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- Former JPMorgan Broker Files racial discrimination suit against company
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CFTC Expands Commodity Registration Rules
February 15, 2012
The CFTC last week issued a final rule regarding changes to Part 4 of the Commission’s regulations involving registration and compliance obligations for commodity pool operators (CPO's) and commodity trading advisors (CTA's). The rule increases transparency to the CFTC of CPOs and CTAs acting in the futures and swaps markets and enhances protections for their customers.
The rule, first proposed on 1/26/11, passed 4-1 with only Commissioner Sommers dissenting. It will take effect 60 days after publication in the Federal Register.
Specified Changes. As adopted, the rule changes:
- rescinds the exemption from registration provided in section 4.13(a)(4);
- removes relief from the certification requirement for annual reports provided to operators of certain pools offered only to qualified eligible persons under section 4.7(b)(3);
- modifies the criteria for claiming relief under section 4.5;
- requires the annual filing of notices claiming exemptive relief under several sections of the Commission’s regulations; and,
- adopts amendments that include new risk disclosure requirements for CPOs and CTAs regarding swap transactions.
For more details, go to [CFTC, 2/9/12]. Related Stories: Archive
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