This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.
This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office] .
It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.
United States Code U.S. Code: Title 7 - AGRICULTURE
Title 17 published on 06-Sep-2017 03:43
The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 4 after this date.
2016-11-25; vol. 81 # 227 - Friday, November 25, 2016 81 FR 85147 - Commodity Pool Operator Financial Reports
GPO FDSys XML | Text Additional Documents COMMODITY FUTURES TRADING COMMISSION Final rules. Effective December 27, 2016. 17 CFR Part 4 Summary The Commodity Futures Trading Commission (Commission or CFTC) is amending certain of its regulations applicable to the financial reports that each person registered or required to be registered as a commodity pool operator (CPO) must provide for each commodity pool that it operates. These amendments: Permit the use of additional alternative generally accepted accounting principles, standards or practices; provide relief from the Annual Report audit requirement under certain circumstances; and make clear that an audited Annual Report must be distributed and submitted at least once during the life of a pool.
2016-09-06; vol. 81 # 172 - Tuesday, September 6, 2016 81 FR 61147 - Commodity Pool Operator Annual Report
GPO FDSys XML | Text Additional Documents COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking; extension of comment period. The comment period for the Proposal published on August 5, 2016, at 81 FR 51828, is extended until September 20, 2016. 17 CFR Part 4 Summary On August 5, 2016, the Commodity Futures Trading Commission (Commission or CFTC) published in the Federal Register a notice of proposed rulemaking (Proposal) to amend certain of its regulations applicable to the Annual Report that each person registered or required to be registered as a commodity pool operator (CPO) must distribute for each commodity pool that it operates. As is explained below, the Commission is extending for two weeks the comment period for the Proposal.
2016-08-05; vol. 81 # 151 - Friday, August 5, 2016 81 FR 51828 - Commodity Pool Operator Annual Report
GPO FDSys XML | Text Additional Documents COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before September 6, 2016. 17 CFR Part 4 Summary The Commodity Futures Trading Commission (Commission or CFTC) is proposing to amend certain of its regulations applicable to the Annual Report that each person registered or required to be registered as a commodity pool operator (CPO) must distribute for each commodity pool that it operates (Proposal). Specifically, the Proposal addresses the use of additional alternative generally accepted accounting principles, standards or practices, and the Annual Report audit requirement where the first fiscal year of a pool consists of a period of three months or less from the date of formation of the pool.
2013-08-22; vol. 78 # 163 - Thursday, August 22, 2013 78 FR 52308 - Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators
GPO FDSys XML | Text Additional Documents COMMODITY FUTURES TRADING COMMISSION Final rule. Effective dates: This rule is effective August 22, 2013, except the amendments to §§ 4.7(b)(4), 4.12(c)(3)(i), 4.23, 4.26, and 4.36 which are effective September 23, 2013. Compliance dates: Registered CPOs seeking exemption under these rules shall be required to comply with the conditions adopted in § 4.12(c)(3)(i) when the associated registered investment company updates its prospectus as described in Section II.F., below, and files the prospectus with the SEC. Moreover, the publication of these rules trigger the conditional compliance date that was established in the Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations rulemaking. 77 FR 11252, 11252 (Feb. 24, 2012). With the publication of these rules, registered CPOs of RICs must comply with § 4.27 on or before October 21, 2013. 17 CFR Part 4 Summary The Commodity Futures Trading Commission (“Commission” or “CFTC”) is adopting final regulations with respect to certain compliance obligations for commodity pool operators (“CPOs”) of investment companies registered under the Investment Company Act of 1940 (“registered investment companies” or “RICs”) that are required to register due to the recent amendments to its regulations. The Commission is also adopting amendments to certain provisions of part 4 of the Commission's regulations that are applicable to all CPOs and Commodity Trading Advisors (“CTAs”).
2012-11-02; vol. 77 # 213 - Friday, November 2, 2012 77 FR 66288 - Adaptation of Regulations To Incorporate Swaps
GPO FDSys XML | Text Additional Documents COMMODITY FUTURES TRADING COMMISSION Final rules. Effective January 2, 2013. 17 CFR Parts 1, 4, 5, 7, 8, 15, 16, 18, 21, 22, 36, 38, 41, 140, 145, 155, and 166 Summary The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act” or “DFA”) established a comprehensive new statutory framework for swaps and security-based swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act (“CEA” or “Act”), amends others, and adds a number of new provisions. The DFA also requires the Commodity Futures Trading Commission (“CFTC” or “Commission”) to promulgate a number of rules to implement the new framework. The Commission has proposed and finalized numerous rules to satisfy its obligations under the DFA. This rulemaking makes a number of conforming amendments to integrate the CFTC's regulations more fully with the new framework created by the Dodd-Frank Act.
