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CFTC

RIN: 3038-AC55

Publication ID: Fall 2008

Title: Exemption From Registration For Certain Firms With Regulation 30.10 Relief
Abstract: The Commission has proposed to amend the regulations regarding the registration of certain firms located outside the U.S. that are engaged in commodity interest activities with respect to trading on U.S. designated contract markets and derivatives transaction execution facilities. The amended regulation would codify past actions of the Commission's staff permitting firms with Regulation 30.10 relief to introduce to registered futures commission merchants certain U.S. customers in connection with trading in U.S. markets without having to register as an introducing broker pursuant to section 4d of the Commodity Exchange Act.
Agency: Commodity Futures Trading Commission(CFTC)	Priority: Substantive, Nonsignificant
RIN Status: Previously published in the Unified Agenda	Agenda Stage of Rulemaking: Completed Actions
Major: No	Unfunded Mandates: No
CFR Citation: 17 CFR 30.10 (c)(4)    17 CFR 30.8
Legal Authority: 7 USC 6(b)    7 USC 6c    7 USC 6d

Legal Deadline:  None

Timetable: Action Date FR Cite NPRM  01/25/2008  73 FR 4499    NPRM Comment Period End  02/25/2008  73 FR 4499    Final Action  09/18/2008  73 FR 54069

Regulatory Flexibility Analysis Required: No	Government Levels Affected: None
Federalism: No
Included in the Regulatory Plan: No
RIN Data Printed in the FR: No
Agency Contact: Andrew V. Chapin Associate Chief Counsel, Division of Swap Dealer and Intermediary Oversight Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581 Phone:202 418-5465 Email: achapin@cftc.gov