COMMODITY FUTURES TRADING COMMISSION 

17 CFR Ch. 1 

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: Sauntia S. Warfield, Commodity Futures Trading 

Commission, 1155 21st Street NW., Washington, DC 20581; (202) 418-5084, swarfield@cftc.gov. 

SUPPLEMENTARY INFORMATION: The Regulatory Flexibility Act (RFA), 5 U.S.C. 601, et seq., 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 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.” 

 

1

 The Commission published its definition of small entity to be used in connection with rulemaking proceedings on 

April 30, 1982 (47 FR 18618). Pursuant to that definition, the Commission is not required to list many of the agenda 

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

previously certified, pursuant to section 605 of the RFA, 5 U.S.C. 605, that certain items contained in this agenda 

will not have a significant economic impact on a substantial number of small entities. Accordingly, the listing of a 

rule in this regulatory flexibility agenda should not, in any event, be taken as a determination that a rule, when 

proposed or promulgated, will in fact require a regulatory flexibility analysis. However, the Commission hopes that 

the publication of an agenda that includes significant rules, regardless of their potential impact on small entities, may 

serve the public generally by providing an early and meaningful opportunity to participate in and comment on the 

formulation of new or revised regulations. In addition to publishing the regulatory flexibility agenda, the 

Commission also makes available to the public, on a monthly basis, a calendar and, on a weekly basis, posts an 

advisory on its website (http://www.cftc.gov) that lists rules that the Commission is considering or will consider in 

the near future. 

Regulations.gov Monday, December 20, 2010 Unified Agenda

1
 The Commission’s fall 2010 regulatory flexibility agenda is set forth below. 

Issued in Washington, DC on September 20, 2010 by the Commission. 

NAME: David A. Stawick, 

Secretary of the Commission. 

Regulations.gov Monday, December 20, 2010 Unified Agenda

2
The 56 Regulatory Agendas

Commodity Futures Trading Commission - PreRule

Title

Regulation 

Identifier 

Number

Portfolio Margining Issues 3038-AC65

Commodity Futures Trading Commission - Proposed Rule

Title

Regulation 

Identifier 

Number

Offering and Selling Security Futures Products Traded on Foreign Boards of Trade to United States Persons;

Requirements for Foreign Stock Index Contracts To Qualify as Non-Narrow-Based Indices 3038-AB75

Offering and Selling Non-Narrow Based Stock Index Futures Traded on Foreign Boards of Trade to United States

Persons 3038-AC54

Investment of Customer Funds 3038-AC79

Regulation of Market Co-Location Services 3038-AC92

Registration of Swap Dealers and Major Swap Participants 3038-AC95

Business Conduct Standards--Internal 3038-AC96

Capital and Margin Requirements for Non-Banks 3038-AC97

DCO Core Principle Rulemaking, Interpretation and Guidance 3038-AC98

Segregation & Bankruptcy (Cleared and Uncleared Swaps) 3038-AC99

Process for Review of Swaps for Mandatory Clearing 3038-AD00

Governance and Possible Limits on Ownership and Control (DCOs, SEFs, and DCMs) 3038-AD01

Systemically Important DCO Rules Authorized Under Title VIII 3038-AD02

Investment Adviser Reporting (Section 406) 3038-AD03

 Whistleblowers 3038-AD04

Volcker Rule (Section 619) 3038-AD05

Further Definitions of Terms Relating to Swaps and Security-Based Swaps 3038-AD06

Part 40, Rule Certification and Approval Procedures 3038-AD07

Real Time Public Reporting of Swaps Transactions 3038-AD08

DCM Core Principle Rulemaking, Interpretation and Guidance 3038-AD09

End-User Exemption (Commercial End User Exemption and To Consider for Small Banks, Farm Credit Institutions and

Credit Unions) 3038-AD10

Review of Rules To Find Alternatives to Reliance of Credit Ratings 3038-AD11

Disposal and Affiliate Sharing of Consumer, Nonpublic Information Under Fair and Accurate Credit Transactions Act of

2003 and Fair Credit Reporting Act 3038-AD12

Privacy Rules for CFTC Regulated Institutions Under the Gramm-Leach Bliley Act 3038-AD13

Identity Theft Red Flag Rules for CFTC Regulated Institutions Under Fair Credit Reporting Act 3038-AD14

Position Limits on Agricultural Commodities 3038-AD15

Position Limits on Exempt Commodities 3038-AD16

Large Trader Reporting 3038-AD17

Swap Execution Facilities Registration Requirements and Core Principle Rulemaking, Interpretation and Guidance 3038-AD18

New Registration Requirements for Foreign Boards of Trade 3038-AD19

Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation and Guidance 3038-AD20

Agricultural Swaps Rulemaking 3038-AD21

Data Recordkeeping and Reporting Requirements for Registered Entities and Reporting Counterparties 3038-AD22

Regulations.gov Monday, December 20, 2010 Unified Agenda

3
Defining Agricultural Commodity 3038-AD23

Business Conduct Standards for Swap Dealers and Major Swap Participants Dealing With Counterparties 3038-AD25

Disruptive Trading 3038-AD26

 Anti-Manipulation 3038-AD27

Commodity Futures Trading Commission - Final Rule

Title

Regulation 

Identifier 

Number

Exemption From Subpart B for Certain Commodity Pool Operators Where Units of Pool Participation are Listed for

Trading on a National Securities Exchange 3038-AC46

Acknowledgment Letters for Customer Funds and Secured Amount Funds 3038-AC88

Business Continuity and Disaster Recovery 3038-AC91

Commodity Futures Trading Commission - Long-term Action

Title

Regulation 

Identifier 

Number

Account Ownership and Control Reports 3038-AC63

To Establish Timeframe for Reporting Pre-Enactment Unexpired Swaps to a Swap Data Repository 3038-AD24

Commodity Futures Trading Commission - Completed Action

Title

Regulation 

Identifier 

Number

Execution of Off-Centralized Market Transactions: Regulation 1.38 and Guidance on Core Principle 9 3038-AC07

Concept Release on the Appropriate Regulatory Treatment of Event Contracts 3038-AC53

Retail Off-Exchange Forex Transaction Rules 3038-AC61

Amendments Pertinent to Registered Entities 3038-AC62

Uniform Exemptive Provisions From Federal Speculative Position Limits 3038-AC69

Amendments to Regulations Permitting Specified Senior Staff of the Commission To Disclose Confidential Information to

a Contract Market, Registered Futures Association, or Self-Regulatory Organization 3038-AC70

Financial Resource Requirements for Derivatives Transaction Execution Facilities, Designated Contract Markets, and

Derivatives Clearing Organization 3038-AC72

Electronic Recordkeeping Requirements Applicable to Futures Commission Merchants, Introducing Brokers, and

Members of a Contract Market 3038-AC74

Uncleared Significant Price Discovery Contracts 3038-AC76

Account Class 3038-AC82

Position Limits for Contracts Based on Energy Commodities 3038-AC85

Amendments to the Commission’s Reporting Rules 3038-AC89

Operation in the Ordinary Course of a Commodity Broker in Bankruptcy 3038-AC90

Speculative Position Limits and Other Issues Related to Commodities of Finite Supply 3038-AC93

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC65

 View Related Documents

Title: Portfolio Margining Issues

Abstract: Section 713 of the Dodd-Frank Act, “Portfolio Margining Conforming Changes,” establishes a legal framework for

portfolio margining of customer securities and futures positions. Reciprocal amendments in the Commodity Exchange Act and

the Securities Exchange Act authorize the CFTC and SEC to grant exemptions, approve rules, and adopt regulations to facilitate

the implementation of portfolio margining programs.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: PreRule

Major: Undetermined Unfunded Mandates: No

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

Regulations.gov Monday, December 20, 2010 Unified Agenda

4
Legal Authority: sec 713, PL 111-203 (Dodd-Frank)

Legal Deadline: None

Timetable:

Action Date FR Cite

ANPRM 12/00/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Jonathan Lave 

Attorney Advisor, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

1155 21st St., NW

Washington , DC 20581 

Phone: 202 418-5983 

E-Mail: jlave@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AB75

 View Related Documents

Title: Offering and Selling Security Futures Products Traded on Foreign Boards of Trade to United States Persons;

Requirements for Foreign Stock Index Contracts To Qualify as Non-Narrow-Based Indices

Abstract: The Commission and the Securities and Exchange Commission are required to jointly issue: (1) Rules, regulations,

or orders as are necessary and appropriate to permit the offer and sale to United States persons of security futures products

traded on or subject to the rules of a foreign board of trade, and (2) rules and regulations that set forth the requirements for

foreign stock index contracts to qualify as non-narrow-based indices.

