federal_register: E7-22110

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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
E7-22110 Exemption From Registration for Certain Foreign Persons Rule The Commodity Futures Trading Commission ("Commission") has amended Commission Regulation 3.10 concerning the registration of firms located outside the U.S. that are engaged in intermediating commodity interest transactions on U.S. designated contract markets ("DCMs") and U.S. derivative transaction execution facilities ("DTEFs").\1\ The amended regulation codifies past actions of the Commission or its staff to permit certain foreign firms that limit their customers to foreign customers, and submit U.S. DCM and DTEF business on behalf of those customers for clearing on an omnibus basis through a registered futures commission merchant ("FCM"), to be exempt from registration as an FCM pursuant to section 4d of the Commodity Exchange Act ("Act"). The amended regulation similarly extends the relief from registration to those foreign persons acting in the capacity of an introducing broker ("IB"), commodity trading advisor ("CTA") and commodity pool operator ("CPO") solely on behalf of foreign customers. --------------------------------------------------------------------------- 2007-11-14 2007 11 https://www.federalregister.gov/documents/2007/11/14/E7-22110/exemption-from-registration-for-certain-foreign-persons https://www.govinfo.gov/content/pkg/FR-2007-11-14/pdf/E7-22110.pdf Commodity Futures Trading Commission 77 The Commodity Futures Trading Commission ("Commission") has amended Commission Regulation 3.10 concerning the registration of firms located outside the U.S. that are engaged in intermediating commodity interest transactions on U.S. designated contract...  

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