SUBMISSION COVER SHEET
IMPORTANT: Check box if Confidential Treatment is requested
Registered Entity Identifier Code (optional): ___________________________
Organization:
______________________________________________________________________
Filing as a: DCM SEF DCO SDR Please note - only ONE choice allowed.
Filing Date (mm/dd/yy): ___________ Filing Description:
SPECIFY FILING TYPE Please note only ONE choice allowed per Submission.
Organization Rules and Rule Amendments
Certification § 40.6(a)
Approval § 40.5(a)
Notification § 40.6(d)
Advance Notice of SIDCO Rule Change § 40.10(a)
SIDCO Emergency Rule Change § 40.10(h)
Rule Numbers: ____________________________________________________________________
New Product Please note only ONE product per Submission.
Certification § 40.2(a)
Certification Security Futures § 41.23(a)
Certification Swap Class § 40.2(d)
Approval § 40.3(a)
Approval Security Futures § 41.23(b)
Novel Derivative Product Notification § 40.12(a)
Swap Submission § 39.5
Official Product Name: _____________________________________________________________
Product Terms and Conditions (product related Rules and Rule Amendments)
Certification § 40.6(a)
Certification Made Available to Trade Determination § 40.6(a)
Certification Security Futures § 41.24(a)
Delisting (No Open Interest) § 40.6(a)
Approval § 40.5(a)
Approval Made Available to Trade Determination § 40.5(a)
Approval Security Futures § 41.24(b)
Approval Amendments to enumerated agricultural products § 40.4(a), § 40.5(a)
“Non-Material Agricultural Rule Change” § 40.4(b)(5)
Notification § 40.6(d)
Official Name(s) of Product(s) Affected: _______________________________________________
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Rule Numbers: ______________________________________________________________________
