---
kind: "section"
citation: "17 C.F.R. § 41.23"
title: "17"
number: "41.23"
heading: "Listing of security futures products for trading."
url: "https://uscodex.org/cfr/17/41.23"
---

# §41.23. Listing of security futures products for trading.

- (a) **Initial listing of products for trading.** To list new security futures products for trading, a designated contract market shall submit to the Commission at its Washington, DC headquarters, either in electronic or hard-copy form, to be received by the Commission no later than the day prior to the initiation of trading, a filing that:
  - (1) Is labeled “Listing of Security Futures Product;”
  - (2) Includes a copy of the product's rules, including its terms and conditions;
  - (3) Includes the certifications required by [§ 41.22](/cfr/17/41.22.md);
  - (4) Includes a certification that the terms and conditions of the contract comply with the additional conditions for trading of [§ 41.25](/cfr/17/41.25.md);
  - (5) If the board of trade is a designated contract market pursuant to section 5 of the Act, it includes a certification that the security futures product complies with the Act and rules thereunder; and
  - (6) Includes a copy of the submission cover sheet in accordance with the instructions in appendix D of [part 40](/cfr/17/part40.md).
  - (7) Includes a request for confidential treatment as permitted under the procedures of [§ 40.8](/cfr/17/40.8.md).
- (b) **Voluntary submission of security futures products for Commission approval.** A designated contract market may request that the Commission approve any security futures product under the procedures of [§ 40.5](/cfr/17/40.5.md) of this chapter, provided however, that the registered entity shall include the certification required by [§ 41.22](/cfr/17/41.22.md) with its submission under [§ 40.5](/cfr/17/40.5.md) of this chapter. Notice designated contract markets may not request Commission approval of security futures products.

## Notes

### Amendments

[66 FR 55083, Nov. 1, 2001, as amended at 69 FR 67507, Nov. 18, 2004; 74 FR 17394, Apr. 15, 2009; 77 FR 66344, Nov. 2, 2012]

### Source

Source: 66 FR 55083, Nov. 1, 2001, unless otherwise noted.

### Authority

Authority: Sections 206, 251 and 252, Pub. L. 106-554, 114 Stat. 2763, 7 U.S.C. 1a, 2, 6f, 6j, 7a-2, 12a; 15 U.S.C. 78g(c)(2).

### Source

Source: 66 FR 44511, Aug. 23, 2001, unless otherwise noted.

### Amendments

[66 FR 55083, Nov. 1, 2001, as amended at 69 FR 67507, Nov. 18, 2004; 74 FR 17394, Apr. 15, 2009; 77 FR 66344, Nov. 2, 2012]