The CFTC Division of Swap Dealer and Intermediary Oversight extended temporary no-action relief from July 23, 2020 to September 30, 2020 to principals and associated persons from rules requiring a fingerprint card when registering with the Commission.
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A CFTC final rule aimed at preventing certain bad actors from seeking exemptions from registration as CPOs under CFTC Rule 4.13 ("Exemption from Registration as a Commodity Pool Operator") was published in the Federal Register.
The CFTC adopted amendments to an NFA registration form for "associated persons of a registrant, floor broker, or floor trader, or to be listed as a principal of a registrant."
The CFTC unanimously approved a final rule amendment to prevent certain bad actors from seeking exemptions from registration as CPOs.
CFTC Commissioner Brian D. Quintenz announced that he will not seek re-nomination.