2012-09-05; vol. 77 # 172 - Wednesday, September 5, 2012 77 FR 54355 - Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act
GPO FDSys XML | Text Additional Documents COMMODITY FUTURES TRADING COMMISSION Final rules. Effective Date: November 5, 2012. 17 CFR Part 4 Summary The Commodity Futures Trading Commission (Commission) is amending its regulations governing the operations and activities of commodity pool operators (CPOs) and commodity trading advisors (CTAs) in order to have those regulations reflect changes made to the Commodity Exchange Act (CEA) by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
2012-03-26; vol. 77 # 58 - Monday, March 26, 2012 77 FR 17329 - Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations
GPO FDSys XML | Text Additional Documents COMMODITY FUTURES TRADING COMMISSION 17 CFR Parts 4, 145, and 147 Summary The Commodity Futures Trading Commission is adopting amendments to its existing part 4 regulations and promulgating one new regulation regarding Commodity Pool Operators and Commodity Trading Advisors. The Commission is also adopting new data collections for CPOs and CTAs that are consistent with a data collection required under the Dodd-Frank Act for entities registered with both the Commission and the Securities and Exchange Commission. The adopted amendments rescind an exemption from registration as a CPO; rescind relief from the certification requirement for annual reports provided to operators of certain pools offered only to qualified eligible persons (“QEPs”); modify the criteria for claiming exclusion from the definition of CPO; and require the annual filing of notices claiming exemptive relief under several sections of the Commision's regulations. Finally, the adopted amendments include new risk disclosure requirements for CPOs and CTAs regarding swap transactions. 2. In 17 CFR Part 4, beginning on page 11283, in the second column, in 31st line of text, amendatory instructions 1-8 and their corresponding amendments to the Code of Federal Regulations are being republished as follows:
2012-02-24; vol. 77 # 37 - Friday, February 24, 2012 77 FR 11252 - Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations
GPO FDSys XML | Text Additional Documents COMMODITY FUTURES TRADING COMMISSION Final rule. Effective dates: This final rule is effective on April 24, 2012, except for the amendments to § 4.27, which shall become effective on July 2, 2012. Compliance dates: Compliance with § 4.27 shall be required by not later than September 15, 2012, for a CPO having at least $5 billion in assets under management, and by not later than December 14, 2012, for all other registered CPOs and all CTAs. Compliance with § 4.5 for registration purposes only shall be required not later than the later of December 31, 2012, or 60 days after the effective date of the final rulemaking further defining the term “swap,” which the Commission will publish in the Federal Register at a future date. Entities required to register due to the amendments to § 4.5 shall be subject to the Commission's recordkeeping, reporting, and disclosure requirements pursuant to part 4 of the Commission's regulations within 60 days following the effectiveness of a final rule implementing the Commission's proposed harmonization effort pursuant to the concurrent proposed rulemaking. CPOs claiming exemption under § 4.13(a)(4) shall be required to comply with the rescission of § 4.13(a)(4) by December 31, 2012; however, compliance shall be required for all other CPOs on April 24, 2012. Compliance with all other amendments, not otherwise specified above, shall be required by December 31, 2012. 17 CFR Parts 4, 145, and 147 Summary The Commodity Futures Trading Commission is adopting amendments to its existing part 4 regulations and promulgating one new regulation regarding Commodity Pool Operators and Commodity Trading Advisors. The Commission is also adopting new data collections for CPOs and CTAs that are consistent with a data collection required under the Dodd-Frank Act for entities registered with both the Commission and the Securities and Exchange Commission. The adopted amendments rescind the exemption from registration; rescind relief from the certification requirement for annual reports provided to operators of certain pools offered only to qualified eligible persons (QEPs; modify the criteria for claiming relief); and require the annual filing of notices claiming exemptive relief under several sections of the Commission's regulations. Finally, the adopted amendments include new risk disclosure requirements for CPOs and CTAs regarding swap transactions.
77 FR 11345 - Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators
GPO FDSys XML | Text Additional Documents COMMODITY FUTURES TRADING COMMISSION Proposed rule. Comments should be received on or before April 24, 2012. 17 CFR Part 4 Summary The Commodity Futures Trading Commission is proposing amendments to its regulations regarding requirements applicable to investment companies registered under the Investment Company Act of 1940 (“registered investment companies”) whose advisors will be subject to registration as commodity pool operators due to changes that the Commission is adopting.
2012-02-17; vol. 77 # 33 - Friday, February 17, 2012 77 FR 9734 - Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
GPO FDSys XML | Text Additional Documents COMMODITY FUTURES TRADING COMMISSION Final rules. Effective Date: These final rules will become effective on April 17, 2012. Compliance Date: Swap dealers and major swap participants must comply with the rules in subpart H of part 23 on the later of 180 days after the effective date of these rules or the date on which swap dealers or major swap participants are required to apply for registration pursuant to Commission rule 3.10. 17 CFR Parts 4 and 23 Summary The Commodity Futures Trading Commission (“Commission” or “CFTC”) is adopting final rules to implement Section 4s(h) of the Commodity Exchange Act (“CEA”) pursuant to Section 731 of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”). These rules prescribe external business conduct standards for swap dealers and major swap participants.
