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CFTC

RIN: 3038-AC63

Publication ID: Fall 2011

Title: Account Ownership and Control Reports
Abstract: The Commission solicited public comment with respect to the adoption of regulations that would identify the owners of transactions reported to the trade surveillance system. Such regulations would enable trade practice and market surveillance staff to perform timely and customized analysis of trading activity. Comment was initially solicited through an advanced notice of proposed rulemaking published in 2009 and then again through a notice of proposed rulemaking published in July 2010. The comment period for the proposed regulation has now closed. Commission staff is evaluating all comments received to determine how it should proceed to implement the proposed account ownership and control reports. This rulemaking is being consolidated with 3038-AD31.
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 15 to 21
Legal Authority: 7 USC 1 et seq, as amended by PL 110-246

Legal Deadline: None

Timetable:

Action	Date	FR Cite
ANPRM	07/02/2009	74 FR 31642
ANPRM Comment Period End	08/17/2009
NPRM	07/19/2010	75 FR 41775
NPRM Comment Period End	10/07/2010
Withdrawn	08/16/2011

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
Related RINs: Merged with 3038-AD31
Agency Contact: Rachel F. Berdansky Deputy Director, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581 Phone:202 418-5641 Fax:202 418-5429 Email: rberdansky@cftc.gov