Régulation des marchés · 08/11/20071 min de lecture
Termination of Associated Persons and Principals of Futures Commission Merchants, Introducing Brokers, Commodity Trading Advisors, Commodity Pool Operators and Leverage Transaction Merchants
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Résumé
The Commodity Futures Trading Commission ("Commission" or "CFTC") has amended Commission Regulations 3.12 and 3.31 to extend the period during which a registered futures commission merchant ("FCM"), introducing broker ("IB"), commodity trading advisor ("CTA"), commodity pool operator ("CPO") or leverage transaction merchant ("LTM") must file a notice with the National Futures Association ("NFA") to report the termination of any associated person ("AP") or principal of the registered intermediary. The amendments modify existing requirements and specify that such intermediaries must file termination notices within 30 days, rather than 20 days, after the termination of the association with any AP or principal.