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CFTC | RIN: 3038-AE56 | Publication ID: Spring 2018 |
Title: Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments | |
Abstract:
The Commodity Futures Trading Commission (Commission) is proposing to amend its regulations regarding certain duties of chief compliance officers of swap dealers, major swap participants (MSPs), and futures commission merchants (collectively, Registrants); and certain requirements for preparing and furnishing to the Commission an annual report containing an assessment of the Registrant’s compliance activities. |
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Agency: Commodity Futures Trading Commission(CFTC) | Priority: Substantive, Nonsignificant |
RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Final Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
EO 13771 Designation: Independent agency | |
CFR Citation: 17 CFR 3 | |
Legal Authority: 7 U.S.C. 1a and 2 7 U.S.C. 6a to 6b-1 7 U.S.C. 6c 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 and 12a 7 U.S.C. 13b and 13cc 7 U.S.C. 16a 7 U.S.C. 18 7 U.S.C. 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 | |
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 Pamela M. Geraghty Deputy Director, Market Participants Division Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581 Phone:202 418-5634 Email: pgeraghty@cftc.gov Fern B. Simmons Special Counsel, Division of Swap Dealer and Intermediary Oversight Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581 Phone:202 418-5901 Email: fsimmons@cftc.gov |