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Final Rule: Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations

Final Rule: Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations

RIN: 3038–AD30

Agency/Agencies: CFTC

Federal Register Publication Date: 02/24/2012

Summary: The CFTC adopted amendments to its existing Part 4 regulations and promulgated one new regulation regarding Commodity Pool Operators and Commodity Trading Advisors. The CFTC also adopted new data collections for CPOs and CTAs that are consistent with a data collection required under the Dodd-Frank Act for entities registered with both the CFTC and the SEC. The adopted amendments rescind the exemption from registration; rescind relief from the certification requirement for annual reports provided to operators of certain pools offered only to qualified eligible persons (QEPs; modify the criteria for claiming relief); and require the annual filing of notices claiming exemptive relief under several sections of the CFTC’s regulations. Finally, the adopted amendments include new risk disclosure requirements for CPOs and CTAs regarding swap transactions.

Ianthe Zabel
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