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 1a, as amended by PL 106-554, app E; 7 USC 2, as amended by PL 106-554, app E

Legal Deadline: 

 Action Source Description Date

Other Statutory Within one year after the date of enactment of the Commodity Futures

Modernization Act of 2000. 12/21/2001 

Other Statutory Pursuant to the Food, Conservation and Energy Act of 2008, PL 110-

246, sec 13106. 06/30/2009 

Timetable:

Action Date FR Cite

NPRM 03/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 3038-AB78

Agency Contact: Julian E. Hammar 

Assistant General Counsel, Office of General Counsel

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5118 

FAX: 202 418-5524

E-Mail: jhammar@cftc.gov

Agency Contact: Thomas M. Leahy Jr.

Associate Director for Product Review, Division of Market Oversight

Commodity Futures Trading Commission

Regulations.gov Monday, December 20, 2010 Unified Agenda

5
Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5278 

FAX: 202 418-5527

E-Mail: tleahy@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC54

 View Related Documents

Title: Offering and Selling Non-Narrow Based Stock Index Futures Traded on Foreign Boards of Trade to United States

Persons

Abstract: The Commission has received a petition from a foreign board of trade for a rulemaking to expedite the process for

review of foreign stock index futures contracts to determine whether they meet the requirements for offer and sale to United

States persons (cash-settled, not readily susceptible to manipulation, and based on a non-narrow-based stock index).

Additional issues related to the petition include whether to move from a no-action process to rules or a certification process and,

if the latter, whether such certifications should be issued at the staff or Commission level.

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

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 30 (app D) (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

NPRM 12/00/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Carlene Kim 

Assistant General Counsel, Office of the General Counsel

Commodity Futures Trading Commission

1155 21st Street NW

Washington , DC 20581 

Phone: 202 418-5613 

E-Mail: ckim@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC79

 View Related Documents

Title: Investment of Customer Funds

Abstract: The Commodity Futures Trading Commission is issuing a Notice of Proposed Rulemaking in which it seeks public

comment on possible changes to its regulations regarding the investment of customer funds segregated pursuant to section 4d

of the Commodity Exchange Act (17 CFR 1.25) and funds held in an account subject to Commission Regulation 30.7 (17 CFR

30.7). The Commission is considering significantly revising the scope and character of permitted investments and is requesting

public comment before issuing proposed rule amendments.

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

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1.25 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 6d; 7 USC 6

Legal Deadline: None

Regulations.gov Monday, December 20, 2010 Unified Agenda

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Timetable:

Action Date FR Cite

ANPRM 05/22/2009 74 FR 23962 

ANPRM Comment Period End 07/21/2009 

NPRM 01/00/2011 

NPRM Comment Period End 02/00/2011 

Final Action 04/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Jon DeBord 

Attorney-Advisor

Commodity Futures Trading Commission

1155 21st St. NW

Washington , DC 20581 

Phone: 202 418-5478 

E-Mail: jdebord@cftc.gov

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

 View Related Documents

Title: Regulation of Market Co-Location Services

Abstract: The Commission intends to provide guidance to exchanges that offer co-location services to market participants.

The guidance will ensure that any exchange that offers such 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: 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 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 

NPRM 12/00/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Melissa Mitchell 

Attorney Advisor, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st St., NW

Washington , DC 20581 

Phone: 202 418-5448 

E-Mail: mmitchell@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC95

 View Related Documents

Title: Registration of Swap Dealers and Major Swap Participants

Regulations.gov Monday, December 20, 2010 Unified Agenda

7
Abstract: The proposed regulation would provide for the registration of swap dealers and major swap participants and the

exceptions pursuant to which they may have associated with persons subject to a statutory disqualification.

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: Sec 731 of PL 111-203 (Dodd-Frank)

Legal Deadline: 

 Action Source Description Date

Other Statutory 07/21/2011 

Timetable:

Action Date FR Cite

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Final Action 04/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Barbara Stern Gold 

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5450 

FAX: 202 418-5528

E-Mail: bgold@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC96

 View Related Documents

Title: Business Conduct Standards--Internal

Abstract: Notice of Proposed Rulemaking to implement certain provisions of section 731 of The Dodd-Frank Wall Street

Transparency and Accountability Act of 2010 related to internal business conduct standards for swap dealers and major swap

participants. This matter incorporates prior RIN 3038-AC74 entitled "Electronic Recordkeeping Requirements Applicable to

Futures Commission Merchants, Introducing Brokers and Members of Contract Markets" which is being withdrawn.

Priority: Other Significant 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: 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 12/00/2010 

NPRM Comment Period End 01/00/2011 

Final Action 07/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Sarah E. Josephson 

Associate Director, Division of Clearing and Intermediary Oversight

Regulations.gov Monday, December 20, 2010 Unified Agenda

8
Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5684 

E-Mail: sjosephson@cftc.gov

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

 View Related Documents

Title: Capital and Margin Requirements for Non-Banks

Abstract: The Commission will propose the issuance of proposed rulemaking relating to requirements for capital and 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.

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: 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 12/00/2010 

NPRM Comment Period End 01/00/2011 

Final Action 07/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Thelma Diaz 

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5137 

FAX: 202 418-5536

E-Mail: tdiaz@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC98

 View Related Documents

Title: DCO Core Principle Rulemaking, Interpretation and Guidance

Abstract: Notice of Proposed Rulemaking to implement the core principles for registered derivatives clearing organizations.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No 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: 

 Action Source Description Date

Other Statutory 07/15/2011 

Regulations.gov Monday, December 20, 2010 Unified Agenda

9
Timetable:

Action Date FR Cite

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Final Action 07/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Phyllis P. Dietz 

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5449 

FAX: 202 418-5536

E-Mail: pdietz@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC99

 View Related Documents

Title: Segregation & Bankruptcy (Cleared and Uncleared Swaps)

Abstract: The proposed regulation would – 1. Promulgate rules governing protection of customer property (including but not

limited to segregation) for cleared swaps, and appropriate conforming changes to the Commission’s Bankruptcy Rules; 2.

Promulgate rules governing segregation of assets held as collateral in uncleared swaps transactions between a swap dealer or

major swap participant and a counterparty; and 3. Exercise the Commission’s rulemaking authority pursuant to section 20 of the

Commodity Exchange Act “to ensure that securities held in a portfolio margining account carried as a futures account are

customer property and the owners of those accounts are customers for the purposes of Subchapter IV of Chapter 7 of the

Bankruptcy Code."

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 22 and 190 (To search for a specific CFR, visit the Code of Federal Regulations ) 

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

Legal Deadline: 

 Action Source Description Date

Other Statutory 07/15/2011 

Timetable:

Action Date FR Cite

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Final Action 05/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Robert B. Wasserman 

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5092 

FAX: 202 418-5528

E-Mail: rwasserman@cftc.gov

Regulations.gov Monday, December 20, 2010 Unified Agenda

10
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD00

 View Related Documents

Title: Process for Review of Swaps for Mandatory Clearing

Abstract: The Wall Street Transparency and Accountability Act of 2010, requires the Commission to adopt rules for a

derivatives clearing organization’s submission for review of a swap, or group, category, type, or class of swaps, that it seeks to

accept for clearing for a determination by the Commission as to whether the swap, or group, category, type, or class of swaps,

is required to be cleared.

