Commodity Futures Trading Commission May 30, 2017 – Federal Register Recent Federal Regulation Documents
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Agency Information Collection Activities: Extension of Information Collections Under the Dodd-Frank Act
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is announcing an opportunity for public comment on the extension of two information collections (ICs), one concerning the filing of an annual report provided for in the Derivatives Clearing Organization General Provisions and Core Principles regulations and the other concerning the filing of a Subpart C Election Form and other reporting and recordkeeping requirements provided for in subpart C, part 39 of the Commission Regulations. Under the Paperwork Reduction Act (``PRA''), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection, and to allow 60 days for public comment.
Recordkeeping
The Commodity Futures Trading Commission (the ``Commission'') is amending the recordkeeping obligations set forth in Commission regulations along with corresponding technical changes to certain provisions regarding retention of oral communications and record retention requirements applicable to swap dealers and major swap participants, respectively. The amendments modernize and make technology neutral the form and manner in which regulatory records must be kept, as well as rationalize the rule text for ease of understanding for those persons required to keep records pursuant to the Commodity Exchange Act (the ``CEA'' or ``Act'') and regulations promulgated by the Commission thereunder. The amendments do not alter any existing requirements regarding the types of regulatory records to be inspected, produced, and maintained set forth in other Commission regulations.
Whistleblower Awards Process
The Commodity Futures Trading Commission (``Commission'') is amending its regulations and forms to enhance the process for reviewing whistleblower claims and to make related changes to clarify staff authority to administer the whistleblower program. The Commission also is making appropriate rule amendments to implement its reinterpretation of the Commission's anti-retaliation authority.
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