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Rule2026-11466

Rescission of Policy Relating to the Acceptance of Settlements in Administrative and Civil Proceedings

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Published
June 8, 2026
Effective
June 8, 2026

Issuing agencies

Commodity Futures Trading Commission

Abstract

The Commodity Futures Trading Commission ("CFTC" or "Commission") is rescinding a policy contained in an appendix to its regulations concerning acceptance of settlements in administrative and civil proceedings. This policy is commonly understood to limit a respondent's or defendant's ability to deny allegations following settlement.

Full Text

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<title>Federal Register, Volume 91 Issue 109 (Monday, June 8, 2026)</title>
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[Federal Register Volume 91, Number 109 (Monday, June 8, 2026)]
[Rules and Regulations]
[Pages 34570-34573]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-11466]


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COMMODITY FUTURES TRADING COMMISSION

17 CFR Part 10


Rescission of Policy Relating to the Acceptance of Settlements in 
Administrative and Civil Proceedings

AGENCY: Commodity Futures Trading Commission.

ACTION: Final rule.

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SUMMARY: The Commodity Futures Trading Commission (``CFTC'' or 
``Commission'') is rescinding a policy contained in an appendix to its 
regulations concerning acceptance of settlements in administrative and 
civil proceedings. This policy is commonly understood to limit a 
respondent's or defendant's ability to deny allegations following 
settlement.

DATES: This rule is effective June 8, 2026.

FOR FURTHER INFORMATION CONTACT: Stephen Andrews, Deputy General 
Counsel for Regulation, <a href="/cdn-cgi/l/email-protection#90e3f4f1fef4e2f5e7e3d0f3f6e4f3bef7ffe6"><span class="__cf_email__" data-cfemail="9be8fffaf5ffe9feece8dbf8fdeff8b5fcf4ed">[email&#160;protected]</span></a>, 202-308-7563, Commodity 
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street 
NW, Washington, DC 20581.

SUPPLEMENTARY INFORMATION: Since 1998,\1\ the Commission has maintained 
a policy, codified in appendix A to part 10 of its rules of practice 
for adjudicatory proceedings, 17 CFR part 10, that the Commission will 
not accept settlement \2\ offers where the respondent or defendant 
continues to deny the allegations, or the findings of fact and 
conclusions of law. For the reasons explained below, the Commission now 
rescinds this policy and repeals appendix A of part 10.
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    \1\ Rules of Practice, 63 FR 55784, 55796 (Oct. 19, 1998); 
Technical Correction, 64 FR 30902, 30903-30904 (June 9, 1999).
    \2\ We use the term ``settlement'' to refer to the resolution of 
enforcement actions by consent in which the Commission and a party 
against whom it has brought an action agree to terms to end that 
action, including agreed-upon sanctions. Settlements can include 
entry into consent judgments in federal district court and the 
acceptance of settlement offers in an order issued in an 
administrative adjudication.
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I. Background

