08.11.2016

CFTC Proposes to Amend the Timing for Filing Chief Compliance Officer Annual Reports by Certain Registrants

08.11.2016

CFTC.gov – Washington, DC — The U.S. Commodity Futures Trading Commission (CFTC) announced that it will publish in the Federal Register proposed amendments to CFTC regulation 3.3. The proposed amendments would provide futures commission merchants, swap dealers, and major swap participants additional time to file chief compliance officer annual reports and clarify the timing of the filing requirements applicable to swap dealers and major swap participants located in jurisdictions for which the CFTC has granted a comparability determination with respect to the contents of the reports. If adopted, the proposed rule would effectively codify and supersede CFTC Staff Letter No. 15-15 issued March 27, 2015.

The CFTC is seeking comments on the proposed amendments. The comment period ends 30 days after the proposal’s publication in the Federal Register. All comments will be posted to the CFTC’s website

COO of the Year Award winner! 🏆
Discover how Jennifer Kaiser of Marex earned the 2025 Women in Finance COO of the Year recognition.

A recent Markets Media article highlights how @tZERO is resetting its vision - focusing on partnerships, regulated infrastructure, and global scale to make tokenized capital markets a reality.

Under CEO @Alan_Konevsky, the company is leveraging regulatory momentum to enable…

Load More

Related articles

  1. It has become the first company to offer collateral wallet services in Dubai.

  2. Bank of England Endorses SEFs Ahead of European Clearing Launch

    Changes clearing and introduction of minimum haircuts could drive up the cost of funding.

  3. Trade data, predictive analytics on potential fails and communications are integrated in one platform.

  4. Buy Side Responds to Esma on Clearing Swaps

    Despite this regulatory progress, EU needs to deliver more consistent supervisory outcomes.

  5. Trading spot, perpetuals, futures, and options on one venue transforms capital efficiency.

We're Enhancing Your Experience with Smart Technology

We've updated our Terms & Conditions and Privacy Policy to introduce AI tools that will personalize your content, improve our market analysis, and deliver more relevant insights.These changes take effect on Aug 25, 2025.
Your data remains protected—we're simply using smart technology to serve you better. [Review Full Terms] | [Review Privacy Policy] Please review our updated Terms & Conditions and Privacy Policy carefully. By continuing to use our services after Aug 25, 2025, you agree to these

Close the CTA