federal_register: E7-21953

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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
E7-21953 Termination of Associated Persons and Principals of Futures Commission Merchants, Introducing Brokers, Commodity Trading Advisors, Commodity Pool Operators and Leverage Transaction Merchants Rule The Commodity Futures Trading Commission ("Commission" or "CFTC") has amended Commission Regulations 3.12 and 3.31 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. The amendments modify existing requirements and specify that such intermediaries must file termination notices within 30 days, rather than 20 days, after the termination of the association with any AP or principal. 2007-11-08 2007 11 https://www.federalregister.gov/documents/2007/11/08/E7-21953/termination-of-associated-persons-and-principals-of-futures-commission-merchants-introducing-brokers https://www.govinfo.gov/content/pkg/FR-2007-11-08/pdf/E7-21953.pdf Commodity Futures Trading Commission 77 The Commodity Futures Trading Commission ("Commission" or "CFTC") has amended Commission Regulations 3.12 and 3.31 to extend the period during which a registered futures commission merchant ("FCM"), introducing broker ("IB"), commodity trading advisor...  

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