Commodity Futures Trading Commission September 14, 2015 – Federal Register Recent Federal Regulation Documents
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Membership in a Registered Futures Association
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting a new rule (``Final Rule'') to require that all persons registered with the Commission as introducing brokers (``IB''), commodity pool operators (``CPO''), or commodity trading advisors (``CTA''), subject to an exception for those persons who are exempt from registration as a CTA pursuant to a particular provision of the Commission's regulations, must, in each case, become and remain a member of at least one registered futures association (``RFA'').
Public Alert-Registration Deficient List
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is announcing a new program, the Registration Deficient List (``RED List''), that will post on the Commission's Web site and distribute to the public certain factual information about foreign entities that are soliciting or accepting funds from U.S. residents and are acting in a manner that requires registration but are not appropriately registered with the CFTC.
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