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CFTC | RIN: 3038-AE99 | Publication ID: Fall 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. |
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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: 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 |
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Timetable:
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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 |