    When the Commission exercises its authority to investigate and 
bring enforcement actions,\3\ it does not litigate every action to 
judgment. Like all parties to litigation, the Commission and litigant 
against whom it brings a federal district court action or agency 
adjudication may agree to settle.\4\ The Commission's decision to 
settle depends on a range of factors, including the Commission's 
judgment that obtaining an immediate result by settlement better serves 
the public interest than expending the resources and accepting the risk 
that comes with fully litigating the matter. Similarly, a defendant's 
decision to settle may turn on numerous factors.
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    \3\ 7 U.S.C. 9, 15.
    \4\ CFTC v. Schor, 478 U.S. 833 (1986) (establishing that the 
CFTC has authority to adjudicate cases, which includes the implied 
authority to reach settlements in both administrative proceedings 
and enforcement actions).
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    In a typical Commission settlement, a defendant in federal district 
court signs a consent \5\ that describes the terms on which the parties 
have agreed to settle, or, in an administrative action, a respondent 
submits an offer of settlement that contains those terms. These 
documents reflect the defendant's (or respondent's) agreement and 
representation that the defendant (or respondent) is entering into the 
settlement knowingly and voluntarily. For actions in federal district 
court, the Commission (sometimes jointly with the defendant) will then 
ask the court to enter a consent judgment (or consent order) that 
incorporates the terms of the consent and to retain continuing 
jurisdiction.\6\ For administrative adjudications, the Commission 
accepts an offer of settlement by issuing an opinion and order, which 
makes findings, imposes remedial sanctions, and incorporates the terms 
of the offer.
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    \5\ The consent is typically incorporated into a proposed 
consent order signed by the defendant and presented to the 
Commission for its consideration. If approved by the Commission, it 
is signed by a Commission Division of Enforcement attorney and 
presented to the federal district court for its consideration.
    \6\ Consent judgments are ``compromises in which the parties 
give up something they might have won in litigation and waive their 
rights to litigation.'' United States v. ITT Cont'l Baking Co., 420 
U.S. 223, 235 (1975). They ``embod[y] an agreement of the parties 
and thus in some respects [are] contractual in nature,'' but they 
are also ``enforceable as . . . judicial decree[s].'' Texas v. New 
Mexico, 602 U.S. 943, 953 (2024).
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    In 1998, the Commission adopted appendix A to part 10.\7\ Appendix 
A set forth a policy not to accept any offer of settlement in an 
administrative or civil proceeding if the respondent or defendant 
wished to continue to deny the allegations of the Commission's 
complaint.\8\ The Commission reasoned that ``[i]n accepting a 
settlement and entering an order finding violations . . . the 
Commission makes uncontested finding of fact and conclusions of law. 
The Commission does not believe it would be appropriate for the agency 
to be making such uncontested findings of violations if the party 
against whom the uncontested findings are to be entered is continuing 
to deny the alleged misconduct.'' \9\ By limiting the circumstances 
under which the Commission will accept a settlement offer, this policy 
binds the staff of the Commission's Division of Enforcement in 
settlement negotiations.
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    \7\ Rules of Practice, 63 FR 55784, 55790 (Oct. 19, 1998).
    \8\ Id.
    \9\ Id.

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[[Page 34571]]

    The Commission's ``neither-admit-nor-deny'' settlements typically 
take the form of a formal Consent Order or Order Instituting 
Proceedings issued by the Commission. In these orders, the defendant or 
respondent agrees to penalties without acknowledging that they 
committed the alleged violations.\10\ More specifically, defendants and 
respondents agree, among other things, not to make ``any public 
statement denying, directly or indirectly any findings or conclusions'' 
in the Order or ``creating . . . the impression that this Order is 
without a factual basis.'' \11\ The neither-admit-nor-deny provisions, 
do not, however, apply to defendants' and respondents' testimonial 
obligations, and the provisions do not affect their ability to take 
legal or factual positions in litigation and other legal proceedings to 
which the Commission is not a party, including parallel civil 
actions.\12\
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    \10\ See, e.g., In re Options Clearing Corp., CFTC No. 23-06 
(Feb. 16, 2023); In re Citigroup Global Markets, Inc., CFTC No. 25-
02 (Sept. 4, 2025); In re Barclays Bank PLC, CFTC No. 24-39 (Sept. 
30, 2024).
    \11\ Id.
    \12\ Language to this effect is used in settlement orders 
related to the Commission. See, e.g., In re Deutsche Bank AG, et 
al., CFTC. No. 18-06 (Jan. 29 2018); CFTC v. First Bristol Grp., 
Inc., No. 02-80696-CIV (S.D. Fla. July 2, 2003).
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    When the Commission agrees to settlements that contain neither-
admit-nor-deny provisions, the Commission has only a limited judicial 
remedy in the event a defendant breaches the settlement agreement by 
publicly denying allegations. In the event of a public denial, the 
Commission could, among other options, allege a breach of contract and 
initiate contempt proceedings or ask a court to vacate the settlement, 
returning the case to active litigation and permitting the Commission 
to prove its claims.\13\ And, as with all parties to a contract who are 
faced with a breach, the Commission may forgo this remedy, opting not 
to dedicate resources to reviving a previously settled case. Moreover, 
federal district courts have discretion to deny the Commission's 
request to return a case to the active docket in the event the 
Commission does seek relief in the wake of a breach. The Commission is 
not aware of any instance where the Commission has sought to reopen a 
federal district court action or administrative adjudication following 
a violation of a neither-admit-nor-deny provision, and there are no 
reported opinions where a court has ruled upon such a motion.
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    \13\ There is a parallel procedure in administrative 
adjudications. In that context, when the Commission has accepted 
offers to settle, it has done so pursuant to 17 CFR 10.108. 
Respondents have agreed not to publicly deny the allegations in the 
order instituting proceedings, and they further agreed that if they 
breached that agreement, Division of Enforcement staff could ask the 
Commission to reopen the action against them.
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    Additionally, the Commission has received a petition to repeal its 
neither-admit-nor-deny requirement.\14\ Although no party has 
challenged the Commission's policy, there have been several challenges 
to the Securities and Exchange Commission's (``SEC'') neither-admit-
nor-deny settlements.\15\
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    \14\ New Civil Liberties Alliance, Petition for Rulemaking to 
Amend the Rule Restricting Speech Set Forth in 17 CFR part 10, 
Appendix A (July 18, 2019), <a href="https://nclalegal.org/wp-content/uploads/2019/07/2019-07-18-Petition-for-Repeal-of-Gag-Rule-CFTC-FINAL-As-Filed.pdf">https://nclalegal.org/wp-content/uploads/2019/07/2019-07-18-Petition-for-Repeal-of-Gag-Rule-CFTC-FINAL-As-Filed.pdf</a>.
    \15\ SEC v. Romeril, 15 F.4th 166 (2d Cir. 2021); SEC v. 
Novinger, 40 F.4th 297 (5th Cir. 2022); SEC v. Novinger, 96 F.4th 
774 (5th Cir. 2024); Powell v. SEC, 149 F.4th 1029 (9th Cir. 2025); 
Cato v. SEC, 4 F.4th 91 (D.C. Cir. 2021).
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II. Discussion

