Registration, 12821 [2016-05580]
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Federal Register / Vol. 81, No. 48 / Friday, March 11, 2016 / Rules and Regulations
COMMODITY FUTURES TRADING
COMMISSION
17 CFR Part 3
Registration
CFR Correction
In Title 17 of the Code of Federal
Regulations, Parts 1 to 40, revised as of
April 1, 2015, on page 205, in § 3.45,
revise paragraph (b) to read as follows:
§ 3.45
Restrictions upon activities.
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(b) An applicant for registration as an
introducing broker who has received a
temporary license may be guaranteed by
a futures commission merchant or retail
foreign exchange dealer other than the
futures commission merchant or retail
foreign exchange dealer which provided
the initial guarantee agreement
described in § 3.44(a)(1) of this subpart:
Provided, That, at least 10 days prior to
the effective date of the termination of
the existing guarantee agreement in
accordance with the provisions of § 1.10
(j)(5) of this chapter, or such other
period of time as the National Futures
Association may allow for good cause
shown, the applicant files with the
National Futures Association—
(1) Written notice of such termination
and
(2) A new guarantee agreement with
another futures commission merchant or
retail foreign exchange dealer effective
the day following the last effective date
of the existing guarantee agreement.
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[FR Doc. 2016–05580 Filed 3–10–16; 8:45 am]
BILLING CODE 1505–01–D
commodity trading advisor, commodity
pool operator or leverage transaction
merchant in accordance with paragraph
(a) of this section will continue to be so
registered until the effective date of any
revocation or withdrawal of such
registration. Such person will be
prohibited from engaging in activities
requiring registration under the Act or
from representing himself to be a
registrant under the Act or the
representative or agent of any registrant
during the pendency of any suspension
of such registration.
(2) A person registered as an
introducing broker who was a party to
a guarantee agreement with a futures
commission merchant or retail foreign
exchange dealer in accordance with
§ 1.10(j) of this chapter will have its
registration cease thirty days after the
termination of such guarantee
agreement unless the procedures set
forth in § 1.10(j)(8) of this chapter are
followed.
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[FR Doc. 2016–05577 Filed 3–10–16; 8:45 am]
BILLING CODE 1505–01–D
SECURITIES AND EXCHANGE
COMMISSION
17 CFR Part 200
Organization; Conduct and Ethics; and
Information and Requests
CFR Correction
In Title 17 of the Code of Federal
Regulations, Parts 200 to 239, revised as
of April 1, 2015, on page 19, in § 200.24,
remove the words ‘‘Associate Executive
Director of the Office of the
Comptroller’’ and add in their place the
words ‘‘Chief Financial Officer’’.
COMMODITY FUTURES TRADING
COMMISSION
17 CFR Part 3
Registration
[FR Doc. 2016–05581 Filed 3–10–16; 8:45 am]
CFR Correction
BILLING CODE 1505–01–D
asabaliauskas on DSK3SPTVN1PROD with RULES
In Title 17 of the Code of Federal
Regulations, Parts 1 to 40, revised as of
April 1, 2015, on page 188–189, in
§ 3.10, revise paragraph (b) to read as
follows:
§ 3.10 Registration of futures commission
merchants, retail foreign exchange dealers,
introducing brokers, commodity trading
advisors, commodity pool operators, swap
dealers, major swap participants and
leverage transaction merchants.
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(b) Duration of registration. (1) A
person registered as a futures
commission merchant, retail foreign
exchange dealer, introducing broker,
VerDate Sep<11>2014
15:58 Mar 10, 2016
Jkt 238001
12821
SECURITIES AND EXCHANGE
COMMISSION
17 CFR Part 240
[Release No. 34–77104; File No. S7–06–15]
RIN 3235–AL73
Security-Based Swap Transactions
Connected With a Non-U.S. Person’s
Dealing Activity That Are Arranged,
Negotiated, or Executed by Personnel
Located in a U.S. Branch or Office or
in a U.S. Branch or Office of an Agent;
Security-Based Swap Dealer De
Minimis Exception
Correction
In rule document 2016–03178,
appearing on pages 8598–8637, in the
issue of Friday, February 19, 2016, make
the following corrections:
1. On page 8604, at the bottom of the
page, footnotes 55, 56, 57, 58, and 59
were inadvertently duplicated and these
duplicate set of footnotes should not
have appeared in the published
document.
2. On page 8605, in the second
column, the heading titled ‘‘e. Current
Estimates of Number of Security-Based
Wwap Dealers’’ should read ‘‘e. Current
Estimates of Number of Security-Based
Swap Dealers’’.
3. On page 8606, at the bottom page,
footnote 75 was inadvertently
duplicated and this duplicate footnote
should not have appeared in the
published document.
4. On page 8606, at the bottom of the
page, footnote 77 was inadvertently
omitted and it should have appeared as
follows:
‘‘77 Commission staff analysis of TIW
transaction records indicates that
approximately 99 percent of singlename CDS price-forming transactions in
2014 involved an ISDA-recognized
dealer.’’
5. On page 8611, at the bottom of the
page, in the first column, footnote 107,
should read:
‘‘107 See Section II.A.3, supra, for an
analysis of the proportion of the
security-based swap market that
constitutes interdealer transactions. For
the purposes of this analysis we classify
any security-based swap transaction
between two ISDA-recognized dealers as
interdealer activity.’’
[FR Doc. C1–2016–03178 Filed 3–10–16; 8:45 am]
BILLING CODE 1505–01–D
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[Federal Register Volume 81, Number 48 (Friday, March 11, 2016)]
[Rules and Regulations]
[Page 12821]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-05580]
[[Page 12821]]
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COMMODITY FUTURES TRADING COMMISSION
17 CFR Part 3
Registration
CFR Correction
In Title 17 of the Code of Federal Regulations, Parts 1 to 40,
revised as of April 1, 2015, on page 205, in Sec. 3.45, revise
paragraph (b) to read as follows:
Sec. 3.45 Restrictions upon activities.
* * * * *
(b) An applicant for registration as an introducing broker who has
received a temporary license may be guaranteed by a futures commission
merchant or retail foreign exchange dealer other than the futures
commission merchant or retail foreign exchange dealer which provided
the initial guarantee agreement described in Sec. 3.44(a)(1) of this
subpart: Provided, That, at least 10 days prior to the effective date
of the termination of the existing guarantee agreement in accordance
with the provisions of Sec. 1.10 (j)(5) of this chapter, or such other
period of time as the National Futures Association may allow for good
cause shown, the applicant files with the National Futures
Association--
(1) Written notice of such termination and
(2) A new guarantee agreement with another futures commission
merchant or retail foreign exchange dealer effective the day following
the last effective date of the existing guarantee agreement.
* * * * *
[FR Doc. 2016-05580 Filed 3-10-16; 8:45 am]
BILLING CODE 1505-01-D
