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| CFTC | RIN: 3038-AD30 | Publication ID: Fall 2011 |
| Title: Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations | |
| Abstract: The Commission has proposed to: Rescind exemptions from registration for certain commodity pool operators and commodity trading advisors; rescind exemptions from the certification requirement for annual reports for certain commodity pools; modify criteria claiming exclusion from the definition of "commodity pool operator;" and, expand the prescribed risk disclosures for commodity pool operators and commodity trading advisors to address swaps transactions. The Commission also has proposed a new data collection for commodity pool operators and commodity trading advisors. | |
| Agency: Commodity Futures Trading Commission(CFTC) | Priority: Other Significant |
| RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Final Rule Stage |
| Major: Undetermined | Unfunded Mandates: No |
| CFR Citation: 17 CFR 4; 17 CFR 145; 17 CFR 147 | |
| Legal Authority: 5 USC 4a(j) and 552; 5 USC 552b; 7 USC 1a and 2; 7 USC 6m and 6n; 7 USC 12a | |
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Legal Deadline:
None |
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Timetable:
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| Regulatory Flexibility Analysis Required: No | Government Levels Affected: None |
| Small Entities Affected: No | Federalism: No |
| Included in the Regulatory Plan: No | |
| RIN Data Printed in the FR: No | |
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Agency Contact: Kevin Walek Assistant Director, Division of Swap Dealer and Intermediary Oversight Commodity Futures Trading Commission 1155 21st Street NW., Washington, DC 20581 Phone:202 418-5463 Email: kwalek@cftc.gov |
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