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CFTC | RIN: 3038-AE49 | Publication ID: Fall 2016 |
Title: ●Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates | |
Abstract:
The Commission is proposing to amend certain provisions of Regulation 3.3, Chief Compliance Officer. The proposed amendments would: codify existing no-action relief regarding the timing of when an SD, MSP, or FCM must furnish its CCO annual report to the Commission; clarify filing requirements for SDs, MSPs, or FCMs located in a jurisdiction for which the Commission has issued a comparability determination; and delegate to the Director of the Commission’s Division on Swap Dealer and Intermediary Oversight authority to grant extensions to the CCO annual report filing deadline. |
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Agency: Commodity Futures Trading Commission(CFTC) | Priority: Other Significant |
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 3.3 | |
Legal Authority: Pub. L. 111-203, sec. 731, Dodd-Frank |
Legal Deadline:
None |
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Timetable:
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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: Erik Remmler Dep Director, Registration 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:202 418-7630 Email: eremmler@cftc.gov |