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 D09002ee1c809fa5e D09002ee1c809fad6 United States Commodity Futures Trading Commission originator org United States Government Agency or Subagency 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. --------------------------------------------------------------------------- 72 FR 63976 https://www.govinfo.gov/app/details/FR-2007-11-14/E7-22110 E7-22110 fr14no07-5 RIN 3038-AC26 6351-01-P https://www.govinfo.gov/app/details/FR-2007-11-14/E7-22110 https://www.govinfo.gov/content/pkg/FR-2007-11-14/html/E7-22110.htm https://www.govinfo.gov/content/pkg/FR-2007-11-14/pdf/E7-22110.pdf Definitions Registration Minimum Financial and Reported Requirements Prohibited Transactions in Commodity Options Customers' Money Securities and Property Miscellaneous Brokers Reporting and Recordkeeping Requirements Authorization to Trade Customer Protection Foreign Futures Consumer Protection Foreign Options Registration Requirements Advertising Commodity Futures Recordkeeping and Reporting Requirements 4 p. 63976 63979 72 FR 63976 Title 17 Part 15 17 CFR Part 15 Title 17 Part 166 17 CFR Part 166 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-AC26 Exemption From Registration for Certain Foreign Persons; Federal Register Vol. 72, Issue RULE E7-22110 COMMODITY FUTURES TRADING COMMISSION 2007-12-14 6351-01-P E7-22110 Final 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. ---------------------------------------------------------------------------

Effective Date: December 14, 2007. Lawrence B. Patent, Deputy Director, or Andrew V. Chapin, Special Counsel, at (202) 418-5430, Division of Clearing and Intermediary Oversight, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. Electronic mail: lpatent@cftc.gov or achapin@cftc.gov. Definitions Registration Minimum Financial and Reported Requirements Prohibited Transactions in Commodity Options Customers' Money Securities and Property Miscellaneous Brokers Reporting and Recordkeeping Requirements Authorization to Trade Customer Protection Foreign Futures Consumer Protection Foreign Options Registration Requirements Advertising Commodity Futures Recordkeeping and Reporting Requirements Commodity Exchange Act, etc.: Foreign persons; registration exemption, achapin@cftc.gov lpatent@cftc.gov Vol. 72, no. 219 Office of the Federal Register, National Archives and Records Administration 2007-11-14 continuing daily deposited born digital 161 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2007-11-14 P0b002ee18094fd29 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr14no07 https://www.govinfo.gov/app/details/FR-2007-11-14 https://www.govinfo.gov/content/pkg/FR-2007-11-14/pdf/FR-2007-11-14.pdf https://www.govinfo.gov/content/pkg/FR-2007-11-14/xml/FR-2007-11-14.xml fdlp 63967 64117 DGPO 2010-09-22 2024-06-05 FR-2007-11-14 machine generated eng FR FR-2007-11-14 72 219