Commodity Futures Trading Commission April 2007 – Federal Register Recent Federal Regulation Documents
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Registration of Intermediaries
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend 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''). The proposed amendment (``Proposed Amendment'') would ensure that NFA will have accurate and current information about such registrants. The Commission's proposal (``Proposal'') also includes a technical and conforming amendment to Commission Regulation 3.33(f), which regulation is cross-referenced in the Proposed Amendment.
Corrections to Regional Office Information
The Commodity Futures Trading Commission (``Commission'') is amending its regulations to delete references to the Minneapolis office, which was closed as of December 31, 2006, and to update the address of the Southwestern regional office.
Exemption From Registration for Certain Foreign Persons
The Commodity Futures Trading Commission (``Commission'') is proposing to amend Commission Regulation 3.10 regarding the registration of firms located outside the U.S. that are engaged in commodity interest activities with respect to trading on U.S. designated contract markets (``DCMs'') and U.S. derivative transaction execution facilities (``DTEFs'').\1\ The amended regulation would codify past actions of the Commission or its staff permitting certain foreign firms that limit their customers to foreign customers to submit U.S. DCM and DTEF business on behalf of those customers for clearing on an omnibus basis through a registered futures commission merchant (``FCM''), without the foreign firm having to register as an FCM pursuant to section 4d of the Commodity Exchange Act (``Act'').
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