Commodity Futures Trading Commission August 14, 2007 – Federal Register Recent Federal Regulation Documents

Termination of Associated Persons and Principals of Futures Commission Merchants, Introducing Brokers, Commodity Trading Advisors, Commodity Pool Operators and Leverage Transaction Merchants
Document Number: E7-15869
Type: Proposed Rule
Date: 2007-08-14
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend Commission Regulations 3.12 and 3.31 (``Proposed Amendments'') to extend the period during which a registered futures commission merchant (``FCM''), introducing broker (``IB), commodity trading advisor (``CTA''), commodity pool operator (``CPO'') or leverage transaction merchant (``LTM'') must file a notice with the National Futures Association (``NFA'') to report the termination of any associated person (``AP'') or principal of the registered intermediary. Under existing regulations, such intermediaries must file notices within 20 days after the termination of the AP or principal. The Commission's proposal (``Proposal'') would provide 30, rather than 20, days for the filing of a termination notice.
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0025, Practice by Former Members and Employees of the Commission
Document Number: 07-3951
Type: Notice
Date: 2007-08-14
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act of 1995 (PRA), 44 U.S.C. 3501 et seq., 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 of information, and to allow 60 days for public comment in response to the notice. This notice solicits comments on requirements relating to practice before the Commission by former members and employees of the Commission.