COMMODITY FUTURES TRADING COMMISSION 

17 CFR Ch. I 

Regulatory Flexibility Agenda 

AGENCY: Commodity Futures Trading Commission. 

 

ACTION: Semiannual regulatory agenda. 

SUMMARY: The Commodity Futures Trading Commission, in accordance with the requirements of the Regulatory 

Flexibility Act, is publishing a semiannual agenda of significant rules that the Commission expects to propose or 

promulgate over the next year. The Commission welcomes comments from small entities and others on the agenda. 

FOR FURTHER INFORMATION CONTACT: Melissa D. Jurgens, Secretary of the Commission, Commodity Futures 

Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581, (202) 418-5516, 

mjurgens@cftc.gov. 

SUPPLEMENTARY INFORMATION: The Regulatory Flexibility Act, 5 U.S.C. 601, et seq. (RFA), sets forth a number 

of requirements for agency rulemaking. Among other things, the RFA requires that: 

 Semiannually, each agency shall publish in the Federal Register a regulatory flexibility agenda that shall contain: 

(1) A brief description of the subject area of any rule that the agency expects to propose or promulgate, which is likely 

to have a significant economic impact on a substantial number of small entities; 

(2) A summary of the nature of any such rule under consideration for each subject area listed in the agenda pursuant 

to paragraph (1), the objectives and legal basis for the issuance of the rule, and an approximate schedule for 

completing action on any rule for which the agency has issued a general notice of proposed rulemaking; and 

(3) The name and telephone number of an agency official knowledgeable about the items listed in paragraph (1). 5 

U.S.C. 602(a). 

 The Commission has prepared an agenda of significant rules that it presently expects may be considered during 

the course of the next year. These rules may have some impact on small entities.1 In this regard, section 602(d) of 

 

1

 The Commission published its definition of a “small entity” for purposes of rulemaking proceedings at 47 FR 18618 

(April 30, 1982). Pursuant to that definition, the Commission is not required to – but nonetheless does – list many of 

the agenda items contained in this regulatory flexibility agenda. See also 5 U.S.C. 602(a)(1). Moreover, for certain 

items listed in this agenda, the Commission has previously certified, under section 605 of the RFA, 5 U.S.C. 605, that 

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

1
the RFA, 5 U.S.C. 602(d) provides: “Nothing in [section 602] precludes an agency from considering or acting on any 

matter not included in a regulatory flexibility agenda or requires an agency to consider or act on any matter listed in 

such agenda.” 

 The Commission’s fall 2013 regulatory flexibility agenda is set forth below. 

Issued in Washington, DC on September 24, 2013, by the Commission. 

NAME: Melissa D. Jurgens, 

Secretary of the Commission. 

 

those items will not have a significant economic impact on a substantial number of small entities. For these reasons, 

the listing of a rule in this regulatory flexibility agenda should not be taken as a determination that the rule, when 

proposed or promulgated, will in fact require a regulatory flexibility analysis. Rather, the Commission has chosen to 

publish an agenda that includes significant rules, regardless of their potential impact on small entities, to provide the 

public with broader notice of new or revised regulations the Commission may consider and to enhance the public’s 

opportunity to participate in the rulemaking process.

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

2
The 33 Regulatory Agendas

Commodity Futures Trading Commission - PreRule

Title

Regulation 

Identifier 

Number

Amendments to Swap Data Recordkeeping and Reporting Requirements 3038-AE12

Commodity Futures Trading Commission - Proposed Rule

Title

Regulation 

Identifier 

Number

Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants 3038-AC97

Concept Release on Risk Controls and System Safeguards for Automated Trading Environments 3038-AD52

Annual Stress Test 3038-AD73

Part 190 Bankruptcy Rules 3038-AD79

Aggregation of Positions 3038-AD82

Application of Interpretation Regarding Guarantees of Swaps 3038-AD93

Request for Comment on a Proposed Exemptive Order Relating to the Trading and Clearing of Options and Futures on

the Shares of Precious Metal Commodity-Based ETFs 3038-AD95

Position Limits for Commodity Derivatives Contracts 3038-AD99

Block Trading for Futures and Options on Futures Contracts and Centralized Market Trading on Designated Contract

Markets 3038-AE01

Allocation of Business Conduct Obligations by Swap Dealers in a Prime Brokerage Arrangement 3038-AE07

