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| View EO 12866 Meetings | Printer-Friendly Version Download RIN Data in XML |
| CFTC | RIN: 3038-AE16 | Publication ID: Spring 2015 |
| Title: Alternative to Fingerprinting to Establish Fitness of Associated Persons and Principals in Certain Cases | |
| Abstract: Staff is considering whether to recommend to the Commission a proposed rule that would permit the use of an alternative method of establishing the fitness of associated persons and principals who reside outside of the United States. The proposed rule would be intended to codify no-action relief that previously was provided in staff letters issued by the Commission's Division of Swap Dealer and Intermediary Oversight. | |
| Agency: Commodity Futures Trading Commission(CFTC) | Priority: Substantive, Nonsignificant |
| RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Proposed Rule Stage |
| Major: Undetermined | Unfunded Mandates: No |
| CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations.) | |
| Legal Authority: Not Yet Determined | |
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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: 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 |
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