United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2001_register executive 2010-09-24 article Rules and Regulations D09002ee1c81d04f4 D09002ee1c81d0582 United States Commodity Futures Trading Commission originator org United States Government Agency or Subagency Following the enactment of the Commodity Futures Modernization Act of 2000 (CFMA) and the resulting revisions to the Commodity Exchange Act (CEA or Act), the Commodity Futures Trading Commission (CFTC or Commission) is adopting rules relating to intermediation of commodity futures and commodity options (commodity interest) transactions. These new rules and rule amendments provide greater flexibility in several areas, and addresses, among other things, the definition of the term "principal," certified financial reports, ethics training, disclosure, account opening procedures, trading standards, reporting requirements, and offsetting positions. The Commission is also adopting changes to allow a registrant to notify the Commission when a new natural person is added as a principal promptly after the change occurs. These rules are consistent with the mandate of the CFMA to streamline regulation of entities registered under the Act. Most of the new rules and rule amendments were part of the Commission's final rules relating to intermediaries that were adopted in December 2000, and subsequently withdrawn following the CFMA's enactment in order to determine their consistency with the CFMA (December Release). Upon reviewing the rules in light of the CFMA, the Commission has determined that the rules being adopted herein are consistent with the CFMA. 66 FR 53510 https://www.govinfo.gov/app/details/FR-2001-10-23/01-26523 01-26523 fr23oc01-3 RIN 3038-AB56 6351-01-P https://www.govinfo.gov/app/details/FR-2001-10-23/01-26523 https://www.govinfo.gov/content/pkg/FR-2001-10-23/html/01-26523.htm https://www.govinfo.gov/content/pkg/FR-2001-10-23/pdf/01-26523.pdf Brokers Commodity Futures Consumer Protection Reporting and Recordkeeping Requirements Authority Delegations (Government Agencies) Conflict of Interests Organization and Functions (Government Agencies) Administrative Practice and Procedure Principals Registration Advertising Commodity Pool Operators Commodity Trading Advisors Disclosure 14 p. 53510 53523 66 FR 53510 Title 17 Part 140 17 CFR Part 140 Title 17 Part 155 17 CFR Part 155 Title 17 Part 1 17 CFR Part 1 Title 17 Part 3 17 CFR Part 3 Title 17 Part 4 17 CFR Part 4 RIN 3038-AB56 Rules Relating to Intermediaries of Commodity Interest Transactions; Federal Register Vol. 66, Issue RULE 01-26523 COMMODITY FUTURES TRADING COMMISSION 6351-01-P 01-26523 Final rules.

Following the enactment of the Commodity Futures Modernization Act of 2000 (CFMA) and the resulting revisions to the Commodity Exchange Act (CEA or Act), the Commodity Futures Trading Commission (CFTC or Commission) is adopting rules relating to intermediation of commodity futures and commodity options (commodity interest) transactions. These new rules and rule amendments provide greater flexibility in several areas, and addresses, among other things, the definition of the term "principal," certified financial reports, ethics training, disclosure, account opening procedures, trading standards, reporting requirements, and offsetting positions. The Commission is also adopting changes to allow a registrant to notify the Commission when a new natural person is added as a principal promptly after the change occurs. These rules are consistent with the mandate of the CFMA to streamline regulation of entities registered under the Act. Most of the new rules and rule amendments were part of the Commission's final rules relating to intermediaries that were adopted in December 2000, and subsequently withdrawn following the CFMA's enactment in order to determine their consistency with the CFMA (December Release). Upon reviewing the rules in light of the CFMA, the Commission has determined that the rules being adopted herein are consistent with the CFMA.

October 23, 2001. Lawrence B. Patent, Associate Chief Counsel, or Michael A. Piracci, Attorney-Advisor, Division of Trading and Markets, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581. Telephone: (202) 418-5450. Brokers Commodity Futures Consumer Protection Reporting and Recordkeeping Requirements Authority Delegations (Government Agencies) Conflict of Interests Organization and Functions (Government Agencies) Administrative Practice and Procedure Principals Registration Advertising Commodity Pool Operators Commodity Trading Advisors Disclosure Commodity Exchange Act: Commodity interest transactions; intermediaries; amendments, Vol. 66, no. 205 Office of the Federal Register, National Archives and Records Administration 2001-10-23 continuing daily deposited born digital 219 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2001-10-23 P0b002ee180a17aa5 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr23oc01 https://www.govinfo.gov/app/details/FR-2001-10-23 https://www.govinfo.gov/content/pkg/FR-2001-10-23/pdf/FR-2001-10-23.pdf https://www.govinfo.gov/content/pkg/FR-2001-10-23/xml/FR-2001-10-23.xml fdlp 53503 53710 DGPO 2010-09-24 2024-06-08 FR-2001-10-23 machine generated eng FR FR-2001-10-23 66 205