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Program for Allocation of Regulatory Responsibilities Pursuant to

Program for Allocation of Regulatory Responsibilities Pursuant to 2025

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The document outlines a proposed rule change by the Chicago Mercantile Exchange, Inc. to amend its rules in response to the regulatory status change of Eris Exchange, LLC from an Exempt Board of Trade (EBOT) to a Designated Contract Market (DCM). The amendments involve revisions to CME's rules and Clearing House Manual to facilitate futures clearing operations related to Eris contracts, effective upon approval by the Commodity Futures Trading Commission.

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What is a regulatory compliance program?

Regulatory compliance focuses on aligning with external legal mandates such as laws and regulations in respective jurisdictions or industries. Corporate compliance is internal in nature with processes and procedures aimed at streamlining internal business requirements.

What act of 1934 provide the basic regulatory framework in the United States for the public trading of securities?

Securities Exchange Act of 1934. With this Act, Congress created the Securities and Exchange Commission. The Act empowers the SEC with broad authority over all aspects of the securities industry.

What is the basic regulatory framework in the United States was provided by?

Understand that the basic regulatory framework for the public trading of securities in the United States is established by the Securities Act of 1933 and the Securities Exchange Act of 1934, which led to the formation of the Securities and Exchange Commission.

What was the purpose of the Securities Act of 1933 was to provide the basic regulatory framework for which function?

The Securities Act of 1933 was created and passed into law to protect investors after the stock market crash of 1929. The goal of the act was to create transparency in the financial statements of corporations. It established laws against misrepresentation and fraudulent activities in the securities markets.