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CFTC

RIN: 3038-AD30

Publication ID: 2012

Title: Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations
Abstract: The Commission has adopted regulations which rescind an exemption from registration as a commodity pool operator; rescind exemptions from the certification requirement for annual reports for certain commodity pools; modify criteria for claiming exclusion from the definition of "commodity pool operator;" require the annual filing of notices claiming exemptive relief under several sections of the Commission's regulations; and expand the prescribed risk disclosures for commodity pool operators and commodity trading advisors to address swap transactions. The Commission also has adopted new data collections for commodity pool operators and commodity trading advisors that are consistent with a data collection required under the Dodd-Frank Act for entities registered with the Commission and the Securities and Exchange Commission.
Agency: Commodity Futures Trading Commission(CFTC)	Priority: Other Significant
RIN Status: Previously published in the Unified Agenda	Agenda Stage of Rulemaking: Completed Actions
Major: No	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: None

Timetable:

Action	Date	FR Cite
NPRM	02/11/2011	76 FR 7976
NPRM Comment Period End	04/12/2011
Final Action	02/24/2012	77 FR 11252
Correction	03/26/2012	77 FR 17328
Final Action Effective	04/25/2012

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