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 2007_register executive 2010-09-22 article Rules and Regulations D09002ee1c80cd42f D09002ee1c80ce3e0 United States Commodity Futures Trading Commission originator org United States Government Agency or Subagency The Commodity Futures Trading Commission ("Commission" or "CFTC") is amending Commission regulations to require that notices of exemption or exclusion under Part 4 of the Commission's regulations submitted to National Futures Association ("NFA") be filed electronically. Under the regulations the Commission is amending, the submission of a notice through NFA's electronic exemption filing system by a person duly authorized to bind the submitter will be permitted in lieu of the manual signature currently required by each of these regulations. In addition, the Commission also is adopting technical amendments that remove the procedure for making filings with the Commission required by Part 4, and revising other sections of Part 4 to refer to filings made with NFA rather than the Commission. 72 FR 1658 https://www.govinfo.gov/app/details/FR-2007-01-16/E7-174 E7-174 fr16ja07-3 RIN 3038-AC33 6351-01-P https://www.govinfo.gov/app/details/FR-2007-01-16/E7-174 https://www.govinfo.gov/content/pkg/FR-2007-01-16/html/E7-174.htm https://www.govinfo.gov/content/pkg/FR-2007-01-16/pdf/E7-174.pdf Advertising Brokers Commodity Futures Commodity Pool Operators Commodity Trading Advisors Consumer Protection Reporting and Recordkeeping Requirements 7 p. 1658 1664 72 FR 1658 Title 17 Part 4 17 CFR Part 4 RIN 3038-AC33 Electronic Filing of Notices of Exemption and Exclusion Under Part 4 of the Commission's Regulations; Federal Register Vol. 72, Issue RULE E7-174 COMMODITY FUTURES TRADING COMMISSION 2007-02-15 6351-01-P E7-174 Final rulemaking.

The Commodity Futures Trading Commission ("Commission" or "CFTC") is amending Commission regulations to require that notices of exemption or exclusion under Part 4 of the Commission's regulations submitted to National Futures Association ("NFA") be filed electronically. Under the regulations the Commission is amending, the submission of a notice through NFA's electronic exemption filing system by a person duly authorized to bind the submitter will be permitted in lieu of the manual signature currently required by each of these regulations. In addition, the Commission also is adopting technical amendments that remove the procedure for making filings with the Commission required by Part 4, and revising other sections of Part 4 to refer to filings made with NFA rather than the Commission.

Effective Date: February 15, 2007. Eileen R. Chotiner, Futures Trading Specialist, at (202) 418-5467, or Kevin P. Walek, Assistant Director, at (202) 418-5463, Division of Clearing and Intermediary Oversight, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. Electronic mail: echotiner@cftc.gov or kwalek@cftc.gov. Advertising Brokers Commodity Futures Commodity Pool Operators Commodity Trading Advisors Consumer Protection Reporting and Recordkeeping Requirements Commodity pool operators and commodity trading advisers: Electronic filing of notices of exemption and exclusion, echotiner@cftc.gov kwalek@cftc.gov Vol. 72, no. 9 Office of the Federal Register, National Archives and Records Administration 2007-01-16 continuing daily deposited born digital 262 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2007-01-16 P0b002ee180951e29 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr16ja07 https://www.govinfo.gov/app/details/FR-2007-01-16 https://www.govinfo.gov/content/pkg/FR-2007-01-16/pdf/FR-2007-01-16.pdf https://www.govinfo.gov/content/pkg/FR-2007-01-16/xml/FR-2007-01-16.xml fdlp 1657 1909 DGPO 2010-09-22 2024-06-05 FR-2007-01-16 machine generated eng FR FR-2007-01-16 72 9