View Rule

View EO 12866 Meetings Printer-Friendly Version     Download RIN Data in XML
CFTC RIN: 3038-AE09 Publication ID: Fall 2014 
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. 
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: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: Not Yet Determined   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  11/08/2013  78 FR 67078   
NPRM Comment Period End  01/17/2014 
Final Action  01/00/2015 
Regulatory Flexibility Analysis Required: Undetermined  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