Membership in a Registered Futures Association 3038-AE09

Repeal of the ECM/EBOT Exemptions 3038-AE10

DCM and SEF Market Maker and Incentive Programs 3038-AE11

Commodity Futures Trading Commission - Final Rule

Title

Regulation 

Identifier 

Number

Regulation of Market Co-Location Services 3038-AC92

Volcker Rule (Section 619) 3038-AD05

Segregation and Bankruptcy: Protection of Collateral for Uncleared Swaps; Treatment of Securities in a Portfolio

Margining Account in a Commodity Broker Bankruptcy 3038-AD28

Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 3038-AD31

Governance Requirements for DCOs, DCMs, & SEFs; Additional Requirements Regarding the Mitigation of Conflicts of

Interest 3038-AD36

Requirements for DCOs, DCMs, & SEFs Regarding the Mitigation of Conflicts of Interest 3038-AD37

Capital Requirements for Swap Dealers and Major Swap Participants 3038-AD54

Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and

Derivatives Clearing Organizations 3038-AD88

Core Principle 9 for Designated Contract Markets 3038-AD90

Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees 3038-AE00

Derivatives Clearing Organizations and International Standards 3038-AE06

Commodity Futures Trading Commission - Completed Action

Title

Regulation 

Identifier 

Number

Cross-Border Application of Certain Swap Requirements 3038-AD57

Regulation of Market Co-Location Services--Latency Requirements 3038-AD63

Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

3
Pool Operators 3038-AD75

Systemically Important Derivatives Clearing Organizations 3038-AD81

Liquidity Standards for Financial Resources of Systemically Important Derivatives Clearing Organizations 3038-AD92

Clearing Exemption for Certain Swaps Entered Into by Cooperatives 3038-AD98

Exemptive Order Regarding Compliance with Certain Swap Regulations 3038-AE05

Retail Commodity Transactions Under Commodity Exchange Act 3038-AE08

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE12

 View Related Documents

Title: Amendments to Swap Data Recordkeeping and Reporting Requirements

Abstract: Staff is considering recommending the Commission issue an Advanced Notice of Proposed Rulemaking (ANPRM)

seeking public input on possible revisions to part 45 that could increase efficiencies in reporting swap data and mitigate the

burden on market participants. As markets, market participants, and trading conventions adapt to the swap data recordkeeping

and reporting requirements under part 45, staff will review these requirements to ensure that they continue to fulfill their

regulatory objectives in light of the evolving swaps marketplace.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: PreRule

Major: Undetermined Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: Not Yet Determined

Legal Deadline: None

Timetable:

Action Date FR Cite

ANPRM 06/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Sebastian Pujol-Schott 

Associate Director, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5641 

E-Mail: sschott@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC97

 View Related Documents

Title: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Abstract: The Commission proposed requirements for initial and variation margin for swap transactions that are not cleared, as

required by section 731 of the Wall Street Transparency and Accountability Act of 2010. Staff is considering recommending that

the Commission issue a further notice of proposed rulemaking in order to give interested parties the opportunity to comment on

changes to the proposal to harmonize international standards for margin for uncleared swaps.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 23 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 731 of PL 111-203 (Dodd-Frank)

Legal Deadline: 

Action Source Description Date

Other Statutory 07/15/2011 

Timetable:

Action Date FR Cite

NPRM 04/28/2011 76 FR 23732 

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

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NPRM Comment Period Extended 05/12/2011 76 FR 27621 

NPRM Comment Period End 06/27/2011 

NPRM Comment Period Extended End 07/11/2011 

NPRM Further Notice 09/20/2011 76 FR 58176 

NPRM Further Notice Comment Period End 11/04/2011 

NPRM Comment Period Extended 07/12/2012 77 FR 41109 

NPRM Comment Period End 09/14/2012 

NPRM Further Notice 11/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 3038-AD54

Agency Contact: John C. Lawton 

Deputy Director, Division of Clearing and Risk

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5480 

FAX: 202 418-5528

E-Mail: jlawton@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD52

 View Related Documents

Title: Concept Release on Risk Controls and System Safeguards for Automated Trading Environments

Abstract: The staff is considering recommending the Commission issue a concept release on principles-based risk controls

and system safeguards in automated trading environments that would apply to electronic trading platforms, automated trading

systems, and other market participants.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 6c(a) and 6g; 7 USC 7(d) and 7b-3; 7 USC 9 and 15; 7 USC 12(a)(5)

Legal Deadline: None

Timetable:

Action Date FR Cite

ANPRM 09/12/2013 78 FR 56542 

ANPRM Comment Period End 12/11/2013 

NPRM 03/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Marilee Dahlman 

Attorney Advisor, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5264 

E-Mail: mdahlman@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD73

 View Related Documents

Title: Annual Stress Test

Abstract: Staff is considering recommending to the Commission proposed rules to implement section 165(i) of the Dodd-Frank

