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| CFTC | RIN: 3038-AE23 | Publication ID: Fall 2015 |
| Title: Records of Commodity Interest and Related Cash or Forward Transactions | |
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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: Previously 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. | |
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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: 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 Imholtz Special Counsel, Division of Clearing and Risk Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581 Phone:202 418-5140 Email: aimholtz@cftc.gov |
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