### COMMODITY FUTURES TR ADING COMMISSION

17 CF R Ch. 1
Regulatory Flexibility Agenda

AGENCY: Commodity Fut u re s Trading Commission.

ACTION: Se miannu al reg ulatory agenda.

SUMMARY: The Co mmod ity 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 y ear. The Commission welcomes comments from small entities and others on the agenda.

FOR FURTHER INFORMATION CONTACT: Saun tia S. Warfield, Commodity Futures Trading Commission, 1155 21 st 

### Street NW., Washington, DC 20581; (202) 418-5084, swarfield@cftc.gov.

SUPPLEMENTARY INFORMATION: T he Re gulato ry Flexibility Act (RFA), 5 U.S.C. 601, et seq. , sets forth a number of requirements for agency rulema king. Among other things, the RFA requires that:
Semiannually, each agency shall publish in the Fe deral Regis ter a regulatory flexibility agenda that shall contain:
(1) A brief description of the subject area of any ru le that the agency expects to prop ose or p romulgate, which is likely to have a significant economic im pact on a substantial number of small entities;
(2) A summary of the nature of any such rule under co nsid eration 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 parag raph (1), 5 U.S.C. 602(a ).
The Commission has prepared an agenda of si gnificant rule s that it prese ntly expects may be considered during the course of the next year. Thes e 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 regulato ry 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 monthl y basis, a calendar and, on a weekly basis, posts an advisory on its website (http://www.cftc.gov) that lists rule s that the Commission is considering or will consider in the near future.

### 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.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-AD22Defining 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 )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 CommissionThree 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: NoneTimetable:
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 ParticipantsAbstract: 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 OversightCommodity 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 07/15/2011Timetable:
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.govCommodity 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 01/00/2011Additional 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.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: 202 418-5327E-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: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.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), theCommodity 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.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 Commission1155 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.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.govCommodity 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: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.govCommodity 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), theCommodity 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 )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.govCommodity 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 10/20/2010NPRM 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 CommodityAbstract: 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 20581Phone: 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 15Legal 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 20581Phone: 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: NoneTimetable:
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 RepositoryAbstract: 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: NoAgency 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, commoditytrading 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: NoEnergy 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 ActionMajor: 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.govCommodity 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: NoneTimetable:
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.govCommodity 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: NoSmall 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 RULEMAKINGPriority: 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