Wall Street Reform and Consumer Protection Act which requires certain financial companies to conduct annual stress tests

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

5
pursuant to regulations prescribed by their respective primary financial regulatory agencies. Specifically, the recommendation

would require registrants and registered entities supervised by the Commodity Futures Trading Commission with total

consolidated assets of more than $10 billion to conduct an annual stress test as prescribed by this proposed rule. In addition to

the annual stress test requirement, such institutions would be subject to certain reporting and disclosure requirements.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 3 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: Sec 165(i)(2) of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 03/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Frank Fisanich 

Chief Counsel, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5949 

E-Mail: ffisanich@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD79

 View Related Documents

Title: Part 190 Bankruptcy Rules

Abstract: The staff is considering recommending that the Commission propose changes to section 190 to update the

Commission's bankruptcy regulations.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 190 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1 et seq

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Laura Astrada 

Associate Chief Counsel, Division of Clearing and Risk

Commodity Futures Trading Commission

Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-7622 

E-Mail: lastrada@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD82

 View Related Documents

Title: Aggregation of Positions

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Abstract: On May 30, 2012, the Commodity Futures Trading Commission published in the Federal Register a notice of

proposed modifications to part 151 of the Commission's regulations. The modifications addressed the policy for aggregation

under the Commission's position limits regime for 28 exempt and agricultural commodity futures and options contracts and the

physical commodity swaps that are economically equivalent to such contracts. In an Order dated September 28, 2012, the

District Court for the District of Columbia vacated part 151 of the Commission's regulations. The Commission is now considering

proposing modifications to the aggregation provisions of part 150 of the Commission's regulations that are substantially similar

to the aggregation modifications proposed to part 151 in the NPRM, except that the modifications address the policy for

aggregation under the Commission's position limits regime for futures and option contracts on nine agricultural commodities set

forth in part 150.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 150 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: CEA sec 4a; CEA sec 4c; CEA sec 8a(5)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 05/30/2012 77 FR 31767 

NPRM Comment Period End 06/29/2012 

Second NPRM 11/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 3038-AD99

Agency Contact: Stephen Sherrod 

Senior Economist, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5452 

FAX: 202 418-5527

E-Mail: ssherrod@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD93

 View Related Documents

Title: Application of Interpretation Regarding Guarantees of Swaps

Abstract: Staff is considering recommending the Commission address certain regulatory matters arising from its interpretation

that the term "swap" includes a guarantee of such swap.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: Not Yet Determined

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 11/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Lee Ann Duffy 

Assistant General Counsel, Office of General Counsel

Commodity Futures Trading Commission

1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-6763 

E-Mail: lduffy@cftc.gov

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

7
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD95

 View Related Documents

Title: Request for Comment on a Proposed Exemptive Order Relating to the Trading and Clearing of Options and Futures on

the Shares of Precious Metal Commodity-Based ETFs

Abstract: Staff is considering recommending the Commission exempt the trading and clearing of options and futures on the

shares of commodity-based exchange traded funds that hold or maintain direct exposure to gold, silver, palladium, platinum, or

any combination thereof. The exemption would be from all requirements of the Commodity Exchange Act and Commission

regulations to the extent necessary to permit: (1) the options to be traded on national securities exchanges; (2) the futures to be

traded on designated contract markets registered with the SEC as limited purposes national securities exchanges; and (3) both

the options and futures to be cleared by a registered derivatives clearing organization acting in its capacity as a registered

securities clearing agency. As a condition of the relief, the Commission would receive daily large options position reports

(LOPR) and would be able to initiate a special call on traders identified in the LOPR, if necessary. The order would be pursuant

to section 717 of the Dodd-Frank Act to deal with determining the status of novel derivative products. Staff is working with the

SEC staff to issue orders from each agency simultaneously or close together in time. Staff is in the process of revising the notice

of proposed order based, in part, on comments received from SEC staff. Similarly, the SEC has provided staff with a draft

proposed exemptive order concerning the same subject matter, and staff will provide comments on it to the SEC.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: None (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 6(c); Dodd Frank sec 717; 7 USC 2(a)(1)(C)(i)(II))

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Agency Contact: David Pepper 

