Index of Record for the Rule Regarding Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
I. Federal Register Notices on this Rule
Notice of Petition of the National Futures Association to Amend Rule 4.5
- 75 Fed. Reg. 56997 (Sep. 17, 2010)
Notice of proposed rulemaking Regarding Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
- 76 Fed. Reg. 7976 (Feb. 11, 2011)
Final Rule Regarding Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
- 77 Fed. Reg. 11252 (Feb. 24, 2012), to be codified with corrections below at 17 C.F.R. Parts 4, 145, and 147
Correction to Final Rule Regarding Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
- 77 Fed. Reg. 17328 (Mar. 26, 2012)
Notice of Proposed Harmonization Rulemaking
- 77 Fed. Reg. 11345 (Feb. 24, 2012)
II. Public Comments
Petition of the National Futures Association to Amend Rule 4.5 (August 18, 2010)
Comments submitted in response to the February 11, 2011 Notice of Proposed Rulemaking
External meetings regarding Notice of Proposed Rulemaking
Comments submitted in response to the staff roundtable on July 6, 2011
III. Commission Events
Open Meeting (January 26, 2011)
- Other Open Meeting documents (webcast, Sunshine Act notice, and associated documents)
Staff Roundtable (July 6, 2011)
- Transcript of Staff Roundtable
- Other Staff Roundable documents
IV. Documents Referenced
Cited Federal Register Notices on Related Matters and Rulemakings
1984 – 1985
Notice of Proposed Rulemaking
- 49 Fed. Reg. 4778 (Feb. 8, 1984)
Final Rule
- 50 Fed. Reg. 15868 (Apr. 23, 1985)
2002 – 2003
Notice of Proposed Rulemaking
- 67 Fed. Reg. 65743 (Oct. 28, 2002)
Advanced Notice of Proposed Rulemaking
- 67 Fed. Reg. 68785 (Nov. 13, 2002)
Notice of Proposed Rulemaking
- 68 Fed. Reg. 12622 (Mar. 17, 2003), (substituting for Oct. 28, 2002 NPRM)
Final Rule
- 68 Fed. Reg. 47221 (Aug. 8, 2003)
2011
SEC Concept Release on use of derivatives by investment companies
- 76 Fed. Reg. 55237 (Sep. 7, 2011)
Final Rule on Reporting by Investment Advisers to Private Funds and Certain CPOs and CTAs on Form PF (Joint CFTC/SEC Rulemaking)
- 76 Fed. Reg. 71128 (Nov. 16, 2011)
Industry Publications
- " Best Practices for the Hedge Fund Industry." Asset Managers Committee Report to President's Working Group on Financial Markets
- " Principles and Best Practices for the Hedge Fund Industry." Investors Committee Report to President's Working Group on Financial Markets
- " Sound Practices for Hedge Fund Managers." Managed Funds Association
CFTC Interpretative Letters
- CFTC Interpretative Letter No. 10-25
- CFTC Interpretative Letter No. 10-02
- CFTC Interpretative Letter No. 10-07
- CFTC Interpretative Letter No. 10-08
- CFTC Interpretative Letter No. 10-09
- CFTC Interpretative Letter No. 10-11
- CFTC Interpretative Letter No. 10-18
NFA Website Screenshots
- NFA Website Screenshot (The National Futures Association audit page as of Apr. 19, 2012)
- NFA Website Screenshot (National Futures Association's Background Affiliation Status Information Center ("BASIC") page as of Apr. 19, 2012)
Other Federal Sources
- Chairman Mary Shapiro, Opening Statement at SEC Open Meeting (Aug. 31, 2011) – Use of Derivatives by Funds
- H.R. Rep. No. 93-975, 93rd Cong., 2d. Sess. (1974), p.32
- SEC Aug. 31, 2011 Press Release seeking public comment on use of derivatives by mutual funds and other investment companies (SEC website screenshot as of Apr. 19, 2012)