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CFTC Rulemakings list

      

Final Rule: Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates

Final Rule: Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates

RIN: 3038–AE49

Agency/Agencies: CFTC

Federal Register Publication Date: 11/16/2016

Summary: The CFTC amended its regulations regarding the timing for furnishing to the CFTC the chief compliance officer (‘‘CCO’’) annual reports of futures commission merchants, swap dealers, and major swap participants. The CFTC also amended its regulations by delegating to the Director of the Division of Swap Dealer and Intermediary Oversight authority to grant extensions to the CCO annual report filing deadline.

 

Ianthe Zabel
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