Chief Compliance Officer Requirements Become Effective for All FCMs on March 29, 2013 As we notified Members in Notice I-12-21, the Chief Compliance Officer (CCO) requirements under CFTC Regulation 3.3 became effective on October 1, 2012 for FCMs that are regulated by a prudential regulator or that are also in some capacity registrants of the SEC. The compliance date for all other FCMs is March 29, 2013. Therefore, all FCMs not subject to the October 1, 2012 compliance date must designate a CCO and that person must be listed as a principal of the FCM by March 29, 2013. Those…