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Thursday, September 6, 2012

Federal Register: CFTC Regulations Governing COPs & CTAs

The CFTC is amending its regulations governing the operations and activities of commodity pool operators (COPs) and commodity trading advisors (CTAs) in order to reflect changes mandated by the Dodd-Frank Act. The rule includes disclosure, reporting and recordkeeping requirements, anti-fraud provisions, and compliance exemptions for registered CPOs and CTAs. The comprehensive regulatory framework for CPOs and CTAs includes swap transactions.

The amendments will be effective November 5.
Read more.

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