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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.

 
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 
EO 13771 Designation: uncollected 
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
Timetable:
Action Date FR Cite
NPRM  08/05/2016  81 FR 51824   
NPRM Comment Period End  09/06/2016 
Final Action  11/00/2016 
Final Action Effective  12/00/2016 
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
Deputy Director, Division of Swap Dealer and Intermediary Oversight
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