A. The Commission Is Rescinding Appendix A to Part 10

    After further consideration of the existing policy, the Commission 
rescinds appendix A to part 10. The Commission initiates enforcement 
actions only after determining that information obtained in an 
investigation indicates that a violation of its rules and/or 
regulations occurred or is about to occur.\16\ The commencement of such 
an enforcement action in federal district court (or institution of an 
administrative proceeding) reflects the Commission's intention to prove 
the facts of the case as alleged based on the results of that 
investigation.\17\ When the Commission chooses settlement to serve the 
public interest by obtaining a more-certain and faster result with less 
expenditure of resources and less risk, it forecloses its ability to 
obtain a fully adjudicated decision after a contested proceeding.
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    \16\ 7 U.S.C. 9, 15.
    \17\ In an administrative proceeding, the Commission serves in 
an adjudicatory capacity.
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    When the Commission adopted appendix A to part 10, it stated: ``In 
accepting a settlement and entering an order finding violations . . . 
the Commission makes uncontested findings of fact and conclusions of 
law. The Commission does not believe it would be appropriate for the 
agency to be making such uncontested findings of violations if the 
party against whom the uncontested findings are to be entered is 
continuing to deny the alleged misconduct.'' \18\ Yet experience has 
taught that the negative effect on the public interest from such 
denials may be minimal. Members of the public, regulated entities, and 
market participants typically understand that settlements are often 
reached for pragmatic reasons, including avoiding the expense, 
uncertainty, and delay associated with litigation. The Commission also 
recognizes that the policy itself may create the incorrect impression 
that it is trying to protect itself from criticism.\19\ Even if that is 
not the Commission's intent, such a perception could undermine public 
confidence in the agency's commitment to transparency, openness, and 
fair process.
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    \18\ Rules of Practice, 63 FR 55784, 55790 (Oct. 19, 1998).
    \19\ In SEC v. Powell, the Ninth Circuit held that the SEC's 
``neither-admit-nor-deny'' policy, 17 CFR 202.5(e), does not violate 
the First Amendment by limiting a defendant's speech, even if 
denying allegations undermines agency confidence. The court 
clarified the policy's purpose is administrative, requiring the SEC 
to prove allegations in court if a defendant refuses to settle 
without admitting wrongdoing. Powell, 149 F.4th at 1044.
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    Four additional reasons support the Commission's rescission of 
appendix A to part 10.
    First, when the Commission agrees to settlements that contain 
neither-admit-nor-deny provisions, the Commission has only a limited 
judicial remedy in the event a defendant breaches the settlement 
agreement by publicly denying allegations. In the event of a public 
denial, the Commission could allege a breach of contract and initiate 
contempt proceedings, or ask a court to vacate the settlement, 
returning the case to active litigation and permitting the Commission 
to prove its claims.\20\ In practice, however, the benefits of these 
remedies have proven limited. The Commission is not aware of any 
instance in which it invoked these measures, nor any case in which a 
court has granted such relief following a public denial.
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    \20\ See also supra note 14.
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    Moreover, there is a built-in temporal disincentive to invoking 
these remedies. As the time between the settlement and a denial grows, 
the Commission is less likely to dedicate resources to reopen the case, 
because the passage of time and concomitant fading of memories and loss 
of evidence renders the allegations harder to prove. Similarly, as more 
time elapses from the entry of a consent judgment containing a no-deny 
provision, a court may be less likely to grant the Commission's request 
to reopen an older case because of comparable procedural and 
evidentiary concerns. Given that the Commission has not sought to use 
this remedy, its theoretical benefits do not justify its retention.
    Second, technological changes in communication, particularly the 
use of social media, have made the policy