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: 7 USC 2(h), as amended by PL 111-203 (Dodd-Frank)

Legal Deadline: 

 Action Source Description Date

Other Statutory 07/10/2011 

Timetable:

Action Date FR Cite

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Final Action 03/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Eileen Donovan 

Special Counsel, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5096 

E-Mail: edonovan@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD01

 View Related Documents

Title: Governance and Possible Limits on Ownership and Control (DCOs, SEFs, and DCMs)

Abstract: Rulemaking 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, 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); section

733 (SEF Core Principles); and section 728 (SDR Core Principles).

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: sec 726; sec 725(c) and (d); sec 735(b); sec 733 and 728; PL 111-203 (Dodd-Frank)

Legal Deadline: 

 Action Source Description Date

Other Statutory 07/20/2011 

Timetable:

Action Date FR Cite

NPRM Comment Period End 12/00/2010 

NPRM 12/00/2010 

Final Action 01/00/2011 

Regulations.gov Monday, December 20, 2010 Unified Agenda

11
Additional Information: Staff Roundtable held on 8/20/2010

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Nancy Schnabel 

Special Counsel, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5344 

E-Mail: nschnabel@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD02

 View Related Documents

Title: Systemically Important DCO Rules Authorized Under Title VIII

Abstract: Pursuant to Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the proposed regulation

would establish risk management standards for derivatives clearing organizations that have been designated as systemically

important.

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: sec 805 of PL 111-203 (Dodd-Frank)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Final Action 06/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: John C. Lawton 

Deputy Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5480 

FAX: 202 418-5528

E-Mail: jlawton@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD03

 View Related Documents

Title: Investment Adviser Reporting (Section 406)

Abstract: The Commission and the Securities and Exchange Commission are required, after consultation with the Financial

Stability Oversight Counsel, to jointly issue rules establishing the form and content of reports required to be filed with the

Commission and the Securities and Exchange Commission by investment advisers that are registered under the Private Fund

Investment Advisers Registration Act of 2010, and the Commodity Exchange Act.

Regulations.gov Monday, December 20, 2010 Unified Agenda

12
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: 15 USC 80b-11, as amended by PL 111-203 (Dodd-Frank)

Legal Deadline: 

 Action Source Description Date

Other Statutory 07/21/2011 

Timetable:

Action Date FR Cite

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Final Action 07/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Kevin Walek 

Assistant Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5463 

E-Mail: kwalek@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD04

 View Related Documents

Title: Whistleblowers

Abstract: Section 748 of the Dodd-Frank Wall Street Reform and Consumer Protection Act regarding “Commodity

Whistleblower Incentives and Protection,” requires the Commission to issue final rules to implement its provisions. The

Commission will propose rules establishing a program for whistleblowers to voluntarily provide original information to

Commission. The program will include provisions for the payment of awards to whistleblowers whose original information leads

to the successful resolution of certain judicial or administrative actions brought by the Commission under the Commodity

Exchange Act.

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: 7 USC 23

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Final Action 04/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Edward Riccobene 

Chief, Policy and Review

Commodity Futures Trading Commission

Division of Enforcement 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5327 

Regulations.gov Monday, December 20, 2010 Unified Agenda

13
E-Mail: ericcobene@cftc.gov

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

 View Related Documents

Title: Volcker Rule (Section 619)

Abstract: Rulemaking would implement section 619 of the Dodd-Frank 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: 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: sec 619 of PL 111-203 (Dodd-Frank)

Legal Deadline: 

 Action Source Description Date

Other Statutory 10/21/2011 

Timetable:

Action Date FR Cite

NPRM 04/00/2011 

NPRM Comment Period End 05/00/2011 

Final Action 10/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Paul Schlichting 

Special Counsel, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5927 

E-Mail: pschlichting@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD06

 View Related Documents

Title: Further Definitions of Terms Relating to Swaps and Security-Based Swaps

Abstract: Title VII of the Dodd-Frank Act requires that the CFTC and the SEC, in consultation with the Board of Governors of

the Federal Reserve System, jointly: 1) Further define certain key terms (specifically, “swap,” “security-based swap,” “swap

dealer,” “security-based swap dealer,” “major swap participant,” “major security-based swap participant,” “eligible contract

participant,” and “security-based swap agreement”); and 2) prescribe regulations regarding “mixed swaps,” as that term is used

in title VII of the Dodd-Frank Act.

Priority: Other Significant 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: PL 111-203, sec 712, Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: 

 Action Source Description Date

Other Statutory Statutory timeframe for mandatory rulemakings where no other deadline

is specified 07/15/2011 

Timetable:

Regulations.gov Monday, December 20, 2010 Unified Agenda

14
Action Date FR Cite

ANPRM 08/13/2010 75 FR 51429 

ANPRM Comment Period End 09/20/2010 

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Final Action 07/00/2011 

Final Action Effective 10/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related Agencies: Joint : SEC

Agency Contact: Julian E. Hammar 

Assistant General Counsel, Office of General Counsel

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5118 

FAX: 202 418-5524

E-Mail: jhammar@cftc.gov

Agency Contact: Mark Fajfar 

Assistant General Counsel, Office of General Counsel

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-6636 

E-Mail: mfajfar@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD07

 View Related Documents

Title: Part 40, Rule Certification and Approval Procedures

Abstract: The Commodity Futures Trading Commission proposes to amend its part 40 rules pertaining to the Commission’s

review, certification, and approval processes for handling registered entity rules and contracts in order to implement section 735

of the Dodd-Frank Act. The Commission proposes to implement procedures for submitting advance notice of rules that could

“materially affect” the nature of level of risk presented by a systematically important derivatives clearing organization. The

Commission also proposes to implement procedures for review of certain event contracts based on excluded commodities.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

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

Legal Authority: sec 745 of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: 

 Action Source Description Date

NPRM Statutory 07/15/2011 

Timetable:

Action Date FR Cite

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Bella Rozenberg 

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Regulations.gov Monday, December 20, 2010 Unified Agenda

15
Washington , DC 20581 

Phone: 202 418-5119 

E-Mail: brozenberg@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD08

 View Related Documents

Title: Real Time Public Reporting of Swaps Transactions

Abstract: The Commission is soliciting comment on the proposed rules relating to reporting in real time of specific swaps

transaction data mandated by section 727 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Priority: Other Significant 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: sec 727 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (sec 2(a)(13) of the

Commodity Exchange Act)

Legal Deadline: 

 Action Source Description Date

Other Statutory 07/15/2011 

Timetable:

Action Date FR Cite

Public Meeting 09/14/2010 75 FR 55575 

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Final Action 07/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Thomas M. Leahy Jr.

Associate Director for Product Review, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5278 

FAX: 202 418-5527

E-Mail: tleahy@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD09

 View Related Documents

Title: DCM Core Principle Rulemaking, Interpretation and Guidance

Abstract: Pursuant to title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), the

Commodity Futures Trading Commission (Commission or CFTC) proposes to issue rules to implement section 735 of the DoddFrank Act. In relevant part, section 735 of the Dodd-Frank Act amends Section 5 of the Commodity Exchange Act (Act)

pertaining to the designation and operation of contract markets (DCMs). Among other changes, section 735 of the Dodd-Frank

Act : (i) Eliminates the eight pre-existing Designation Criteria contained in former section 5(b) of the Act and incorporates these

criteria into the various DCM core principles in section 5(d); and (ii) adds five additional DCM core principles. In addition to

revising the DCM core principles, section 733 of the Dodd-Frank Act requires that all swaps subject to clearing must be

executed on either a DCM or a Swap Execution Facility. This Rulemaking implements the 23 core principles that boards of

trade must now comply with as a condition of obtaining and maintaining designation as a contract market, and expands the

DCM regulatory framework to include the listing, trading and execution of swaps. This rulemaking proposes amendments to part

38 of the Commission’s regulations to implement the amendments to the Act relevant to designated contract markets.

