View Rule

View EO 12866 Meetings Printer-Friendly Version     Download RIN Data in XML
CFTC RIN: 3038-AE99 Publication ID: Spring 2020 
Title: ●Amendments to the Registration and Compliance Obligations for Commodity Pool Operators of Registered Investment Companies, Business Development Companies, and Exchange Traded Commodity Pools 
Abstract:

The Commission finalized part of the update to the terms of the exclusion from the definition of commodity pool operator under Regulation 4.5 as it applies to the investment advisers to registered investment companies and business development companies. Staff is considering recommending that the Commission propose additional compliance relief to registered commodity pool operators for registered investment companies, business development companies, and exchange traded commodity pools to better tailor those obligations to the operations of such pools.

 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 4.5    17 CFR 4.12(c)   
Legal Authority: 7 U.S.C. 1a(11)(B)    7 U.S.C. 4n   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  06/00/2020 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Amanda L. Olear
Director, Market Participants Division
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5283
Email: aolear@cftc.gov

Chang Jung
Special Counsel, Market Participants Division
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 212 Street NW,
Washington, DC 20581
Phone:202 418-5202
Email: cjung@cftc.gov