CFTC's Fourth Series of Dodd-Frank Rulemakings Published for Comment in Federal Register

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A number of the proposals approved by the Commodity Futures Trading Commission at its meeting on November 10 and reported in the November 19 edition of Corporate and Financial Weekly Digest were published for comment in the Federal Register.

The release requesting comment on the CFTC’s notice of proposed rulemaking regarding registration of foreign boards of trade is available here. The CFTC’s proposed rule requiring each futures commission merchant, swap dealer (SD), and major swap participant (MSP) to designate a chief compliance officer and file an annual report regarding its compliance activities is available here. Both of these releases were published November 19; the comment period for each ends January 18. Additionally, the release requesting comment on the CFTC’s proposed rules that would establish and govern the duties of SDs and MSPs is available here. The CFTC’s notice of proposed rulemaking regarding conflicts of interest requirements applicable to SDs and MSPs is available here. Finally, the CFTC’s proposed rules governing registration of SDs and MSPs is available here. All three of these releases were published November 23, and the comment period for each ends January 24.

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Published In: Administrative Agency Updates, Consumer Protection Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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