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Self-Regulatory Organizations
Treasury recommends that the CFTC and the SEC conduct comprehensive reviews of the roles, responsibilities, and capabilities of the SROs under their respective jurisdictions and make recommendations for operational, structural, and governance improvements of the SRO framework.
Treasury recommends that the agencies identify any changes to underlying laws or rules that are needed to enhance oversight of SROs.
Treasury recommends that each SRO adopt and publicly release an action plan to review and update its rules, guidance, and procedures on a periodic basis.
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