Commodity Futures Trading Commission March 2012 – Federal Register Recent Federal Regulation Documents
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Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations
The Commodity Futures Trading Commission is adopting amendments to its existing part 4 regulations and promulgating one new regulation regarding Commodity Pool Operators and Commodity Trading Advisors. The Commission is also adopting new data collections for CPOs and CTAs that are consistent with a data collection required under the Dodd-Frank Act for entities registered with both the Commission and the Securities and Exchange Commission. The adopted amendments rescind an exemption from registration as a CPO; rescind relief from the certification requirement for annual reports provided to operators of certain pools offered only to qualified eligible persons (``QEPs''); modify the criteria for claiming exclusion from the definition of CPO; and require the annual filing of notices claiming exemptive relief under several sections of the Commision's regulations. Finally, the adopted amendments include new risk disclosure requirements for CPOs and CTAs regarding swap transactions. 2. In 17 CFR Part 4, beginning on page 11283, in the second column, in 31st line of text, amendatory instructions 1-8 and their corresponding amendments to the Code of Federal Regulations are being republished as follows:
Technology Advisory Committee
The CFTC announces that on March 29, 2012, the CFTC's Technology Advisory Committee (``TAC'') will hold a public meeting at the CFTC's Washington, DC headquarters, from 10 a.m. to 5 p.m. The TAC committee will focus on automated and high frequency trading, final recommendations of the subcommittee on data standardization, and market structure and technology issues relating to credit limit checks.
Privacy Act of 1974 System of Records Notice
In accordance with the Privacy Act of 1974, the Commodity Futures Trading Commission is providing notice that it is retiring one system of records notice, CFTC-7, Formal Employment Discrimination Complaint and Reasonable Accommodation Files, from its inventory of record systems because the relevant records are covered by existing government-wide system notices.
Agency Information Collection Activities Under OMB Review
This document corrects a reference in the text of the 30-day Notice of Intent to Renew an agency collection of information, Regulations Governing Bankruptcies of Commodity Brokers (OMB Control No. 3038-0021). The notice that is being corrected was published in the Federal Register of March 5, 2012, 77 FR 13101.
Agency Information Collection Activities Under OMB Review
In compliance with the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office of Management and Budget (OMB) for review and comment. The ICR describes the nature of the information collection and its expected costs and burden; it includes the actual data collection instruments [if any].
Identity Theft Red Flags Rules
The Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission (``SEC,'' together with the CFTC, the ``Commissions'') are jointly issuing proposed rules and guidelines to implement new statutory provisions enacted by Title X of the Dodd- Frank Wall Street Reform and Consumer Protection Act. These provisions amend section 615(e) of the Fair Credit Reporting Act and direct the Commissions to prescribe rules requiring entities that are subject to the Commissions' jurisdiction to address identity theft in two ways. First, the proposed rules and guidelines would require financial institutions and creditors to develop and implement a written identity theft prevention program that is designed to detect, prevent, and mitigate identity theft in connection with certain existing accounts or the opening of new accounts. The Commissions also are proposing guidelines to assist entities in the formulation and maintenance of a program that would satisfy the requirements of the proposed rules. Second, the proposed rules would establish special requirements for any credit and debit card issuers that are subject to the Commissions' jurisdiction, to assess the validity of notifications of changes of address under certain circumstances.
Agency Information Collection Activities Under OMB Review
In compliance with the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office of Management and Budget (OMB) for review and comment. The ICR describes the nature of the information collection and its expected costs and burden; it includes the actual data collection instruments (if any).
Agency Information Collection Activities Under OMB Review
In compliance with the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office of Management and Budget (OMB) for review and comment. The ICR describes the nature of the information collection and its expected costs and burden; it includes the actual data collection instruments [if any].
Agency Information Collection Activities Under OMB Review
In compliance with the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office of Management and Budget (OMB) for review and comment. The ICR describes the nature of the information collection and its expected costs and burden; it includes the actual data collection instruments [if any].
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