Regulations.gov Monday, December 20, 2010 Unified Agenda

16
Priority: Other Significant 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: sec 5 and sec 2(h)(8) of the Act

Legal Deadline: 

 Action Source Description Date

Other Statutory This rulemaking must be published in the Federal Register on or before

July 15, 2011 07/15/2011 

Timetable:

Action Date FR Cite

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Final Action 07/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Nancy Markowitz 

Assistant Deputy Director, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5453 

E-Mail: nmarkowitz@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD10

 View Related Documents

Title: End-User Exemption (Commercial End User Exemption and To Consider for Small Banks, Farm Credit Institutions and

Credit Unions)

Abstract: Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) contains a general

requirement that swaps that are subject to a clearing mandate must be submitted for clearing to a registered derivatives clearing

organization. The Dodd-Frank Act also provides that users of swaps that are not financial entities (referred to as end users) and

that use swaps to hedge or mitigate “commercial risk” may claim an exception from the general clearing requirement if the end

user notifies the CFTC of how the end user generally meets its financial obligations associated with entering into swaps that are

not cleared. The CFTC will propose a rule stating the manner in which end users are to submit such notification, and defining

the meaning of the term “commercial risk” in this context.

Priority: Other Significant 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: PL 111-203, sec 721(b), 723(a), Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Final Action 07/00/2011 

Final Action Effective 09/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: George Wilder 

Senior Assistant General Counsel, Office of the General Counsel

Commodity Futures Trading Commission

Regulations.gov Monday, December 20, 2010 Unified Agenda

17
1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5142 

E-Mail: gwilder@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD11

 View Related Documents

Title: Review of Rules To Find Alternatives to Reliance of Credit Ratings

Abstract: The rulemaking is being done to comply with the requirements of the Dodd-Frank Wall Street Reform and

Consumer Protection Act that directAagencies to review their regulations for any references to or reliance on credit ratings, and

to remove those references or instances of reliance.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1.25(b)(2) (Revision); 17 CFR 30.7(c)(1)(ii)(B) (Revision); 17 CFR 1.49(d)(3)(i)(B) (Revision); 17 CFR

4.24(h)(1)(i)(Revision) (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 111-203, sec 939A, Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: 

 Action Source Description Date

Other Statutory Statutory requirement to review regulations for any reliance on credit

ratings 07/21/2011 

Timetable:

Action Date FR Cite

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Final Action 03/00/2011 

Final Action Effective 06/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Adrianne Joves 

Counsel, Office of the General Counsel

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5415 

E-Mail: ajoves@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD12

 View Related Documents

Title: Disposal and Affiliate Sharing of Consumer, Nonpublic Information Under Fair and Accurate Credit Transactions Act of

2003 and Fair Credit Reporting Act

Abstract: Section 1088 of the Dodd-Frank Wall Street Reform and Consumer Protection Act contains amendments to the

Fair Credit Reporting Act (FCRA) and Fair and Accurate Credit Transactions Act of 2003 (FACT Act). In particular, it provides

the CFTC with authority to propose rules implementing: (1) Section 216 of the FACT Act; and (2) section 624 of the Fair Credit

Reporting Act (FCRA). The rules implementing section 216 of the FACT Act will require persons regulated by the CFTC who

possess or maintain consumer report in connection with their business activities to develop and implement a written program for

the proper disposal of such information. The rules implementing section 624 of the FCRA will require persons regulated by the

CFTC who possess or maintain consumer report information to develop and implement a written program that restricts business

affiliates of those persons from receiving or using such information for the purposes of cross-marketing.

Regulations.gov Monday, December 20, 2010 Unified Agenda

18
Priority: Other Significant 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: PL 111-203, sec 1088, Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Carl E. Kennedy 

Counsel, Office of the General Counsel

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-6625 

E-Mail: c_kennedy@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD13

 View Related Documents

Title: Privacy Rules for CFTC Regulated Institutions Under the Gramm-Leach Bliley Act

Abstract: Section 1093 of the Dodd-Frank Wall Street Reform and Consumer Protection Act contains amendments to section

504(a) of the Gramm-Leach-Bliley Act (GLB Act), which sets out certain privacy protections for nonpublic, consumer information.

The CFTC will be proposing to issue rules implementing section 504, which would require a financial institution regulated by the

CFTC to: (1) Provide notice to its consumers about the institution’s privacy policies and practices; (2) restrict the ability of the

institution to share nonpublic, consumer information to nonaffiliated third parties; and (3) permit consumers to prevent the

institution from disclosing non-public, consumer information about such consumers to certain nonaffiliated third parties by

“opting out” of that disclosure.

Priority: Other Significant 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: PL 111-203, sec 1093, Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Carl E. Kennedy 

Counsel, Office of the General Counsel

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-6625 

E-Mail: c_kennedy@cftc.gov

Regulations.gov Monday, December 20, 2010 Unified Agenda

19
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD14

 View Related Documents

Title: Identity Theft Red Flag Rules for CFTC Regulated Institutions Under Fair Credit Reporting Act

Abstract: Section 1088 of the Dodd-Frank Wall Street Reform and Consumer Protection Act contains amendments to the

Fair Credit Reporting Act (FCRA). These amendments add the CFTC and the SEC (together referred to as the Agencies) to the

list of Federal agencies that are required to promulgate regulations relating to the development and implementation of identity

theft programs under the FCRA. The Agencies’ rules implementing section 621 of the FCRA will require financial institutions and

creditors that are regulated by either of both of the Agencies to develop and implement written identity theft programs to detect,

prevent and mitigate identity theft in connection with the opening of certain accounts or certain existing accounts.

Priority: Other Significant 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: PL 111-203, sec 1088, Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related Agencies: Joint : SEC

Agency Contact: Carl E. Kennedy 

Counsel, Office of the General Counsel

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-6625 

E-Mail: c_kennedy@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD15

 View Related Documents

Title: Position Limits on Agricultural Commodities

Abstract: The Commission has been mandated by Congress (in the Dodd-Frank Act) to impose position limits, on an

aggregate basis, on futures and swaps relating to agriculture in order to (a) diminish, eliminate, or prevent excessive

speculation; (b) deter and prevent market manipulation, squeezes, and corners; (c) ensure sufficient market liquidity for bona

fide hedgers; and (d) ensure that the price discovery function of an underlying market is not disrupted. Given the potential

effects of position limits on various market participants, the Commission intends to issue a notice of proposed rulemaking to

solicit and consider the public’s comments in advance of issuing final rules. The rulemaking would also include amendments to

the Commission’s reporting rules to permit for or further facilitate the filing of electronic Forms 40, 102, and ‘04s reports. In

addition, the Commission may propose amendments to improve the information reported on Form 40.

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: sec 737 of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: 

 Action Source Description Date

Other Statutory 01/18/2011 

Timetable:

Regulations.gov Monday, December 20, 2010 Unified Agenda

20
Action Date FR Cite

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Final Action 01/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Bruce Fekrat 

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5578 

FAX: 202 418-5527

E-Mail: bfekrat@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD16

 View Related Documents

Title: Position Limits on Exempt Commodities

Abstract: The Commission has been mandated by Congress (in the Dodd-Frank Act) to impose position limits, on an

aggregate basis, on futures and swaps relating to exempt in order to (a) diminish, eliminate, or prevent excessive speculation;

(b) deter and prevent market manipulation, squeezes, and corners; (c) ensure sufficient market liquidity for bona fide hedgers;

and (d) ensure that the price discovery function of an underlying market is not disrupted. Given the potential effects of position

limits on various market participants, the Commission intends to issue a notice of proposed rulemaking to solicit and consider

the public’s comments in advance of issuing final rules. The rulemaking would also include amendments to the Commission’s

reporting rules to permit for or further facilitate the filing of electronic Forms 40, 102, and ‘04s reports. In addition, the

Commission may propose amendments to improve the information reported on Form 40.

