3038-AE46 201804 Unified Agenda of Federal Regulatory and Deregulatory Actions 3038 Commodity Futures Trading Commission CFTC Amendment to Commission Regulation 3.10(c): Exemption From Registration for Certain Foreign Persons

The Commodity Futures Trading Commission ("Commission") is proposing to amend Commission regulation 3.10(c)(2) and (3).  The proposed amendment would amend the conditions under which persons located outside the United States acting in the capacity of a futures commission merchant, an introducing broker, commodity trading advisor, or commodity pool operator in connection with commodity interest transactions solely on behalf of persons located outside the United States, or on behalf of certain international financial institutions, would qualify for an exemption from registration with the Commission.

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No Independent agency 17 CFR 3 7 U.S.C. 1a 7 U.S.C. 2 7 U.S.C. 6a to 6i 7 U.S.C. 6k 7 U.S.C. 6m to 6p 7 U.S.C. 6s 7 U.S.C.8 to 9a 7 U.S.C. 12 to 12a 7 U.S.C. 13b to 13c 7 U.S.C. 16a 7 U.S.C. 18 and 19 7 U.S.C. 21 7 U.S.C. 23 No NPRM 08/05/2016 81 FR 51824 NPRM Comment Period End 09/06/2016 Final Action 11/00/2018 Final Action Effective 01/00/2019 No None No No No Yes Frank Fisanich Chief Counsel, Market Participants Division 3038 Commodity Futures Trading Commission CFTC 202 418-5949 ffisanich@cftc.gov Three Lafayette Centre, 1155 21st Street NW, Washington DC 20581 Andrew Chapin V. Associate Chief Counsel, Division of Swap Dealer and Intermediary Oversight 3038 Commodity Futures Trading Commission CFTC 202 418-5465 achapin@cftc.gov Three Lafayette Centre, 1155 21st Street NW, Washington DC 20581