Regulatory Alerts2016-04-01 | 2016-07561Added · Updated
Commodity Futures Trading Commission Final Rule on Fingerprinting Exemptions and SEC CFR Correction
The Commodity Futures Trading Commission amends its registration regulations to provide foreign natural persons with an alternative to fingerprinting by allowing a criminal history background check certified to the National Futures Association. This rule exempts eligible foreign individuals from standard fingerprinting requirements while ensuring they meet fitness standards through background checks that reveal statutory disqualifications. Concurrently, the Securities and Exchange Commission issues a correction to the Code of Federal Regulations by removing and reserving section 240.17a-23.
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