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: sec 737 of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: 

 Action Source Description Date

Other Statutory 01/18/2011 

Timetable:

Action Date FR Cite

NPRM 12/00/2010 

Final Action 01/00/2011 

NPRM Comment Period End 01/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Bruce Fekrat 

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5578 

FAX: 202 418-5527

E-Mail: bfekrat@cftc.gov

Regulations.gov Monday, December 20, 2010 Unified Agenda

21
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD17

 View Related Documents

Title: Large Trader Reporting

Abstract: The Commission has been mandated by Congress (in the Dodd-Frank Act) to impose position limits on futures and

swaps relating to exempt and agricultural commodities. A separate rulemaking will establish swap data repositories to allow

proper surveillance of the interconnected commodity derivatives markets and enforce these position limits. In the interim, the

Commission will conduct the necessary surveillance by implementing, through this rulemaking, a large trader reporting system

for additional derivatives, including covered swaps. Given the new and additional reporting requirements that may be imposed

on various market participants, the Commission believes that it is appropriate to solicit and consider the public’s comments (in

response to the notice of proposed rulemaking) in advance of issuing a final rule.

Priority: Other Significant 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: sec 737 of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: 

 Action Source Description Date

Other Statutory 01/18/2011 

Timetable:

Action Date FR Cite

NPRM 12/00/2010 

Final Action 01/00/2011 

NPRM Comment Period End 01/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Bruce Fekrat 

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5578 

FAX: 202 418-5527

E-Mail: bfekrat@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD18

 View Related Documents

Title: Swap Execution Facilities Registration Requirements and Core Principle Rulemaking, Interpretation and Guidance

Abstract: Pursuant to title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), the

Commodity Futures Trading Commission (Commission or CFTC) proposes to issue rules to implement section 733 of the DoddFrank Act. In relevant part, section 733 of the Dodd-Frank Act amends the provisions of the Commodity Exchange Act (CEA) to

create a new registered entity – swap execution facilities (each a SEF or collectively SEFs), providing market participants with

the ability to execute or trade swaps. Among other changes, section 733 of the Dodd-Frank Act introduces fifteen core

principles relating to the registration and operation of SEFs. Additionally, section 723(a)(8) of the Dodd-Frank Act requires that

all swaps subject to clearing must be executed on either a Designated Contract Market or a SEF. This rulemaking implements

the process for becoming a SEF as well as the fifteen core principles and other requirements that each applicant must comply

with as a condition of obtaining and maintaining its registration as a SEF. This rulemaking proposes to replace current part 37 of

the Commission’s regulations, at present addressing rules for DTEFs, with rules to implement the amendments to the CEA

relevant to SEFs.

Priority: Other Significant 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 ) 

Regulations.gov Monday, December 20, 2010 Unified Agenda

22
Legal Authority: sec 721(a)(21), 723 and 733 of the Dodd-Frank Wall Street Reform and Consumer Protection Act –

Commodity Exchange Act (the Act) secs: 1a(50), 5h, and sec 8a(5) of the Act

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Final Action 07/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Riva Spear Adriance 

Associate Director for Market Review, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5494 

FAX: 202 418-5507

E-Mail: radriance@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD19

 View Related Documents

Title: New Registration Requirements for Foreign Boards of Trade

Abstract: The Commission is soliciting comment with respect to content, methodology and procedures for the proposed new

rules requiring registration with the Commission of foreign boards of trade that wish to provide the members of the foreign board

of trade and other participants located in the U.S. with direct access to the electronic trading and order matching system of the

foreign board of trade.

Priority: Other Significant 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: sec 4(b)(1)(A) of the Commodity Exchange Act (as amended by the Dodd-Frank Wall Street Reform and

Consumer Protection Act)

Legal Deadline: 

 Action Source Description Date

Other Statutory 07/15/2011 

Timetable:

Action Date FR Cite

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Final Action 07/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Duane C. Andresen 

Senior Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5492 

FAX: 202 418-5527

E-Mail: dandresen@cftc.gov

Regulations.gov Monday, December 20, 2010 Unified Agenda

23
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD20

 View Related Documents

Title: Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation and Guidance

Abstract: The Commission is proposing rules to establish, with respect to swap data repositories, a registration process and

standards for becoming registered; duties and responsibilities for registered swap data repositories; and guidance with respect to

compliance with three statutory core principles applicable to registered swap data repositories.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 36 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 21(a)(3); 7 USC 21(e)(3); 7 USC 21(f)(1)-(4); 7 USC 212d(i)

Legal Deadline: 

 Action Source Description Date

Other Statutory 07/15/2011 

Timetable:

Action Date FR Cite

Public Meeting 09/14/2010 75 FR 55575 

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Final Action 07/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Susan Nathan 

Senior Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5133 

FAX: 202 418-5527

E-Mail: snathan@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD21

 View Related Documents

Title: Agricultural Swaps Rulemaking

Abstract: The Commission is proposing and requesting comment on rules to allow the trading of swaps in agricultural

commodities – agricultural swaps. Agricultural swaps are generally prohibited under the Dodd-Frank Wall Street Reform and

Consumer Protection Act, unless allowed via a rule or exemption issued separately by the Commission.

Priority: Other Significant 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: Section 723(c)(3) of the Dodd-Frank Wall Street Reform and Consumer Protection Act; Section 733 of the

Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: None

Timetable:

Action Date FR Cite

ANPRM 09/28/2010 75 FR 59666 

ANPRM Comment Period End 10/20/2010 

Regulations.gov Monday, December 20, 2010 Unified Agenda

24
NPRM 12/00/2010 

NPRM Comment Period End 02/00/2011 

Final Action 07/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Donald H. Heitman 

Senior Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5041 

FAX: 202 418-5507

E-Mail: dheitman@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD22

 View Related Documents

Title: Data Recordkeeping and Reporting Requirements for Registered Entities and Reporting Counterparties

Abstract: The Commission is soliciting comment on the proposed rules relating to the data collection, data maintenance, and

data reporting requirements for swaps transactions by registered entities and reporting counterparties.

Priority: Other Significant 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: sec 5b(k), 21(b) and 21(h) of the Commodity Exchange Act, as amended by the Dodd-Frank Wall Street

Reform and Consumer Protection Act.

Legal Deadline: 

 Action Source Description Date

Other Statutory 07/15/2011 

Timetable:

Action Date FR Cite

Public Meeting 09/14/2010 75 FR 55575 

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Final Action 07/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: David Taylor 

Special Counse, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5488 

E-Mail: dtaylor@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD23

 View Related Documents

Title: Defining Agricultural Commodity

Regulations.gov Monday, December 20, 2010 Unified Agenda

25
Abstract: In conjunction with rules for trading agricultural swaps, the Commission is separately issuing for comment a

proposed definition of the term “agricultural commodity,” a term not previously defined in the Commodity Exchange Act or the

Commission’s rules. An “agricultural commodity” definition is needed for the Commission’s rulemakings regarding speculative

position limits and large trader reporting requirements.

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: sec 723(c)(3) of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/00/2010 

Final Action 01/00/2011 

NPRM Comment Period End 01/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Donald H. Heitman 

Senior Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5041 

FAX: 202 418-5507

E-Mail: dheitman@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD25

 View Related Documents

Title: Business Conduct Standards for Swap Dealers and Major Swap Participants Dealing With Counterparties

Abstract: Section 731 of the Dodd-Frank Wall Street Reform and Consumer Protection Act regarding “Registration and

Regulation of Swap Dealers and Major Swap Participants” directs the Commission to promulgate certain mandatory business

conduct standards rules, as well as grants the Commission authority to promulgate discretionary rules. The rules will establish

disclosure obligations and due diligence requirements, as well as outright prohibitions on certain types of abusive conduct.