Attorney Advisor, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5565 

E-Mail: dpepper@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD99

 View Related Documents

Title: Position Limits for Commodity Derivatives Contracts

Abstract: The staff is considering recommending to the Commission proposed changes and updates the Commission's position

limits regime. This proposal would expand the list of contracts on which Federal speculative limits would be set, provide an

updated definition of bona fide hedging, provide for the adoption of the particular limits, conform associated reporting rules

under part 19, establish aggregate position limits on Referenced Contracts (as defined in proposed section 150.1), and amend

regulations 150.5 and 150.6 to address DCM and SEF set position limits.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 150 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: CEA sec 4a; CEA sec 4c

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 11/00/2013 

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

8
Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 3038-AD82

Agency Contact: Stephen Sherrod 

Senior Economist, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5452 

FAX: 202 418-5527

E-Mail: ssherrod@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE01

 View Related Documents

Title: Block Trading for Futures and Options on Futures Contracts and Centralized Market Trading on Designated Contract

Markets

Abstract: Staff is recommending that the Commission propose new and amended rules concerning trading both on and off the

centralized market of a designated contract market (DCM). The proposed rules would limit block trading to a specified

percentage of Average Daily Volume of futures and of options on futures contracts listed by a DCM. The proposed rules also

establish specific requirements for centralized market trading on a DCM. Finally, the proposed rules correct cross-references in

the Commission's existing regulations and acceptable practices.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 38.500 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 5 of the CEA (7 USC 7); sec 2(h) of the CEA (7 USC 2(h)); sec 8a(5) of the CEA (7 USC 12a(5)); as

amended by title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, PL 111-203, 124 Stat 1376 (2010)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 11/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 3038-AD90

Agency Contact: Nancy Markowitz 

Deputy Director, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5453 

E-Mail: nmarkowitz@cftc.gov

Agency Contact: Aaron Brodsky 

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5349 

E-Mail: abrodsky@cftc.gov

Agency Contact: Abigail Knauff 

Attorney Advisor, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5123 

E-Mail: aknauff@cftc.gov

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

9
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE07

 View Related Documents

Title: Allocation of Business Conduct Obligations by Swap Dealers in a Prime Brokerage Arrangement

Abstract: Staff is considering whether to recommend to the Commission proposed rules that would permit two registered swap

dealers - who have entered into a prime brokerage arrangement with a swap counterparty that is not a swap dealer - to allocate

responsibility for compliance with certain business conduct obligations between the two registered swap dealers.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: Not Yet Determined

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 3038-AD25

Agency Contact: Jason A. Shafer 

Attorney-Advisor, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5097 

E-Mail: jshafer@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE09

 View Related Documents

Title: Membership in a Registered Futures Association

Abstract: The staff is considering recommending that the Commission amend its regulations to require that all persons

registered with the Commission as introducing brokers ("IBs"), commodity pool operators ("CPOs"), and commodity trading

advisors ("CTAs") become and remain members of at least one registered futures association ("RFA"). The staff believes that

such a rule is necessary or appropriate to ensure comprehensive and effective market oversight and to level the regulatory

playing field for all registered intermediaries, in light of changes to the Commodity Exchange Act that were set forth in the DoddFrank Wall Street Reform and Consumer Protection Act.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: Not Yet Determined

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 11/00/2013 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Jason A. Shafer 

Attorney-Advisor, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

10
Phone: 202 418-5097 

E-Mail: jshafer@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE10

 View Related Documents

Title: Repeal of the ECM/EBOT Exemptions

Abstract: The staff is considering recommending the Commission propose regulations to repeal its part 36 regulations

regarding exempt markets.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: Not Yet Determined

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 11/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: David P. Van Wagner 

Chief Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5481 

FAX: 202 418-5527

E-Mail: dvanwagner@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE11

 View Related Documents

Title: DCM and SEF Market Maker and Incentive Programs

Abstract: Staff is considering recommending rules to the Commission to provide guidance for designated contract markets

(DCM) and swap execution facilities (SEF) that establish or renew a market maker or incentive program. The proposed rules

would provide DCMs and SEFs with guidance as to what are acceptable and unacceptable programs and program terms and

other requirements that DCMs and SEFs must comply with as a condition of establishing or renewing a market maker or

incentive program.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1 et seq

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 03/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Maggie Sklar 

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

11
1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5365 

E-Mail: msklar@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC92

 View Related Documents

Title: Regulation of Market Co-Location Services

Abstract: The staff is considering recommending the Commission finalize regulations to ensure that any exchange that offers

co-location services offers the services in a way that allows equal access to co-location by all market participants that choose to

use the service, and that co-location services are priced in a fair, equitable, and reasonable manner.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1 et seq

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 06/11/2010 75 FR 33198 

NPRM Comment Period End 07/12/2010 

Final Action 12/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Brian Robinson 

