission also seeks to clarify the meaning of Regulation 1.59(b)(1)(i) regarding the scope of the SRO employee trading prohibition, as its current punctuation may create some confusion. Finally, the Commission is requesting public comment regarding the application of Regulation 1.59 to non-paid advisors and paid consultants. | 1999-12-28 | 1999 | 12 | https://www.federalregister.gov/documents/1999/12/28/99-33305/proposed-rulemaking-concerning-amendments-to-insider-trading-regulation | https://www.govinfo.gov/content/pkg/FR-1999-12-28/pdf/99-33305.pdf | Commodity Futures Trading Commission | 77 | The Commodity Futures Trading Commission (``Commission'') proposes to amend Commission Regulation 1.59 which addresses various trading prohibitions imposed on persons associated with self-regulatory organizations (``SROs''). Regulation 1.59 presently... |