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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. |
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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 |
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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: 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 |