Attorney Advisor, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5385 

E-Mail: brobinson@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD05

 View Related Documents

Title: Volcker Rule (Section 619)

Abstract: The staff is considering recommending the Commission finalize requirements to implement section 619 of the DoddFrank Wall Street Reform and Consumer Protection Act, which requires limitations on proprietary trading, investment in hedge

funds, and other activities by financial institutions.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 619 of PL 111-203 (Dodd-Frank)

Legal Deadline: 

Action Source Description Date

Other Statutory or other specified deadline 07/21/2012 

Timetable:

Action Date FR Cite

NPRM 02/14/2012 77 FR 8332 

NPRM Comment Period End 04/16/2012 

Final Action 12/00/2013 

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

12
Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Paul Schlichting 

Assistant General Counsel, Office of the General Counsel

Commodity Futures Trading Commission

1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5884 

E-Mail: pschlichting@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD28

 View Related Documents

Title: Segregation and Bankruptcy: Protection of Collateral for Uncleared Swaps; Treatment of Securities in a Portfolio

Margining Account in a Commodity Broker Bankruptcy

Abstract: The staff is considering recommending the Commission finalize rules for uncleared swaps transactions between a

swap dealer or major swap participant and a counterparty that would govern the segregation of assets posted as collateral by

the counterparty and rules thereunder. The Commission would also finalize proposed rule revisions to ensure that, for purposes

of subchapter IV of chapter 7 of the Bankruptcy Code, securities held in a portfolio margining account constitute "customer

property" and owners of such accounts constitute "customers."

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 23; 17 CFR 190 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: secs 713(c) and 724 of PL 111-203, 124 Stat 1376

Legal Deadline: 

Action Source Description Date

Other Statutory 07/21/2011 

Timetable:

Action Date FR Cite

NPRM 12/03/2010 75 FR 75432 

NPRM Comment Period End 02/01/2011 

NPRM Comment Period Extended 05/04/2011 76 FR 25274 

NPRM Comment Period Extended End 06/03/2011 

Final Action 11/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Robert B. Wasserman 

Chief Counsel, Division of Clearing and Risk

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5092 

FAX: 202 418-5528

E-Mail: rwasserman@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD31

 View Related Documents

Title: Ownership and Control Reports, Forms 102/102S, 40/40S, and 71

Abstract: The staff is recommending that the Commission finalize rules and related forms to enhance its identification of futures

and swap market participants and require the electronic submission of trader identification and market participant data on

amended Forms 102 and 40, and on new Form 71. The new and amended forms would require the reporting of certain trading

accounts active on reporting markets that are designated contract markets or swap execution facilities. Among other

information, the forms will enhance the collection of ownership and control information with respect to position-based special

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

13
accounts, and introduce a new reporting regime with respect to trading accounts that meet specified volume-based reporting

levels.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 4a; 7 USC 4c(b); 7 USC 4g; 7 USC 4i; 7 USC 8a(5)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 07/26/2012 77 FR 43968 

NPRM Comment Period End 09/24/2012 

Final Action 11/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Mark Schlegel 

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washinton, DC 20581

Washinton , DC 20581 

Phone: 202 418-5055 

E-Mail: mschlegel@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD36

 View Related Documents

Title: Governance Requirements for DCOs, DCMs, & SEFs; Additional Requirements Regarding the Mitigation of Conflicts of

Interest

Abstract: The staff is considering recommending the Commission finalize rules to implement the following sections of the

Dodd-Frank Wall Street Reform and Consumer Protection Act, insofar as they pertain to conflicts of interest, governance, and

fitness: Section 726 (Rulemaking on Conflict of Interest); sections 725(c) and (d) (DCO Core Principles and Conflicts of

Interest); section 735(b) (DCM Core Principles); and section 733 (SEF Core Principles).

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1; 17 CFR 37 to 40 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: secs 726, 725(c) and (d), 735(b) and 733 of the Dodd-Frank Act, PL 111-203

Legal Deadline: 

Action Source Description Date

Other Statutory 07/15/2011 

Timetable:

Action Date FR Cite

NPRM 01/06/2011 76 FR 722 

NPRM Comment Period End 03/07/2011 

NPRM Comment Period Extended 05/04/2011 76 FR 25274 

NPRM Comment Period Extended End 06/03/2011 

Final Action 03/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AD01; Related to

3038-AD37

Agency Contact: Robert B. Wasserman 

Chief Counsel, Division of Clearing and Risk

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

14
Washington , DC 20581 

Phone: 202 418-5092 

FAX: 202 418-5528

E-Mail: rwasserman@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD37

 View Related Documents

Title: Requirements for DCOs, DCMs, & SEFs Regarding the Mitigation of Conflicts of Interest

Abstract: The staff is considering recommending the Commission finalize rules to implement the following sections of the

Dodd-Frank Wall Street Reform and Consumer Protection Act (the Act), insofar as they pertain to conflicts of interest: Section

726 (Rulemaking on Conflict of Interest); sections 725(c) and (d) (DCO Core Principles and Conflicts of Interest); section 735(b)

(DCM Core Principles); and section 733 (SEF Core Principles).