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 23

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/00/2010 

NPRM Comment Period End 02/00/2011 

Final Action 07/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Phyllis J. Cela 

Deputy Director and Chief Counsel, Division of Enforcement

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Regulations.gov Monday, December 20, 2010 Unified Agenda

26
Phone: 202 418-5374 

E-Mail: pcela@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD26

 View Related Documents

Title: Disruptive Trading

Abstract: Section 747 of the Dodd-Frank Wall Street Reform and Consumer Protection Act regarding “Antidisruptive

Practices Authority” authorizes the Commission to issue rules that, in its judgment, are necessary to prohibit disruptive trading

practices. The Commission will propose rules prohibiting certain enumerated practices that are disruptive to fair and equitable

trading.

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)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Final Action 07/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Robert Pease 

Trial Attorney, Division of Enforcement

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5863 

E-Mail: disruptivetrading@cftc.gov

Agency Contact: Mark Higgins 

Trial Attorney, Division of Enforcement

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5864 

E-Mail: disruptivetrading@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD27

 View Related Documents

Title: Anti-Manipulation

Abstract: The Commission will propose rules prohibiting fraud and manipulation in connection with any swap, or a contract of

sale of any commodity in interstate commerce, or for future delivery on or subject to the rules of any registered entity, consistent

with Section 753 of the Dodd-Frank Wall Street Reform and Consumer Protection Act regarding “Anti-Manipulation Authority.”

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 9 and 15

Regulations.gov Monday, December 20, 2010 Unified Agenda

27
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/00/2010 

NPRM Comment Period End 01/00/2011 

Final Action 07/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Robert Pease 

Trial Attorney, Division of Enforcement

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5863 

E-Mail: disruptivetrading@cftc.gov

Agency Contact: Mark Higgins 

Trial Attorney, Division of Enforcement

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5864 

E-Mail: disruptivetrading@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC46

 View Related Documents

Title: Exemption From Subpart B for Certain Commodity Pool Operators Where Units of Pool Participation are Listed for

Trading on a National Securities Exchange

Abstract: The proposed regulation would provide the registered commodity pool operator of a commodity pool whose units of

participation are listed for trading on a national securities exchange certain exemptions from: (1) The Disclosure Document

delivery and acknowledgement requirements of Regulation 4.21; (2) the Account Statement distribution requirement of

Regulation 4.22; and (3) the books and records location requirement of Regulation 4.23, provided the CPO complies with the

alternative requirements specified in the proposed regulation. The proposed regulation would codify relief given in several

previous exemptive letters.

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

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 4.12(c) (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1a; 7 USC 2; 7 USC 6b to 6c; 7 USC 6l to 6o; 7 USC 12a

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 09/09/2010 75 FR 54794 

NPRM Comment Period End 10/25/2010 

Final Action 12/00/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Barbara Stern Gold 

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Regulations.gov Monday, December 20, 2010 Unified Agenda

28
Phone: 202 418-5450 

FAX: 202 418-5528

E-Mail: bgold@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC88

 View Related Documents

Title: Acknowledgment Letters for Customer Funds and Secured Amount Funds

Abstract: The Commission is proposing to amend its regulations regarding the required content of the acknowledgment letter

that a registrant must obtain from any depository holding its segregated customer funds or funds of foreign futures or foreign

options customers.

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

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1.20 and 1.26; 17 CFR 30.7 and 140.91 (To search for a specific CFR, visit the Code of Federal

Regulations ) 

Legal Authority: 7 USC 1a and 2; 7 USC 5 and 6; 7 USC 6a to 6p; 7 USC 7; 7 USC 7a and 7b; 7 USC 8 and 9; 7 USC

12 and 12a; 7 USC 12c and 13a; 7 USC 13-a1 and 16; 7 USC 16a and 19; 7 USC 21

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 02/20/2009 74 FR 7838 

NPRM Comment Period End 03/23/2009 

Reproposal 08/09/2010 75 FR 47738 

NPRM Comment Period End 09/08/2010 

Final Action 01/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Eileen Donovan 

Special Counsel, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5096 

E-Mail: edonovan@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC91

 View Related Documents

Title: Business Continuity and Disaster Recovery

Abstract: The Commission is proposing regulations that would require designated contract markets that qualify as critical

financial markets, and derivatives clearing organizations that qualify as core clearing and settlement organizations, to have

business continuity and disaster recovery plans and resources sufficient to meet specified requirements for the purpose of

ensuring that they can reliably meet the requirements of the Commodity Exchange Act.

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

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 40.9 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 7, 7a-1 and 12a, as amended by app E of PL 106-554; 114 Stat 2763A-365

Legal Deadline: None

Regulations.gov Monday, December 20, 2010 Unified Agenda

29
Timetable:

Action Date FR Cite

NPRM 07/22/2010 75 FR 42633 

NPRM Comment Period End 08/23/2010 

Final Action 05/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Agency Contact: Robert B. Wasserman 

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5092 

FAX: 202 418-5528

E-Mail: rwasserman@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC63

 View Related Documents

Title: Account Ownership and Control Reports

Abstract: The Commission intends to solicit public comment with respect to the adoption of regulations that would identify the

owners of transactions reported to the trade surveillance system. Such regulations would enable trade practice and market

surveillance staff to perform timely and customized analysis of trading activity.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 15 to 21 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1 et seq, as amended by PL 110-246

Legal Deadline: None

Timetable:

Action Date FR Cite

Next Action Undetermined 

ANPRM 07/02/2009 74 FR 31642 

ANPRM Comment Period End 08/17/2009 

NPRM 07/19/2010 75 FR 41775 

NPRM Comment Period End 10/07/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Rachel F. Berdansky 

Deputy Director for Market Compliance, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5641 

FAX: 202 418-5426

E-Mail: rberdansky@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD24

 View Related Documents

Title: To Establish Timeframe for Reporting Pre-Enactment Unexpired Swaps to a Swap Data Repository

Regulations.gov Monday, December 20, 2010 Unified Agenda

30
Abstract: The Commission is directed by the Dodd-Frank Act of 2010, to adopt an interim final rule (IFR) to establish a

timeframe for reporting to a registered swap data repository swaps entered into prior to enactment of the Dodd-Frank Act whose

terms had not expired on the date of enactment.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Long-term Action

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 36 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 4r

Legal Deadline: 

 Action Source Description Date

Other Statutory 10/19/2010 

Timetable:

Action Date FR Cite

Next Action Undetermined 

Interim Final Rule 10/14/2010 75 FR 63080 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Agency Contact: Susan Nathan 

Senior Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5133 

FAX: 202 418-5527

E-Mail: snathan@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC07

 View Related Documents

Title: Execution of Off-Centralized Market Transactions: Regulation 1.38 and Guidance on Core Principle 9

Abstract: Since the Commission originally promulgated regulation 1.38, the Commodity Futures Modernization Act of 2000

(CFMA), was signed into law. The CFMA, among other things, specifically expanded the allowable transactions that could be

executed off the centralized market. In light of its further experience with administering the CFMA, the Commission is amending

regulation 1.38, which applies to trading off the centralized market, and providing additional guidance on block trading rules that

are consistent with Core Principle 9. UPDATE: THIS ITEM IS BEING WITHDRAWN BECAUSE IT HAS BEEN INCORPORATED

INTO THE COMMISSION'S DCM CORE PRINCIPLE RULEMAKING

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

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1; 17 CFR 38 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 7

