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Electronic Code of Federal Regulations

e-CFR Data is current as of October 29, 2014


17 CFR--PART 1

View Printed Federal Register page 77 FR 21306 in PDF format.

Amendment(s) published April 9, 2012, in 77 FR 21306

Effective Dates: October 1, 2012

2. Amend §1.35 by revising paragraph (a-1)(5)(iv) to read as follows:

§1.35   Records of commodity interest and cash commodity transactions.

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(a-1) *  *  *

(5) *  *  *

(iv)Allocation.Orders eligible for post-execution allocation must be allocated by an eligible account manager in accordance with the following:

(A) Allocations must be made as soon as practicable after the entire transaction is executed, but in any event no later than the following times: For cleared trades, account managers must provide allocation information to futures commission merchants no later than a time sufficiently before the end of the day the order is executed to ensure that clearing records identify the ultimate customer for each trade. For uncleared trades, account managers must provide allocation information to the counterparty no later than the end of the calendar day that the swap was executed.

(B) Allocations must be fair and equitable. No account or group of accounts may receive consistently favorable or unfavorable treatment.

(C) The allocation methodology must be sufficiently objective and specific to permit independent verification of the fairness of the allocations using that methodology by appropriate regulatory and self-regulatory authorities and by outside auditors.

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