federal_register: E7-8025

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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
E7-8025 Registration of Intermediaries Proposed Rule The Commodity Futures Trading Commission ("Commission" or "CFTC") is proposing to amend Commission Regulation 3.10 to require certain registered intermediaries, i.e., futures commission merchants ("FCMs"), introducing brokers ("IBs"), commodity pool operators ("CPOs"), commodity trading advisors ("CTAs") and leverage transaction merchants ("LTMs"), to complete an online annual review of their registration information maintained with the National Futures Association ("NFA"). The proposed amendment ("Proposed Amendment") would ensure that NFA will have accurate and current information about such registrants. The Commission's proposal ("Proposal") also includes a technical and conforming amendment to Commission Regulation 3.33(f), which regulation is cross-referenced in the Proposed Amendment. 2007-04-26 2007 4 https://www.federalregister.gov/documents/2007/04/26/E7-8025/registration-of-intermediaries https://www.govinfo.gov/content/pkg/FR-2007-04-26/pdf/E7-8025.pdf Commodity Futures Trading Commission 77 The Commodity Futures Trading Commission ("Commission" or "CFTC") is proposing to amend Commission Regulation 3.10 to require certain registered intermediaries, i.e., futures commission merchants ("FCMs"), introducing brokers ("IBs"), commodity pool...  

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