[[Page 34572]]

more challenging to implement. Appendix A to part 10 covers public 
denials of allegations. But the line between public and private 
statements is not always clear. For example, social media interactions 
are often intended for a private, self-selected community but are still 
visible to dozens of individuals.\21\ Rather than devote resources to 
determining whether such statements would constitute a violation of a 
neither-admit-nor-deny provision, the Commission chooses to repeal 
appendix A to part 10.
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    \21\ Moreover, with regards to the SEC neither-admit-nor-deny 
provision, the Ninth Circuit noted in upholding the provision 
against a facial constitutional challenge that the language of some 
consents ``could be read to sweep more broadly'' than the provision 
by covering public statements that are ``indirectly'' denying 
allegations or ``creating the impression'' that the allegations are 
without a factual basis. Powell, 149 F.4th at 1044.
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    Third, eliminating appendix A to part 10 aligns the Commission with 
the majority of federal agencies.\22\ Most federal agencies--including 
the Department of Justice--have not adopted a comparable neither-admit-
nor-deny policy. The absence of these policies has proven immaterial to 
those agencies' ability to settle enforcement actions without negative 
consequence. Moreover, the SEC recently rescinded its ``neither-admit-
nor-deny'' policy citing many of the rationales that the Commission is 
relying upon here.\23\ All of these examples fortify the Commission's 
conclusion that rescinding appendix A to part 10 will not harm the 
public interest.
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    \22\ See Verity Winship & Jennifer K. Robbennolt, Admissions of 
Guilt in Civil Enforcement, 102 Minn. L. Rev. 1077 (2018) 
(discussing differences in settlement practices between federal 
regulators).
    \23\ Rescission of Policy Regarding Denials in Settlements of 
Enforcement Actions, 91 FR 29892 (May 21, 2026).
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    Fourth, rescinding appendix A to part 10 gives the Commission more 
flexibility in settling enforcement actions. This flexibility empowers 
the Commission to conserve resources and provide certainty. It may also 
speed the return of money to victims.\24\ The current policy precludes 
the Commission from accepting settlements that lack a neither-admit-
nor-deny provision. This restriction bars settlements with defendants 
who do not wish to sign a provision that prevents them from ever 
denying liability. The rescission will allow the Commission to better 
structure settlements, resulting in collectible sanctions that can be 
returned to victims more efficiently.\25\
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    \24\ United States v. Armour & Co, 402 U.S. 673, 681 (1971) 
(parties settle ``after careful negotiation'' and reach an 
``agreement on [a consent's] precise terms,'' saving ``themselves 
the time, expense, and inevitable risk of litigation,'' but also 
giving ``up something they might have won had they proceeded with 
the litigation''); SEC v. Citigroup Glob. Mkts., 752 F.3d 285, 295 
(2d Cir. 2014) (settlement provides ``parties with a means to manage 
risk'').
    \25\ The Commission's rescission of appendix A to part 10 does 
not affect its discretion to settle with defendants who decline to 
admit facts or liability, or its discretion to negotiate for 
admissions as part of a settlement. Moreover, there is a subset of 
cases where the Commission settles (or plans to settle) with a 
defendant or respondent that is the subject of a parallel criminal 
proceeding arising from the same or similar conduct, and where the 
defendant or respondent has pleaded, or is expected to plead, 
guilty, or been convicted. In those instances, there have been 
admissions or a finding of criminal liability. For these types of 
cases, the Commission may continue to address admissions and denials 
in settlement agreements to ensure consistency between the 
Commission settlement and the resolution of the parallel matter.
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B. The Commission Will Not Seek To Enforce Existing Neither-Admit-Nor-
Deny Provisions

