Practice by Former Members and Employees of the Commission Pursuant to 17 C.F.R. 140.735.6

The regulation of the practice before the Commission of former members and employees of the Commission is necessary to insure that the Commisison is aware of any conflicts of interest that may exist. The rule, at 17 CFR 140.735-6(e), requires former members and employees who are employed or retained to represent any person before the Commission within two years of their separation from the CFTC, to file a brief written statement with the Commission's Office of the General Counsel. The proposed rule was promulgated pursuant to the Commission's rulemaking authority contained in Section 8a(5) of the Commodity Exchange Act, 7 U.S.C. 12a(5) (1994), as amended.

The latest form for Practice by Former Members and Employees of the Commission Pursuant to 17 C.F.R. 140.735.6 expires 2023-03-31 and can be found here.