Aggregated News From Investment Management Regulators

CFTC Unanimously Approves a Final Rule Amending Form CPO-PQR

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— The Commodity Futures Trading Commission at its open meeting today unanimously approved a final rule adopting amendments to Form CPO-PQR for commodity pool operators (CPOs).

The amendments to Form CPO-PQR (1) eliminate existing Schedules B and C of the form, except for the Pool Schedule of Investments; (2) amend the information requirements and instructions to request Legal Entity Identifiers (LEIs) for commodity pool operators and their operated pools that have them, and to delete questions regarding pool auditors and marketers; and (3) make certain other changes due to the rescission of Schedules B and C, including the elimination of all existing reporting thresholds.

The final rule also amends CFTC Regulation 4.27 to permit reporting CPOs to file NFA Form PQR, a comparable form required by the National Futures Association, in lieu of filing the CFTC’s revised form. [See voting draft for effective and compliance dates.]

Related Commission Action

The Commission also announced at the open meeting the approval of an MOU between the CFTC and the Office of Financial Research (OFR) that establishes a framework for the CFTC to share with OFR information and data reported on Form CPO-PQR. [See CFTC Press Release No. 8276-20]. Sharing this information allows both agencies to fulfill their statutory and regulatory mandates.

Additional information on the final rule, including statements of the Chairman and the Commissioners, is available here.

 

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Regulator Information

Abbreviation: CFTC
Jurisdiction: USA

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