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CFTC RIN: 3038-AE47 Publication ID: Fall 2016 
Title: ●Commodity Pool Operator Annual Report 
Abstract:

The Commodity Futures Trading Commission (Commission or CFTC) is proposing to amend certain of its regulations applicable to the Annual Report that each person registered or required to be registered as a commodity pool operator (CPO) must distribute for each commodity pool that it operates (Proposal). Specifically, the Proposal addresses the use of additional alternative generally accepted accounting principles, standards or practices, and the Annual Report audit requirement where the first fiscal year of a pool consists of a period of three months or less from the date of formation of the pool.

 
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 4   
Legal Authority: 7 U.S.C. 1a, 2, 6(c), 6b, 6c, 6l, 6m 6n, 6o, 12a, 23   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  08/05/2016  81 FR 51828   
NPRM Comment Period End  09/06/2016 
NPRM Comment Period Extended  09/06/2016  81 FR 61147   
NPRM Comment Period End  09/20/2016 
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 
RIN Data Printed in the FR: No 
Agency Contact:
Barbara Gold
Associate Director, Division of Swap Dealer and Intermediary Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW.,
Washington, DC 20581
Phone:202 418-5441
Email: bgold@cftc.gov

Christopher W. Cummings
Special Counsel, Reg and Compliance Branch, Division of Swap Dealer and Intermediary Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5445
Email: ccummings@cftc.gov