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CFTC Adopts Final Harmonization Rules

The Commodity Futures Trading Commission issued a final rule today regarding compliance obligations for investment companies that are now required to register with the CFTC under Regulation 4.5. The CFTC had proposed the harmonization rules because the regulatory regimes of the CFTC and the SEC directly conflict.

The final rule allows dually registered companies to meet the CFTC regulatory requirements by complying with the SEC rule they already follow. The CFTC’s press release states, that “the CFTC will accept the SEC’s disclosure, reporting, and recordkeeping regime as substituted compliance for substantially all of Part 4 of CFTC’s regulations, so long as they comply with comparable requirements under the SEC’s statutory and regulatory compliance regime.”

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