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1; 17 CFR 37 to 40 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: secs 726, 725(c) and (d), 735(b) and 733 of the Dodd-Frank Act, PL 111-203

Legal Deadline: 

Action Source Description Date

Other Statutory 01/14/2011 

Timetable:

Action Date FR Cite

NPRM 10/18/2010 75 FR 63732 

NPRM Comment Period End 11/17/2010 

NPRM Comment Period Extended 05/04/2011 76 FR 25274 

NPRM Comment Period Extended End 06/03/2011 

Final Action 03/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AD01; Related to

3038-AD36

Agency Contact: Robert B. Wasserman 

Chief Counsel, Division of Clearing and Risk

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5092 

FAX: 202 418-5528

E-Mail: rwasserman@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD54

 View Related Documents

Title: Capital Requirements for Swap Dealers and Major Swap Participants

Abstract: The staff is considering recommending the Commission finalize proposed capital requirements for swap dealers and

major swap participants that are not banks, as required by section 731 of the Wall Street Transparency and Accountability Act of

2010.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 1; 17 CFR 23; 17 CFR 140 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 731 of PL 111-203 (Dodd-Frank)

Legal Deadline: None

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

15
Timetable:

Action Date FR Cite

NPRM 05/12/2011 76 FR 27802 

NPRM Comment Period End 07/11/2011 

Final Action 03/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Thomas J. Smith 

Chief Accountant and Deputy Director, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5495 

FAX: 202 418-5536

E-Mail: tsmith@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD88

 View Related Documents

Title: Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and

Derivatives Clearing Organizations

Abstract: Staff is considering recommending that the Commission finalize proposed new amended regulations to require

enhanced customer protections, risk management programs, internal monitoring and controls, capital and liquidity standards,

customer disclosures, and auditing and examination programs for futures commission merchants (FCMs). The proposal also

addresses certain related issues concerning derivatives clearing organizations (DCOs) and chief compliance officers (CCOs).

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 1 and 3; 17 CFR 22; 17 CFR 30; 17 CFR 140 (To search for a specific CFR, visit the Code of Federal

Regulations ) 

Legal Authority: 7 USC 6d; 7 USC 6(b); 7 USC 6(f)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 11/14/2012 77 FR 67866 

NPRM Comment Period End 01/14/2013 

NPRM Comment Period Extended 01/18/2013 78 FR 4093 

NPRM Comment Period End 02/15/2013 

Final Action 11/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Thomas J. Smith 

Chief Accountant and Deputy Director, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5495 

FAX: 202 418-5536

E-Mail: tsmith@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD90

 View Related Documents

Title: Core Principle 9 for Designated Contract Markets

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

16
Abstract: Staff is considering recommending the Commission finalize regulations implementing Core Principle 9 of section 5(d)

of the CEA.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Yes Unfunded Mandates: No

CFR Citation: 17 CFR 38.500 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 17 CFR 38.500

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/22/2010 75 FR 80572 

NPRM Comment Period End 02/22/2011 

NPRM Comment Period Extended 03/18/2011 76 FR 14825 

NPRM Comment Period End 04/18/2011 

Comment Period Extended 05/04/2011 76 FR 25274 

Comment Period End 06/03/2011 

Final Action 11/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Related RINs: Split From 3038-AD09

Agency Contact: Nancy Markowitz 

Deputy Director, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5453 

E-Mail: nmarkowitz@cftc.gov

Agency Contact: Aaron Brodsky 

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5349 

E-Mail: abrodsky@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE00

 View Related Documents

Title: Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees

Abstract: The staff is considering recommending the Commission finalize regulations to clarify certain responsibilities of a swap

dealer or major swap participant regarding its employees who solicit, accept or effect swaps in clerical or ministerial capacity.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 23 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 12a(5)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 04/08/2013 78 FR 20848 

NPRM Comment Period End 06/07/2013 

Final Action 11/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Christopher W. Cummings 

