Records of Commodity Interest and Related Cash or Forward Transactions

Короткий зміст

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.