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CFTC RIN: 3038-AD30 Publication ID: Spring 2011 
Title: ●Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations 
Abstract: The Commission has proposed to: Rescind exemptions from registration for certain commodity pool operators and commodity trading advisors; rescind exemptions from the certification requirement for annual reports for certain commodity pools; modify criteria claiming relief from the definition of "commodity pool operator;" and, expand the prescribed risk disclosures for commodity pool operators and commodity trading advisors to address swaps transactions. The Commission also has proposed a new data collection for commodity pool operators and commodity trading advisors. 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Other Significant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 4    17 CFR 145    17 CFR 147   
Legal Authority: 5 USC 4a(j) and 552    5 USC 552b    7 USC 1a and 2    7 USC 6m and 6n    7 USC 12a   
Legal Deadline:
Action Source Description Date
Final  Statutory    07/21/2011 
Timetable:
Action Date FR Cite
NPRM  02/11/2011  76 FR 7976   
NPRM Comment Period End  04/12/2011    
Final Action  09/00/2011    
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:
Kevin Walek
Assistant Director, Division of Swap Dealer and Intermediary Oversight
Commodity Futures Trading Commission
1155 21st Street NW.,
Washington, DC 20581
Phone:202 418-5463
Email: kwalek@cftc.gov