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 07/01/2004 69 FR 39880 

NPRM Comment Period End 08/30/2004 

Second NPRM 09/18/2008 73 FR 54097 

Second NPRM Comment Period End 11/17/2008 

Second NPRM Comment Period Extended 01/05/2009 74 FR 67453 

Withdrawn 08/29/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Regulations.gov Monday, December 20, 2010 Unified Agenda

31
Agency Contact: Riva Spear Adriance 

Associate Director for Market Review, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5494 

FAX: 202 418-5507

E-Mail: radriance@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC53

 View Related Documents

Title: Concept Release on the Appropriate Regulatory Treatment of Event Contracts

Abstract: The Commission has solicited comment on the appropriate regulatory treatment of financial agreements commonly

referred to as event contracts. Event contracts may be based on eventualities and measures that neither derive from nor

correlate to market prices or broad economic or commercial measures. The Commission’s staff has received a substantial

number of requests for guidance on the propriety of trading various event contracts under the regulatory rubric of the

Commodity Exchange Act. Given the substantive and practical concerns that may arise from applying federal regulation to event

contracts and markets, the Commission believes that it is appropriate to consider the public’s comments in advance of issuing

any definitive guidance. UPDATE: THIS ITEM IS BEING WITHDRAWN BECAUSE ELEMENTS OF THIS MATTER HAVE BEEN

INCORPORATED INTO THE COMMISSION'S PART 40 RULEMAKING

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: 7 USC 1 et seq,

Legal Deadline: None

Timetable:

Action Date FR Cite

ANPRM 05/07/2008 73 FR 25669 

ANPRM Comment Period End 07/07/2008 

Withdrawn 08/31/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Bruce Fekrat 

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5578 

FAX: 202 418-5527

E-Mail: bfekrat@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC61

 View Related Documents

Title: Retail Off-Exchange Forex Transaction Rules

Abstract: The Food, Conservation and Energy Act of 2008 (the Farm Bill) was enacted June 18, 2008. Within the Farm Bill

are several amendments to the Commodity Exchange Act concerning off-exchange retail foreign currency (forex) transactions.

Among other things, the legislation creates a new category of Commission registrant known as a "retail foreign exchange

dealer" (RFED), provides financial requirements for futures commission merchants and RFEDs who act as counterparties in

retail forex transactions, and limits the intermediation of such transactions to registered commodity pool operators, commodity

Regulations.gov Monday, December 20, 2010 Unified Agenda

32
trading advisors and introducing brokers. A proposed rulemaking will provide for the new category of registrant and for

regulations concerning registration, maintenance of books and records, anti-fraud, risk-disclosure, supervisory and financial

requirements. The proposed rules will also conform those sections of existing regulations that apply to registrants but do not

currently include the new category of registrant.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 5.1 to 5.25; 17 CFR 1; 17 CFR 3 and 4; 17 CFR 10; 17 CFR 140 and 145; 17 CFR 147 and 160; 17

CFR 166 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1 et seq as amended by PL 110-246, sec 13101 and PL 111-203, Sec. 742

Legal Deadline: 

 Action Source Description Date

Other Statutory 10/19/2010 

Timetable:

Action Date FR Cite

NPRM 01/20/2010 75 FR 3282 

NPRM Comment Period End 03/22/2010 

Final Action 09/10/2010 75 FR 55409 

Final Action Effective 10/18/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: William Penner 

Deputy Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5407 

E-Mail: wpenner@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC62

 View Related Documents

Title: Amendments Pertinent to Registered Entities

Abstract: The Commission is proposing several amendments to enhance its ability to administer the Commodity Exchange

Act (Act) with respect to registered entities. In addition to clarifying and technical amendments, the proposed amendments would

require the filing of agreements transferring equity interests of 10 percent or more in designated contract markets (DCM) with

the Commission and subsequent certifications that subject DCMs continue to comply with the designation criteria and core

principles of the Act. The proposed amendments also would require registered entities to provide notice of legal proceedings

that may impact a product's trading and explicitly define resolutions and procedures under which emergency actions are taken

as exchange rules that may be certified prior to implementation. UPDATE: THIS ITEM IS BEING WITHDRAWN BECAUSE IT

HAS BEEN INCORPORATED INTO THE COMMISSION'S DCM CORE PRINCIPLE RULEMAKING AND THE COMMISSION'S

PART 40 RULEMAKING

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

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 38; 17 CFR 40 and 41 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1 et seq, as amended by PL 110-246

Legal Deadline: None

Timetable:

Action Date FR Cite

Withdrawn 07/15/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Regulations.gov Monday, December 20, 2010 Unified Agenda

33
Energy Affected: No

Agency Contact: Bruce Fekrat 

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5578 

FAX: 202 418-5527

E-Mail: bfekrat@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC69

 View Related Documents

Title: Uniform Exemptive Provisions From Federal Speculative Position Limits

Abstract: The Commission is considering proposing regulations to address the application of Commission set speculative

position limits to swap dealers and index traders. UPDATE: THIS ITEM IS BEING WITHDRAWN BECAUSE IT HAS BEEN

INCORPORATED INTO THE COMMISSION'S EXEMPT COMMODITY POSITION LIMIT RULEMAKING

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

ANPRM 03/24/2009 74 FR 12282 

ANPRM Comment Period End 05/26/2009 

Withdrawn 09/02/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Stephen Sherrod 

Assistant Director, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5452 

FAX: 202 418-5527

E-Mail: ssherrod@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC70

 View Related Documents

Title: Amendments to Regulations Permitting Specified Senior Staff of the Commission To Disclose Confidential Information

to a Contract Market, Registered Futures Association, or Self-Regulatory Organization

Abstract: The Commission is proposing to amend regulation 140.72 to permit agency designees to disclose information to

exempt commercial markets (ECM) with respect to which the Commission has issued an order finding that a contract traded on

the ECM performs a significant price discovery function. In addition, the Commission is proposing to amend regulation 140.73 to

eliminate the requirement that disclosures made pursuant to this regulation require the concurrence of the Director of the

Division of Enforcement. UPDATE: THIS ITEM IS BEING WITHDRAWN BECAUSE IT HAS BEEN INCORPORATED INTO THE

COMMISSION'S DCM CORE PRINCIPLE RULEMAKING AND THE COMMISSION'S PART 40 RULEMAKING

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

Regulations.gov Monday, December 20, 2010 Unified Agenda

34
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 140.72; 17 CFR 140.73 (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 03/30/2010 75 FR 15635 

NPRM Comment Period End 04/29/2010 

Withdrawn 08/29/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Donald H. Heitman 

Senior Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5041 

FAX: 202 418-5507

E-Mail: dheitman@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC72

 View Related Documents

Title: Financial Resource Requirements for Derivatives Transaction Execution Facilities, Designated Contract Markets, and

Derivatives Clearing Organization

Abstract: The Commission is proposing regulations that would establish financial resource requirements for derivatives

transaction execution facilities, designated contract markets, and derivatives clearing organizations for the purpose of ensuring

that they maintain sufficient financial resources to enable them to perform their functions in compliance with the Commodity

Exchange Act. UPDATE: THIS RULEMAKING WILL BE DONE WITHIN RIN 3038-AC98, DCO CORE PRINCIPLE

RULEMAKING, INTERPRETATION AND GUIDANCE

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

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 37.10; 17 CFR 38.7; 17 CFR 39.8 (To search for a specific CFR, visit the Code of Federal

Regulations ) 

Legal Authority: 7 USC 2 and 5; 7 USC 6 and 6c; 7 USC 6(c) and 7a; 7 USC 7a-2 and 7b

Legal Deadline: None

Timetable:

Action Date FR Cite

Withdrawn 09/07/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Phyllis P. Dietz 

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5449 

FAX: 202 418-5536

E-Mail: pdietz@cftc.gov

Regulations.gov Monday, December 20, 2010 Unified Agenda

35
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC74

 View Related Documents

Title: Electronic Recordkeeping Requirements Applicable to Futures Commission Merchants, Introducing Brokers, and

