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CFTC RIN: 3038-AF25 Publication ID: Spring 2024 
Title: Amendments to Certain Provisions in Part 4 Applicable to Commodity Pool Operators and Commodity Trading Advisors 
Abstract:

The Commodity Futures Trading Commission (Commission) has proposed a rule amending certain requirements for commodity pool operators and commodity trading advisors, including increasing the threshold in the portfolio requirement to be a Qualified Eligible Person, imposing minimal disclosure requirements addressing principal risk factors, fees/breakeven table, and conflicts of interest, and extending the deadline for providing quarterly account statements to pool participants from 30 to 45 days.

 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Other Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 4.7   
Legal Authority: 7 U.S.C. 6m    7 U.S.C 6n   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  10/12/2023  88 FR 70852   
NPRM Comment Period End  12/11/2023 
Final Rule  07/00/2024 
Final Rule Effective  08/00/2024 
Regulatory Flexibility Analysis Required: YES  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: Yes 
Agency Contact:
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