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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 

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.

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
Action Date FR Cite
NPRM  08/12/2016  81 FR 53343   
NPRM Comment Period End  09/12/2016 
Final Action  11/00/2016 
Final Action Effective  12/00/2016 
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