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

17
Special Counsel, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5450 

FAX: 202 418-5528

E-Mail: ccummings@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE06

 View Related Documents

Title: Derivatives Clearing Organizations and International Standards

Abstract: The staff is considering recommending the Commission finalize requirements for derivatives clearing organizations

designated as systemically important, relating to governance, financial resources, system safeguards, special default rules and

procedures for uncovered losses or shortfalls, risk management, additional disclosure requirements, efficiency, and recovery

and wind-down procedures. These additional requirements, which are proposed to be added to subpart C of part 39 of the

Commission's regulations, would be consistent with The Principles for Financial Market Infrastructures published by The

Committee on Payment and Settlement Systems and the Board of the International Organization of Securities Commissions.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 39 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 7a-1(c)(2)(A)(i); 7 USC 12a(5)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 08/16/2013 78 FR 50259 

NPRM Comment Period End 09/16/2013 

Final Action 12/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AD92

Agency Contact: Laura Astrada 

Associate Chief Counsel, Division of Clearing and Risk

Commodity Futures Trading Commission

Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-7622 

E-Mail: lastrada@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD57

 View Related Documents

Title: Cross-Border Application of Certain Swap Requirements

Abstract: The Commodity Exchange Act was amended by section 722(d) of the Dodd-Frank Wall Street Reform and Consumer

Protection (Dodd-Frank Act) to add section 2(i) which provides that the swap-related provisions of the Dodd-Frank Act (and

Commission regulations thereunder) shall not apply to activities outside the United States unless those activities "have a direct

and significant connection with activities in, or effect on, commerce of the United States," or contravene rules or regulations that

the CFTC may promulgate to prevent evasion. The Commission issued interpretive guidance setting forth the Commission's

interpretive guidance and general policy in interpreting section 2(i).

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: None (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 111-203, sec 722(d), Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: None

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

18
Timetable:

Action Date FR Cite

Proposed Interpretive Guidance and Policy Statement 07/12/2012 77 FR 41214 

Comment Period End 08/27/2012 

Further Proposed Interpretive Guidance 01/07/2013 78 FR 909 

Comment Period End 02/06/2013 

Interpretive Guidance and Policy Statement 07/26/2013 78 FR 45292 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of

international interest.

Related RINs: Related to 3038-AD85; Related to 3038-AE05

Agency Contact: Laura Badian 

Counsel, Office of the General Counsel

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, WY 20581

Washington , WY 20581 

Phone: 202 418-5969 

E-Mail: lbadian@cftc.gov

Agency Contact: Gary Barnett 

Director, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5977 

E-Mail: gbarnett@cftc.gov

Agency Contact: Sarah E. Josephson 

Director, Office of International Affairs

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5684 

E-Mail: sjosephson@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD63

 View Related Documents

Title: Regulation of Market Co-Location Services--Latency Requirements

Abstract: Withdrawn.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1 et seq

Legal Deadline: None

Timetable:

Action Date FR Cite

Withdrawn 09/03/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Brian Robinson 

Attorney Advisor, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5385 

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

19
E-Mail: brobinson@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD75

 View Related Documents

Title: Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity

Pool Operators

Abstract: The Commodity Futures Trading Commission adopted amendments to its regulations regarding requirements

applicable to investment companies registered under the Investment Company Act of 1940 whose advisors are subject to

registration as commodity pool operators due to changes that the Commission has adopted in a prior rulemaking.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 4 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 6n

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 02/24/2012 77 FR 11345 

NPRM Comment Period End 04/24/2012 

Final Action 08/22/2013 78 FR 52308 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Amanda Olear 

Associate Director, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5283 

E-Mail: aolear@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD81

 View Related Documents

Title: Systemically Important Derivatives Clearing Organizations

Abstract: The Commission finalized rules for SIDCOs that (1) increase financial resources requirements for SIDCOs that are

involved in activities with a more complex risk profile or that are systemically important in multiple jurisdictions, (2) prohibit the

use of assessments by SIDCOs in calculating their available default resources, and (3) enhance system safeguards for SIDCOs

for business continuity and disaster recovery. The final rules also implement special enforcement authority over SIDCOs granted

to the CFTC under section 807(c) of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

CFR Citation: 17 CFR 39 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 5b of the Commodity Exchange Act; 7 USC 7a-1; sec 8a(5) of the Commodity Exchange Act; 7 USC

12a(5)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 10/14/2010 75 FR 63113 

NPRM Comment Period End 12/13/2010 

NPRM 01/20/2011 76 FR 3698 

NPRM Comment Period End 03/21/2011 

Final Action 08/15/2013 78 FR 49663 

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

20
Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 3038-AC98; Related to 3038-

