For Release: July 2, 2007
CFTC Adopts Amendment to Regulation 3.10 to Require Certain Registrants to Conduct Annual Review of Registration Information
Washington, D.C. – The Commodity Futures Trading Commission (CFTC) announced the finalization of an amendment to CFTC regulation 3.10 that will require each registered futures commission merchant, introducing broker, commodity trading advisor, commodity pool operator and leverage transaction merchant to conduct an online annual review of the person's registration information maintained by the National Futures Association (NFA). The amendment is intended to enhance the accuracy of the registration information maintained in NFA's registration database. The CFTC also adopted a technical and conforming amendment to CFTC regulation 3.33(f).
The amendments are being published in the Federal Register and will become effective August 1, 2007. Copies of the amended regulations may be obtained by contacting the Commission's Office of the Secretariat, Three Lafayette Centre, 1155 21st Street, N.W., Washington, D.C. 20581, (202) 418-5100 or by accessing the Commission's website, www.cftc.gov.
R. David Gary
Last Updated: July 19, 2007