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CFTC | RIN: 3038-AE46 | Publication ID: Fall 2016 |
Title: ●Amendment to Commission Regulation 3.10(c): Exemption From Registration for Certain Foreign Persons | |
Abstract:
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 (U.S.) acting in the capacity of a futures commission merchant (FCM), an introducing broker (IB), commodity trading advisor (CTA), or commodity pool operator (CPO) in connection with commodity interest transactions solely on behalf of persons located outside the U.S., or on behalf of certain international financial institutions, would qualify for an exemption from registration with the Commission. |
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Agency: Commodity Futures Trading Commission(CFTC) | Priority: Substantive, Nonsignificant |
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 3 | |
Legal Authority: 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 |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: No | Government Levels Affected: None |
Federalism: No | |
Included in the Regulatory Plan: No | |
International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of international interest. | |
RIN Data Printed in the FR: No | |
Agency Contact: Frank Fisanich Chief Counsel, Market Participants Division Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581 Phone:202 418-5949 Email: ffisanich@cftc.gov Andrew V. Chapin Associate Chief Counsel, Division of Swap Dealer and Intermediary Oversight Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581 Phone:202 418-5465 Email: achapin@cftc.gov |