Régulation des marchés · 14/11/20141 min de lecture
Records of Commodity Interest and Related Cash or Forward Transactions
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Résumé
The Commodity Futures Trading Commission (the "Commission" or "CFTC") is proposing to amend Commission Rule 1.35(a) (the "Proposal") to: provide that all records required to be maintained under this regulation must be searchable; clarify that all records be kept in a form and manner that allows for identification of a particular transaction, except that records of oral and written communications leading to the execution of a transaction in a commodity interest and related cash or forward transactions are not required to be kept in a form and manner that allows for identification of a particular transaction; exclude unregistered members of designated contract markets ("DCMs") and swap execution facilities ("SEFs") from the requirements to retain text messages and to maintain records in a particular form and manner; and exclude commodity trading advisors ("CTAs") from the oral recordkeeping requirement.