Commodity Futures Trading Commission May 8, 2017 – Federal Register Recent Federal Regulation Documents

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Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments

Document Number: 2017-09229

Type: Proposed Rule

Date: 2017-05-08

Agency: Commodity Futures Trading Commission, Agencies and Commissions

The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend its regulations regarding certain duties of chief compliance officers (``CCOs'') of swap dealers (``SDs''), major swap participants (``MSPs''), and futures commission merchants (``FCMs'') (collectively, ``Registrants''); and certain requirements for preparing and furnishing to the Commission an annual report containing an assessment of the Registrant's compliance activities.

https://regulations.justia.com/regulations/fedreg/2017/05/08/2017-09229.html