Regulatory Alerts2016-11-16 | 2016-27525Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates
The Commodity Futures Trading Commission issued a final rule amending Regulation 3.3 to extend the deadline for Chief Compliance Officer annual reports from 60 to 90 days after a registrant's fiscal year-end. This change applies to Futures Commission Merchants, Swap Dealers, and Major Swap Participants, while also clarifying filing requirements for Substituted Compliance Registrants. Additionally, the Commission delegated authority to the Director of the Division of Swap Dealer and Intermediary Oversight to grant extensions to the CCO annual report filing deadline.
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