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CFTC Eliminates and Narrows Key Exemptions for Commodity Pool Operators and Commodity Trading Advisors

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March 12, 2012
Client Alert

The Commodity Futures Trading Commission (the “CFTC”) recently issued final rule changes:

Most of the rule changes become effective either 60 days following publication in the Federal Register or December 31, 2012 (with certain rules not becoming effective until the CFTC adopts final rules to define “swap”). In a separate release the CFTC proposed relief from several regulatory requirements for CPOs to RICs that will now be required to register with the CFTC in an effort to harmonize rulemaking with federal securities regulation. 

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