federal_register: 2011-2437

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document_number title type abstract publication_date pub_year pub_month html_url pdf_url agency_names agency_ids excerpts regulation_id_numbers
2011-2437 Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations Proposed Rule The Commodity Futures Trading Commission is proposing to amend its existing regulations and proposing one new regulation regarding Commodity Pool Operators and Commodity Trading Advisors. The Commission is proposing a new data collection for CPOs and CTAs that is consistent with the data collection required under the Dodd-Frank Act. The proposed amendments would: Rescind the exemptions from registration provided in the Commission's regulations; rescind the relief from the certification requirement for annual reports provided to operators of certain pools only offered to qualified eligible persons ("QEPs"); modify the criteria for claiming relief under the Commission's regulations; and require the annual filing of notices claiming exemptive relief. Finally, the proposal includes new risk disclosure requirements for CPOs and CTAs regarding swap transactions. 2011-02-11 2011 2 https://www.federalregister.gov/documents/2011/02/11/2011-2437/commodity-pool-operators-and-commodity-trading-advisors-amendments-to-compliance-obligations https://www.govinfo.gov/content/pkg/FR-2011-02-11/pdf/2011-2437.pdf Commodity Futures Trading Commission 77 The Commodity Futures Trading Commission is proposing to amend its existing regulations and proposing one new regulation regarding Commodity Pool Operators and Commodity Trading Advisors. The Commission is proposing a new data collection for CPOs and...  

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