Commodity Futures Trading Commission July 2, 2007 – Federal Register Recent Federal Regulation Documents

Registration of Intermediaries
Document Number: E7-12767
Type: Rule
Date: 2007-07-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') has amended Commission Regulation 3.10 to require certain registered intermediaries, i.e., futures commission merchants (``FCMs''), introducing brokers (``IBs''), commodity pool operators (``CPOs''), commodity trading advisors (``CTAs'') and leverage transaction merchants (``LTMs''), to complete an online annual review of their registration information maintained with the National Futures Association (``NFA''). This amendment is intended to ensure that NFA will have accurate and current information about such registrants. The Commission also has made a technical and conforming amendment to Commission Regulation 3.33(f) in order to remove an unnecessary reference to Regulation 3.10(d).
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