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CFTC RIN: 3038-AE23 Publication ID: Spring 2015 
Title: ●Records of Commodity Interest and Related Cash or Forward Transactions 
Abstract:

The Commodity Futures Trading Commission (Commission) is proposing to amend Commission Rule 1.35(a) to:  (i) provide that all records required to be maintained under this regulation must be searchable; (ii) clarify that all records be kept in a form and manner that allows for identification of a particular transaction, except that records of oral and written communications leading to the execution of a transaction in a commodity interest and related cash or forward transactions are not required to be kept in a form and manner that allows for identification of a particular transaction; (iii) exclude unregistered members of designated contract markets (DCMs) and swap execution facilities (SEFs) from the requirements to retain text messages and to maintain records in a particular form and manner; and (iv) exclude commodity trading advisors (CTAs) from the oral recordkeeping requirement.

 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: Undetermined 
CFR Citation: 17 CFR 1.35   
Legal Authority: 7 U.S.C. 1 et seq.   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  11/14/2014  79 FR 68140   
NPRM Comment Period End  01/13/2015 
Final Action  05/00/2015 
Final Action Effective  07/00/2015 
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:
Katherine Driscoll
Associate Director, Division of Swap Dealer and Intermediary Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street, NW.,
Washington, DC 20581
Phone:202 418-5544
Email: kdriscoll@cftc.gov

August A. Imholtz III
Special Counsel, Division of Swap Dealer and Intermediary Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street, NW.,
Washington, DC 20581
Phone:202 418-5140
Email: aimholtz@cftc.gov