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CFTC Issues Reminder of New Rules on OCR Filings

The CFTC Division of Market Oversight ("Division") reminded all market participants in CFTC-regulated derivatives markets that, with the expiration of relief specified in CFTC Letter No. 16-32, certain electronic submission requirements for Ownership and Control Reports ("OCR") Forms 40/40S and 71 will commence on November 18, 2016 at 12:00 a.m. U.S. Eastern Time. The Division encouraged market participants to: (i) ensure their familiarity with the requirements of the OCR final rule; and (ii) consult the multiple reference resources available on the CFTC's Ownership and Control Reporting homepage.

Primary Sources

  1. CFTC Press Release: "CFTC Division of Market Oversight Reminds Market Participants of Upcoming Expiration of Certain No-Action Relief from Ownership and Control Final Rule" (November 16, 2016)

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Tags

Regulated Activities
Regulatory Reporting
Regulated Entities
Traders / Investors / Counterparties
Body of Law
CEA Regulation
Jurisdiction
US - Federal
Organization
CFTC, NFA, CFTC Markets
Sub-Author
CFTC