August 9, 2016

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

Washington, DC — The U.S. Commodity Futures Trading Commission (CFTC) announced today 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.

Last Updated: August 9, 2016