Market and Large Trader Reporting

Thu, Dec 15 2005 11:00:00 GMT

The Commodity Futures Trading Commission (Commission or CFTC) is proposing several amendments to its market and large trader reporting rules. First, the Commission is proposing to establish a new reporting level for futures and option contracts based on 3Year U.S. Treasury Notes. Second, the Commission is proposing to clarify the application of the reporting rules to registered derivatives transaction execution facilities (DTEFs). Third, the Commission is proposing to require designated contract markets to publicly disseminate integrated volume data that separately identifies the volume generated from block trades. Fourth, the Commission is proposing to adopt a reporting framework for contracts that are exclusively self cleared. Finally, the Commission is proposing a number of conforming, clarifying, and technical amendments.

Commodity Pool Operator Electronic Filing of Annual Reports

Thu, Dec 15 2005 11:00:00 GMT

The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend Commission regulations to require that commodity pool annual financial reports submitted by commodity pool operators (``CPOs'') to the National Futures Association (``NFA'') be filed electronically.

Commodity pool annual reports filed with a registered futures association (currently, the NFA is the sole registered futures association) must contain a manually signed oath or affirmation under Commission regulations and no provision exists for electronic filing of annual reports with NFA. The NFA has recently petitioned the Commission to amend its regulations to require mandatory electronic filing of commodity pool annual reports. The Commission has considered the NFA petition and is hereby proposing to amend Commission regulations: (i) To require CPOs to file a commodity pool annual report with NFA electronically,
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with the required oath or affirmation to be made through compliance with N

The Federal Register

Market and Large Trader Reporting

Commodity Pool Operator Electronic Filing of Annual Reports