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CFTC RIN: 3038-AE09 Publication ID: Fall 2015 
Title: Membership in a Registered Futures Association 
Abstract:

The Commission has amended 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 amended rule will ensure comprehensive and effective market oversight and 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: Completed Actions 
Major: No  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
Timetable:
Action Date FR Cite
NPRM  11/08/2013  78 FR 67078   
NPRM Comment Period End  01/17/2014 
Final Action  09/14/2015  80 FR 55022   
Final Action Effective  11/13/2015 
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 
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