Members of a Contract Market

Abstract: The Commission is considering the issuance of proposed amendments relating to the recordkeeping requirements

of CFTC registrants and large traders under regluations 1.31 and 1.35. Such proposed amendments would explicitly apply

certain record retention and production requirements to e-mails, instant messages, and other forms of digital or electronic

written communication and recorded oral communications. UPDATE: THIS MATTER IS BEING WITHDRAWN BECAUSE IT IS

BEING INCORPORATED INTO THE NEW RIN 3038-AC96 ENTITLED "BUSINESS CONDUCT STANDARDS-INTERNAL"

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

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1.35; 17 CFR 4.23; 17 CFR 4.33; 17 CFR 18.05 (To search for a specific CFR, visit the Code of

Federal Regulations ) 

Legal Authority: 7 USC 6 and 12a(5)

Legal Deadline: None

Timetable:

Action Date FR Cite

Withdrawn 08/16/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Christine P. Remy 

Counsel, Office of General Counsel

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5134 

FAX: 202 418-5524

E-Mail: cremy@cftc.gov

Agency Contact: Edward Riccobene 

Chief, Policy and Review

Commodity Futures Trading Commission

Division of Enforcement 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5327 

E-Mail: ericcobene@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC76

 View Related Documents

Title: Uncleared Significant Price Discovery Contracts

Abstract: In response to comments received in a recent proposed rulemaking, the Commission is proposing guidance and

acceptable practices applicable to exempt commercial markets trading contracts that fulfill a significant price discovery function.

These acceptable practices relate to position accountability for uncleared significant price discovery contracts traded or executed

on electronic trading facilities.

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

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 36.3 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 2(h)(7)

Legal Deadline: None

Regulations.gov Monday, December 20, 2010 Unified Agenda

36
Timetable:

Action Date FR Cite

Withdrawn 08/31/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Agency Contact: Susan Nathan 

Senior Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5133 

FAX: 202 418-5527

E-Mail: snathan@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC82

 View Related Documents

Title: Account Class

Abstract: The Commodity Futures Trading Commission (the Commission) proposes amending its regulations (17 CFR

chapter 1, hereinafter, the Regulations) to create a sixth and separate account class (as such term is defined in Regulation

190.01(a) (17 CFR 190.01(a)), applicable only to the bankruptcy of a commodity broker that is a futures commission merchant

(FCM), for positions in cleared over-the-counter (OTC) derivatives (and money, securities, and/or other property margining,

guaranteeing, and securing such positions). In general, the concept of "account class" governs the manner in which the trustee

calculates the net equity (i.e., claims against the estate) and the allowed net equity (i.e., pro rata share of the estate) for each

customer of a commodity broker in bankruptcy. The Commission further proposes amending the Regulations to codify the

appropriate allocation, in a bankruptcy of any commodity broker, of positions in commodity contracts of one account class (and

the money, securities, and/or other property margining, guaranteeing, or securing such positions) that are commingled with

positions in commodity contracts of the futures account class (and the money, securities, and/or other property margining,

guaranteeing, or securing such positions), pursuant to an order issued by the Commission.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

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

Legal Authority: 7 USC 1a and 2; 7 USC 4a and 6c; 7 USC 6d and 6g; 7 USC 7a and 12; 7 USC 19 and 24; 11 USC 362

and 546; 11 USC 548 and 556; 11 USC 761 to 766

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 08/13/2009 74 FR 40794 

NPRM Comment Period End 09/14/2009 

Final Action 04/06/2010 75 FR 17297 

Final Action Effective 05/06/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Robert B. Wasserman 

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5092 

FAX: 202 418-5528

E-Mail: rwasserman@cftc.gov

Regulations.gov Monday, December 20, 2010 Unified Agenda

37
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC85

 View Related Documents

Title: Position Limits for Contracts Based on Energy Commodities

Abstract: The Commission is reviewing existing exchange-set position limits and accountability levels for futures and options

contracts based on energy commodities. The Commission is considering the establishment of position limits and related

exemptions for positions in energy commodities. The Commission will solicit public comment on these regulatory amendments.

UPDATE: THIS ITEM IS BEING WITHDRAWN BECAUSE IT HAS BEEN INCORPORATED INTO THE COMMISSION'S

EXEMPT COMMODITY POSITION LIMIT RULEMAKING

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 150 (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 01/26/2010 75 FR 4144 

NPRM Comment Period End 04/26/2010 

Withdrawn 07/15/2010 75 FR 50950 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Stephen Sherrod 

Assistant Director, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5452 

FAX: 202 418-5527

E-Mail: ssherrod@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC89

 View Related Documents

Title: Amendments to the Commission’s Reporting Rules

Abstract: Information provided pursuant to the reporting rules serve as the foundation of the Commission’s surveillance

programs. The Commission is considering amendments to its reporting rules to permit for or further facilitate the filing of

electronic Forms 40, 102, and 04s reports. In addition, the Commission may propose amendments to improve the information

reported on Form 40. For example, a revised Form 40 could better classify trading activities and, along with other amendments,

provide greater clarity with respect to the reporting of positions on an aggregated basis. UPDATE: THIS ITEM IS BEING

WITHDRAWN BECAUSE IT HAS BEEN INCORPORATED INTO THE COMMISSION'S POSITION LIMITS RULEMAKING

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

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 15 to 21 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1 et seq, as amended by PL 110-246

Legal Deadline: None

Timetable:

Action Date FR Cite

Withdrawn 09/02/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Regulations.gov Monday, December 20, 2010 Unified Agenda

38
Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Stephen Sherrod 

Assistant Director, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5452 

FAX: 202 418-5527

E-Mail: ssherrod@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC90

 View Related Documents

Title: Operation in the Ordinary Course of a Commodity Broker in Bankruptcy

Abstract: The proposed rule would amend Commission regulations applicable to the bankruptcy of a commodity broker by

permitting the relevant trustee to operate, with the written permission of the Commission, the business of such commodity

broker in the ordinary course, including the purchase or sale of new commodity contracts on behalf of the customers of such

commodity broker under appropriate circumstances, as determined by the Commission.

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

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 190.04(d) (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1a and 2; 7 USC 4a; 7 USC 6c and 6d; 7 USC 6g and 7a; 7 USC 12 and 19; 7 USC 24; 11 USC

362 and 546; 11 USC 548 and 556; 11 USC 761 to 766

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/16/2009 74 FR 66598 

NPRM Comment Period End 01/15/2010 

Final Action 07/30/2010 75 FR 44890 

Final Action Effective 08/30/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Alicia Lewis 

Attorney-Advisor, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

1155 21st Street, NW

Washington , DC 20581 

Phone: 202 418-5862 

E-Mail: alewis@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC93

 View Related Documents

Title: Speculative Position Limits and Other Issues Related to Commodities of Finite Supply

Abstract: The Commission is reviewing existing exchange-set position limits and accountability levels for futures and options

contracts based on certain metals. The Commission is considering the establishment of position limits and related exemptions

for such contracts. The Commission will solicit public comment on any proposed regulatory amendments or guidance. UPDATE:

THIS ITEM IS BEING WITHDRAWN BECAUSE IT HAS BEEN INCORPORATED INTO THE COMMISSION'S EXEMPT

COMMODITY POSITION LIMIT RULEMAKING

Regulations.gov Monday, December 20, 2010 Unified Agenda

39
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

ANPRM 02/25/2010 75 FR 8682 

ANPRM Comment Period End 04/30/2010 

Withdrawn 08/31/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Stephen Sherrod 

Assistant Director, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5452 

FAX: 202 418-5527

E-Mail: ssherrod@cftc.gov

Regulations.gov Monday, December 20, 2010 Unified Agenda

40