Regulatory Alerts2012-09-05 | 2012-21606Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act
The Commodity Futures Trading Commission amends Part 4 regulations to align the operations and activities of commodity pool operators and commodity trading advisors with the Commodity Exchange Act as modified by the Dodd-Frank Act. These final rules incorporate swap-related activities into existing disclosure, reporting, and recordkeeping requirements, ensuring that CPOs and CTAs provide consistent protections to participants and clients engaging in swap transactions. The amendments also update definitions to include swap dealers as qualified eligible persons, exempt them from certain margin prohibitions, and delete obsolete regulations regarding derivatives transaction execution facilities.
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