AD02; Related to 3038-AD34; Related to 3038-AD35

Agency Contact: Laura Astrada 

Associate Chief Counsel, Division of Clearing and Risk

Commodity Futures Trading Commission

Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-7622 

E-Mail: lastrada@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD92

 View Related Documents

Title: Liquidity Standards for Financial Resources of Systemically Important Derivatives Clearing Organizations

Abstract: Withdrawn as merged with RIN 3038-AE06.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 39 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 7a-1(c)(2)(A)(i); 7 USC 12a(5)

Legal Deadline: None

Timetable:

Action Date FR Cite

Withdrawn 08/09/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Related RINs: Merge with 3038-AE06

Agency Contact: Robert B. Wasserman 

Chief Counsel, Division of Clearing and Risk

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5092 

FAX: 202 418-5528

E-Mail: rwasserman@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD98

 View Related Documents

Title: Clearing Exemption for Certain Swaps Entered Into by Cooperatives

Abstract: The Commission issued final regulations allowing cooperatives meeting certain conditions to elect not to submit for

clearing certain swaps that such cooperatives would otherwise be required to clear in accordance with section 2(h)(1) of the

CEA.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 50 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 6(c)(6)(A); 7 USC 6(c)(6)(B)

Legal Deadline: None

Timetable:

Action Date FR Cite

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

21
NPRM 07/17/2012 77 FR 41940 

NPRM Comment Period End 08/16/2012 

Final Action 08/22/2013 78 FR 52286 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Agency Contact: Erik Remmler 

Deputy Director, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Center, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-7630 

E-Mail: eremmler@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE05

 View Related Documents

Title: Exemptive Order Regarding Compliance with Certain Swap Regulations

Abstract: On July 12, 2012, the Commission approved an Exemptive Order ("Exemptive Order") that provides temporary

conditional relief to market participants from certain provisions of the CEA, as amended by Title VII of the Dodd-Frank Wall

Street Reform and Consumer Protection Act and Commission regulations thereunder, in the context of cross-border swaps

activities. A prior exemptive order issued January 13, 2013, that granted market participants temporary conditional relief for

certain cross-border swaps activities expired on July 12, 2013. The Exemptive Order is effective July 13, 2013, and expires on

December 21, 2013, or such earlier date specified in the Exemptive Order. The Commission solicited comments for 30 days.

The Exemptive Order was approved concurrently with the Commission's cross-border Interpretive Guidance and Policy

Statement.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

CFR Citation: None (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 6(c)

Legal Deadline: None

Timetable:

Action Date FR Cite

Exemptive Order 07/13/2013 78 FR 43785 

Comment Period End 08/21/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Related RINs: Related to 3038-AD85; Related to 3038-AD57

Agency Contact: Laura Badian 

Counsel, Office of the General Counsel

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, WY 20581

Washington , WY 20581 

Phone: 202 418-5969 

E-Mail: lbadian@cftc.gov

Agency Contact: Gary Barnett 

Director, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5977 

E-Mail: gbarnett@cftc.gov

Agency Contact: Sarah E. Josephson 

Director, Office of International Affairs

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5684 

E-Mail: sjosephson@cftc.gov

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

22
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE08

 View Related Documents

Title: Retail Commodity Transactions Under Commodity Exchange Act

Abstract: The Commission issued an interpretation of the term "actual delivery" as set forth in section 2(c)(2)(D)(ii)(III)(aa) of

the CEA pursuant to section 742(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act to provide guidance on

how the Commission intends to assess whether retail transactions result in actual delivery within the meaning of the statute.

The Commission requested comment, in 76 FR 77670, on whether this interpretation accurately construes the statutory

language. After reviewing the comments received, the Commission clarified its interpretation.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: None (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: Sec 742 of PL 111-203 (Dodd-Frank)

Legal Deadline: None

Timetable:

Action Date FR Cite

Interpretation 08/23/2013 78 FR 52426 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AD64

Agency Contact: Rosemary Hollinger 

Regional Counsel, Division of Enforcement

Commodity Futures Trading Commission

525 W. Monroe Street, Chicago, IL 60661

Chicago , IL 60661 

Phone: 312 595-0838 

E-Mail: rhollinger@cftc.gov

Agency Contact: Martin B. White 

Attorney, Office of General Counsel

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5120 

FAX: 202 418-5524

E-Mail: mwhite@cftc.gov

Regulations.gov Tuesday, November 26, 2013 Unified Agenda

23