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On November 10, 2016, the US Commodity Futures Trading Commission announced its unanimous approval of a final rule amending CFTC regulation 3.3 to provide for a 90-day window...
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On November 10, 2016, the US Commodity Futures Trading
Commission announced its unanimous approval of a final rule
amending CFTC regulation 3.3 to provide for a 90-day window after
the end of an institution's fiscal year for the filing of chief
compliance officer annual reports. The amendment applies to futures
commission merchants, swap dealers and major swap participants. The
amendment also clarifies the filing requirements for swap dealers
and major swap participants in jurisdictions for which the CFTC has
granted a comparability determination on the reports' contents.
The rule will be effective upon publication in the Federal
Register.
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