Cftc regulation 3.10 c
WebAug 30, 2016 · CFTC Rule 3.10(c)(3) was adopted a number of years ago, well before the CEA was most recently amended under the Dodd-Frank Act, and originally only applied … WebJun 3, 2016 · No annual affirmation is required to maintain this exemption. 4. Non-U.S. Managers An exemption from CPO registration under CFTC Regulation 3.10 (c) (3) is available if a manager is advising a...
Cftc regulation 3.10 c
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WebEach application for registration as a futures commission merchant under § 3.10, a swap dealer under § 23.21, or a major swap participant under § 23.21, must include a designation of a chief compliance officer by submitting a Form 8-R for the chief compliance officer as a principal of the applicant pursuant to § 3.10 (a) (2). WebCommodity Futures Trading Commission (“CFTC” or “Commission”) proposed technical amendments to NFA Rules and Interpretive Notices. The amendments add a definition of Swap Execution Facility to NFA Compliance Rule 1-1, specify that the documents and notices required under NFA Compliance Rule 2-13(c) are filed electronically
Web4.12(c)(3) (Pool level for CPOs of RICs) Registered CPO is provided relief to use substituted compliance if the pool is a Registered Investment Company (RIC) CPO CFTC Advisory 18-96 (Pool level for CPO) Registered CPO is provided relief from reporting and disclosure requirements for foreign pools U.S. CPO 4.23(c) (Firm level or Pool level for CPO) WebNov 5, 2024 · CFTC Adopts Amendments to Rule 3.10 (c) Exemption for Certain Foreig... This communication is for general information only. It is not intended, nor …
WebJun 9, 2024 · Commodity Futures Trading Commission (CFTC) Regulation 3.10(c)(3) currently provides that non-U.S. commodity pool operators (CPOs) are exempt from registration if they solely operate non-U.S. commodity pools offered to non-U.S. investors and submit their underlying commodity interest transactions for clearing (the "3.10 … WebCommodity Futures Trading Commission CFTC
WebOct 20, 2024 · The Commission voted to approve a final rule providing a registration exemption for certain foreign intermediaries. CFTC Regulation 3.10 (c) sets forth categories of exemptions to CFTC’s requirements for registration as an intermediary.
WebThe Amendments restructure Regulation 3.10(c) to present the exemptions for CPOs, CTAs and IBs separately, and make certain substantive changes to the regulation. … hung up traduzioneWebEach application for registration as a futures commission merchant under § 3.10, a swap dealer under § 23.21, or a major swap participant under § 23.21, must include a designation of a chief compliance officer by submitting a Form 8-R for the chief compliance officer as a principal of the applicant pursuant to § 3.10 (a) (2) . hung up urban meaningWebJun 12, 2024 · The Commodity Futures Trading Commission (Commission) is proposing to amend the conditions in Commission regulation 3.10(c) under which a person located … hung up translateWebJun 2, 2024 · Commodity Futures Trading Commission (CFTC) Regulation 3.10 (c) (3) currently provides that non-U.S. commodity pool operators (CPOs) are exempt from … hung up urban dicWebAligns Regulation of Offshore Intermediaries with Global Practices and Current Commission Policies . I. Introduction and Executive Summary At an open meeting held on October … hung up urban defWebThe Code of Federal Regulations (CFR) is the official legal print publication containing the codification of the general and permanent rules published in the Federal Register by the … hung up vimeoWebNov 19, 2024 · under CFTC regulation 4.13(a)(3). In this case, however, such notice would need to be filed within 30 days of engaging in CPO activities that would make relief under CFTC regulation 3.10(c)(3) unavailable to such person. Until that time, the person could freely rely on CFTC regulation 3.10(c)(3), which is self-executing. In hung up urban dict