    In light of the rescission of appendix A to part 10, and for the 
same reasons, the Commission will not enforce existing neither-admit-
nor-deny provisions in settlements that have already been entered. If a 
settling defendant or respondent has previously agreed to a neither-
admit-nor-deny provision, and the defendant or respondent then breaches 
the terms of that neither-admit-nor-deny provision, the Commission will 
not allege breach of contract or attempt to reopen an otherwise settled 
case. Rather, in the event of breach, the Commission will take no 
action to ask a federal district court to vacate the settlement (or to 
reopen an administrative adjudicatory proceeding) or to hold the 
defendant or respondent in contempt in connection with the settlement 
agreement and the limited relief the Commission has pursuant to its 
terms.

II. Related Matters

A. Notice and Effective Date

    The Administrative Procedure Act (``APA'') \26\ requires federal 
agencies to publish a notice of proposed rulemaking and provide an 
opportunity for public comment before issuing a new rule. Rules are 
exempt from notice and comment if they are interpretive rules, general 
statements of policy, or rules of agency organization, procedure, or 
practice.\27\ The Commission has determined that this exception 
applies. These amendments represent a general statement of Commission 
policy and relate solely to agency organization, procedure, and 
practice.\28\ Therefore, the provisions of the APA, which generally 
require notice or proposed rulemaking and provide other opportunities 
for public participation, are inapplicable. In addition, the APA 
generally requires that an agency publish a substantive rule in the 
Federal Register 30 days before it becomes effective,\29\ but this 
requirement does not apply to ``interpretive rules and statements of 
policy,'' \30\ such as this one. Therefore, this final rule is 
effective upon publication in the Federal Register. Moreover, the 
Commission finds that delaying the effective date of this rescission 
could create incentives for parties to delay settlement until the 
rescission takes effect. As a result, the Commission believes that 
delaying the effectiveness of this rule is contrary to the public 
interest and finds ``good cause'' to make the rescission effective upon 
publication in the Federal Register under 5 U.S.C. 553(d).\31\
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    \26\ 5 U.S.C. 553 et seq.
    \27\ 5 U.S.C. 553(b)(3)(A).
    \28\ The Commission made a similar finding in 1998 when it 
adopted appendix A to part 10 without notice and comment. See 63 FR 
55791 (Oct. 19, 1998).
    \29\ 5 U.S.C. 553(d).
    \30\ 5 U.S.C. 553(d)(2).
    \31\ 5 U.S.C. 553(d)(3).
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B. Regulatory Flexibility Act

    The Regulatory Flexibility Act requires federal agencies to 
consider whether the rules they propose will have a significant 
economic impact on a substantial number of small entities and, if so, 
to provide a regulatory flexibility analysis regarding the economic 
impact on those entities.\32\ The Commission is obligated to conduct a 
regulatory flexibility analysis for any rule for which the agency 
publishes a general notice of proposed rulemaking pursuant to section 
553(b) of the APA or any other law.\33\ This rulemaking is excepted 
from the public rulemaking provisions of the APA.\34\ Accordingly, the 
Commission is not required to conduct a regulatory flexibility analysis 
for this rulemaking.
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    \32\ 5 U.S.C. 601 et seq.
    \33\ 5 U.S.C. 603(a).
    \34\ 5 U.S.C. 553(b)(3)(B).
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C. Paperwork Reduction Act

    The Paperwork Reduction Act (``PRA'') imposes certain requirements 
on federal agencies in connection with their conducting or sponsoring 
any collection of information.\35\ This rule does not contain a 
``collection of information,'' as defined in the PRA. Accordingly, the 
requirements imposed by the PRA are not applicable to this rule.
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    \35\ 5 U.S.C. 3501 et seq.
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D. Cost-Benefit Considerations

