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CFTC | RIN: 3038-AE09 | Publication ID: Spring 2015 |
Title: Membership in a Registered Futures Association | |
Abstract:
The staff is considering recommending that the Commission amend its regulations to require that all persons registered with the Commission as introducing brokers ("IBs"), commodity pool operators ("CPOs"), and commodity trading advisors ("CTAs") become and remain members of at least one registered futures association ("RFA"). The staff believes that such a rule is necessary or appropriate to ensure comprehensive and effective market oversight and to level the regulatory playing field for all registered intermediaries, in light of changes to the Commodity Exchange Act that were set forth in the Dodd-Frank Wall Street Reform and Consumer Protection Act. |
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Agency: Commodity Futures Trading Commission(CFTC) | Priority: Substantive, Nonsignificant |
RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Final Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
CFR Citation: 17 CFR 170.17 | |
Legal Authority: 7 U.S.C. 6(p) 7 U.S.C. 12(a) 7 U.S.C. 21 |
Legal Deadline:
None |
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Timetable:
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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: Frank Fisanich Chief Counsel, Market Participants Division Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581 Phone:202 418-5949 Email: ffisanich@cftc.gov |