On September 16, the CFTC provided temporary relief from regulations mandating large trader reporting of physical commodity swaps, the effective date of which was September 20. Reflief is provided from reporting, as long as parties make a good faith attempt to comply with the reporting requirements, until November 12 for cleared swaps and January 20, 2012 for uncleared swaps. CFTC Release. CFTC Final Rule.
large trader reporting
SEC Rule on Large Trader Reporting Regime
On July 26, the SEC adopted a rule to establish large trader reporting requirements in order to identify large market participants, collect information on their trading, and analyze their trading activity. The rule requires large traders to register with the SEC through a new Form 13H, and requires broker-dealers who execute trades for large traders to maintain records and report information to the SEC. The rule will be effective 60 days after publication in the Federal Register. SEC Release.