federal_register: 2017-09229
Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API
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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 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 2017-09229 | Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments | Proposed Rule | The Commodity Futures Trading Commission ("Commission" or "CFTC") is proposing to amend its regulations regarding certain duties of chief compliance officers ("CCOs") of swap dealers ("SDs"), major swap participants ("MSPs"), and futures commission merchants ("FCMs") (collectively, "Registrants"); and certain requirements for preparing and furnishing to the Commission an annual report containing an assessment of the Registrant's compliance activities. | 2017-05-08 | 2017 | 5 | https://www.federalregister.gov/documents/2017/05/08/2017-09229/chief-compliance-officer-duties-and-annual-report-requirements-for-futures-commission-merchants-swap | https://www.govinfo.gov/content/pkg/FR-2017-05-08/pdf/2017-09229.pdf | Commodity Futures Trading Commission | 77 | The Commodity Futures Trading Commission ("Commission" or "CFTC") is proposing to amend its regulations regarding certain duties of chief compliance officers ("CCOs") of swap dealers ("SDs"), major swap participants ("MSPs"), and futures commission... |