WebAug 24, 2024 · The CFTC most recently amended Rule 1.31 in 2012 to apply the recordkeeping obligations to “swaps” in connection with the Dodd-Frank legislation. See Adaptation of Regulations to Incorporate Swaps, 77 Fed. Reg. 66288 (Nov. 2, 2012). It also amended the rule substantially in 1999, primarily to address the storage of electronic … Web15 hours ago · COMMODITY FUTURES TRADING COMMISSION Agency Information Collection Activities: Notice of Intent To Extend Collection 3038–0090: Adaptation of ... Recordkeeping (Regulation 1.35), Swap Confirmations (Regulation 1.33), and Utility Special Entities (Regulation 1.3). Please refer to the

www.cftc.gov

WebData Recordkeeping & Reporting Requirements The Commission finalized rules to implement the Dodd-Frank Wall Street Reform and Consumer Protection Act regarding … WebCFTC Orders 11 Financial Institutions to Pay Over $710 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods Registered Swap Dealers and FCMs Admit Use of Texts, WhatsApp and Other Unapproved Methods to Conduct Business September 27, 2024 Washington, D.C. the ozone store

SEC Adopts Security-Based Swaps Recordkeeping and …

WebJan 26, 2024 · The Commodity Futures Trading Commission (CFTC), an independent US federal agency, regulates the commodity futures and options markets and, more recently, the swaps market. The long-standing CFTC Rule 1.31 defines records retention requirements established by SEC Rule 17a-4 (f). WebCFTC’s recordkeeping and reporting rules. In addition, Rule 3a71-6 has been amended to permit foreign SBSDs and MSBSPs to avail themselves of substituted compliance to satisfy the recordkeeping and reporting requirements. Conclusion and Next Steps The recordkeeping and reporting rules will become effective 60 days after publication in the WebAll books and records shall be maintained in accordance with § 1.31. All books and records required by this section except those required by paragraphs (a) (3), (a) … the ozone omaha