    Section 15(a) of the Commodity Exchange Act (``CEA'') provides 
that, before promulgating a regulation under

[[Page 34573]]

the CEA or issuing an order, the Commission shall consider the costs 
and benefits of the action of the Commission's contemplated action.\36\ 
Section 15(a) further specifies that the costs and benefits shall be 
evaluated in light of five broad areas of market and public concern: 
(1) protection of market participants and the public; (2) efficiency, 
competitiveness, and financial integrity of the futures markets; (3) 
price discovery; (4) sound risk management practices; and (5) other 
public interest considerations.\37\ The proposed revisions relate 
solely to agency organization, procedure, and practice. Therefore, the 
Commission finds that the considerations enumerated in section 15(a)(2) 
of the CEA are not applicable here.
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    \36\ 7 U.S.C. 19(a).
    \37\ 7 U.S.C. 19(a)(2).
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E. Antitrust Considerations

    Section 15(b) of the CEA requires the Commission to take into 
consideration the public interest to be protected by the antitrust laws 
and endeavor to take the least anticompetitive means of achieving the 
CEA's objectives in issuing any order or adopting any Commission rule 
or regulation.\38\ The Commission does not anticipate that appendix A 
to part 10's rescission will have anticompetitive effects. Instead, the 
Commission anticipates that the policy's rescission will allow the 
Commission more flexibility to settle enforcement actions, thereby 
increasing the agency's ability to collect sanctions and return monies 
to victims while also conserving resources.
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    \38\ 7 U.S.C. 19(b).
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F. Executive Orders

    Executive Orders 12866 and 13563 direct agencies to assess all 
costs and benefits of available regulatory alternatives and, if 
regulation is necessary, to select those regulatory approaches that 
maximize net benefits (including potential economic, environmental, 
public health and safety, and other advantages; and distributive 
impacts). Section 3(f) of Executive Order 12866 defines a ``significant 
regulatory action'' as any regulatory action that is likely to result 
in a rule that may: (1) have an annual effect on the economy of $100 
million or more or adversely affect in a material way the economy, a 
sector of the economy, productivity, competition, jobs, the 
environment, public health or safety, or State, local, or tribal 
governments or communities; (2) create a serious inconsistency or 
otherwise interfere with an action taken or planned by another agency; 
(3) materially alter the budgetary impact of entitlements, grants, user 
fees, or loan programs or the rights and obligations of recipients 
thereof; or (4) raise novel legal or policy issues arising out of legal 
mandates, or the President's priorities.
    The Office of Management and Budget has determined that this action 
is not a significant regulatory action as defined in Executive Order 
12866, as amended, and therefore it was not subject to Executive Order 
12866 review.
    Pursuant to the Congressional Review Act,\39\ the Office of 
Information and Regulatory Affairs has designated these amendments as 
not a ``major rule,'' as defined by 5 U.S.C. 804(2).
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    \39\ 5 U.S.C. 801-808.
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List of Subjects in 17 CFR Part 10

    Administrative practice and procedure, Authority delegations 
(Government agencies), Swaps.
    For the reasons stated in the preamble, the Commodity Futures 
Trading Commission amends 17 CFR part 10 as follows:

PART 10-RULES OF PRACTICE

0
1. The authority citation for part 10 continues to read as follows:

    Authority:  Pub. L. 93-463, sec. 101(a)(11), 88 Stat. 1391; 7 
U.S.C. 2(a)(12).

Appendix A to Part 10 [Removed]

0
2. Remove Appendix A to Part 10--Commission Policy Relating to the 
Acceptance of Settlements in Administrative and Civil Proceedings.

    Issued in Washington, DC, on June 4, 2026, by the Commission.
Christopher Kirkpatrick,
Secretary of the Commission.

    Note: The following appendix will not appear in the Code of 
Federal Regulations.

Appendix to Rescission of Policy Relating to the Acceptance of 
Settlements in Administrative and Civil Proceedings--Commission Voting 
Summary

    On this matter, Chairman Selig voted in the affirmative. No 
Commissioner voted in the negative.

[FR Doc. 2026-11466 Filed 6-5-26; 8:45 am]
BILLING CODE 6351-01-P


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