Regulação de mercados · 11/09/19971 min de leitura
Performance of Certain Functions by National Futures Association With Respect to Non-U.S. Firms and Non-U.S. Markets
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Resumo
The Commodity Futures Trading Commission (Commission) is authorizing National Futures Association (NFA) to perform fitness checks with respect to (1) foreign firms acting in the capacity of futures commission merchants (FCMs) seeking relief under Rule 30.10 and (2) any applicant for registration or registrant having or seeking to add a foreign principal, subject to any limitations by individual offshore jurisdictions that fitness information solely be communicated to and among regulators. In addition, the Commission is authorizing NFA (1) to receive filings from foreign firms acting in the capacities of commodity pool operators (CPOs) and commodity trading advisors (CTAs) filing for exemption from registration under Rule 30.5, (2) to monitor compliance with Rule 30.10, Rule 30.5, and the provisions of Deutsche Terminborse (DTB) terminal placement relief, (3) to receive filings from FCMs with respect to order transmittal procedure relief for foreign futures and options orders, (4) to receive documentation pertaining to Globex and New York Mercantile Exchange (NYMEX) ACCESS ``pass-the-book'' relief, and (5) to maintain and serve as the official custodian of certain Commission records