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 2002_register executive 2010-09-23 article Rules and Regulations D09002ee1c818866a D09002ee1c818871f United States Commodity Futures Trading Commission originator org United States Government Agency or Subagency The Commodity Futures Trading Commission (the "Commission" or "CFTC") has adopted amendments which govern Commodity Pool Operators ("CPOs") and Commodity Trading Advisors ("CTAs"). These amendments make clear that certain Disclosure Documents, annual financial reports, notices of eligibility, claims of exemption, and requests for extensions of time to file annual financial reports, need only be filed with the National Futures Association ("NFA") and need not also be filed with the Commission. The Commission, in separate Notices and Orders published elsewhere in the Federal Register, has authorized NFA to receive and review these documents. 67 FR 77409 https://www.govinfo.gov/app/details/FR-2002-12-18/02-31685 02-31685 fr18de02-6 6351-01-P https://www.govinfo.gov/app/details/FR-2002-12-18/02-31685 https://www.govinfo.gov/content/pkg/FR-2002-12-18/html/02-31685.htm https://www.govinfo.gov/content/pkg/FR-2002-12-18/pdf/02-31685.pdf Reporting and Recordkeeping Requirements 3 p. 77409 77411 67 FR 77409 Title 17 Part 4 17 CFR Part 4 Commodity Pool Operators and Commodity Trading Advisors; Federal Register Vol. 67, Issue RULE 02-31685 COMMODITY FUTURES TRADING COMMISSION 2003-01-01 6351-01-P 02-31685 Final rules.

The Commodity Futures Trading Commission (the "Commission" or "CFTC") has adopted amendments which govern Commodity Pool Operators ("CPOs") and Commodity Trading Advisors ("CTAs"). These amendments make clear that certain Disclosure Documents, annual financial reports, notices of eligibility, claims of exemption, and requests for extensions of time to file annual financial reports, need only be filed with the National Futures Association ("NFA") and need not also be filed with the Commission. The Commission, in separate Notices and Orders published elsewhere in the Federal Register, has authorized NFA to receive and review these documents.

Effectice January 1, 2003. Amendments to Commission Rules 4.7(b)(3)(i) and 4.22 shall be applicable with regard to commodity pool annual financial reports for fiscal years ending on December 31, 2002, and thereafter. Kevin P. Walek, Assistant Director, Eileen R. Chotiner, Futures Trading Specialist, Audit and Financial Review Section, or Michael A. Piracci, Attorney Advisor, Compliance and Registration Section, Division of Clearing and Intermediary Oversight, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone: (202) 418-5430. Reporting and Recordkeeping Requirements Commodity pool operators and commodity trading advisors: National Futures Association; filing clarifications, http://www.nfa.futures.org Vol. 67, no. 243 Office of the Federal Register, National Archives and Records Administration 2002-12-18 continuing daily deposited born digital 257 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2002-12-18 P0b002ee1809d1365 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr18de02 https://www.govinfo.gov/app/details/FR-2002-12-18 https://www.govinfo.gov/content/pkg/FR-2002-12-18/pdf/FR-2002-12-18.pdf https://www.govinfo.gov/content/pkg/FR-2002-12-18/xml/FR-2002-12-18.xml fdlp 77399 77644 DGPO 2010-09-23 2024-06-07 FR-2002-12-18 machine generated eng FR FR-2002-12-18 67 243