## COMMODITY FUTURES TRADING COMMISSION

17 CFR Ch. 1

Regulatory Flexibility Agenda

AGENCY: Commodity Futures Trading Commission.

ACTION: Semiannual regulatory agenda.

SUMMARY: The Commodity Futures Trading Commission, in accordance with the requirements of the Regulatory Flexibility Act, is publishing a semiannual agenda of significant rules that the Commission expects to propose or promulgate over the next y ear. The Commission welcomes comments from small entities and others on the agenda.

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

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

SUPPLEMENTARY INFORMATION: The Regulatory Flexibility Act, 5 U.S.C. 601, et seq. (RFA), sets forth a number of requirements for agency rulemaki ng. Among other things, the RFA requires that:

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

(1) A brief description of the subject area of any ru le that the agency expects to propose or promulgate, 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 consideration for each subject area listed in the agenda pursuant to paragraph (1), the objectives and legal basis for the issuance of the rule, and an approximate schedule for completing action on any rule for which the agency has issued a general notice of proposed rulemaking; and

(3) The name and telephone number of an agency official knowledgeable about the items listed in paragraph (1). 5 U.S.C. 602(a).

The Commission has prepared an agenda of si gnificant rules that it presently 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.”

The Commission’s spring 2011 regulatory flexibility agenda is set forth below.

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.

## Issued in Washington, DC on March 28, 2011, by the Commission.

NAME: David A. Stawick, Secretary of the Commission.The 68 Regulatory Agendas

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

Regulation of Market Co-Location Services 3038-AC92

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

Segregation & Bankruptcy: Protection of Cleared Swaps Customers Before and After Commodity Broker Bankruptcies 3038-AC99

Volcker Rule (Section 619) 3038-AD05

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

Electronic Form 40 and Form 102 3038-AD31

Product Definitions Relating to Swaps and Security Based Swaps 3038-AD46

Inter-Affiliate Rule 3038-AD47

Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transitional Swaps 3038-AD48

Systems Testing and Monitoring Regime for Market Participants 3038-AD52

Amendments To Adapt Certain CFTC Regulations to the Dodd-Frank Act 3038-AD53

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

Offering and Selling Non-Narrow Based Stock Index Futures Traded on Foreign Boards of Trade to United States Persons 3038-AC54

Account Ownership and Control Reports 3038-AC63

Investment of Customer Funds 3038-AC79

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

Registration of Swap Dealers and Major Swap Participants 3038-AC95

Process for Review of Swaps for Mandatory Clearing 3038-AD00

Investment Adviser Reporting (Section 406) 3038-AD03

Whistleblowers 3038-AD04

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

Core Principles and Other Requirements for Designated Contract Markets 3038-AD09

End-User Exception 3038-AD10

Review of Rules To Find Alternatives to Reliance on 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 Entities Under the Gramm-Leach Bliley Act 3038-AD13

Position Limits for Derivatives 3038-AD16

Position Report for Physical Commodity Swaps 3038-AD17

Core Principles and Other Requirements for Swap Execution Facilities 3038-AD18

New Registration Requirements for Foreign Boards of Trade 3038-AD19

Swap Data Repositories 3038-AD20

Agricultural Swaps and Commodity Options Rulemaking 3038-AD21

Swap Data Recordkeeping and Reporting Requirements 3038-AD22

Defining Agricultural Commodity 3038-AD23

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

Anti-Manipulation 3038-AD27

Segregation & Bankruptcy: Protection of Collateral for Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy 3038-AD28

Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations 3038-AD30

General Regulations and Derivatives Clearing Organizations 3038-AD32

Information Management Requirements for Derivatives Clearing Organizations 3038-AD33Financial Resources Requirements for Derivatives Clearing Organizations 3038-AD34

Risk Management Requirements for Derivatives Clearing Organizations 3038-AD35

Governance Requirements for DCOs, DCMs, & SEFs; Additional Requirements Regarding the Mitigation of Conflicts of Interest 3038-AD36

Governance and Possible Limits on Ownership and Control (DCOs, SEFs, and DCMs): Requirements for DCOs, DCMs, & SEFs Regarding the Mitigation
of Conflicts of Interest 3038-AD37

Business Conduct Standards--Internal: Designation of a Chief Compliance Officer; Required Compliance Policies; and Annual Report of a FCM, SD or
MSP 3038-AD38

Business Conduct Standards--Internal: Implementation of Conflicts of Interest Policies and Procedures by Futures Commission Merchants and Introducing

Brokers 3038-AD39

Business Conduct Standards--Internal: Implementation of Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants 3038-AD40

Business Conduct Standards--Internal: Regulations Establishing and Governing the Duties of Swap Dealers and Major Swap Participants 3038-AD41

Business Conduct Standards--Internal: Orderly Liquidation Termination Provision in Swap Trading Relationship Documentation for Swap Dealers and Major Swap Participants 3038-AD42

Business Conduct Standards--Internal: Confirmation, Portfolio Reconciliation, and Portfolio Compression Requirements for Swap Dealers and Major Swap Participants 3038-AD43

Business Conduct Standards--Internal: Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants 3038-AD44

Business Conduct Standards--Internal: Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants 3038-AD45

Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act 3038-AD49

Registration of Intermediaries 3038-AD50

Derivatives Clearing Organizations: Requirements for Processing, Clearing, and Transfer of Customer Positions 3038-AD51

Commodity Futures Trading Commission - Long-term Action

Title Regulation
Identifier
Number

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

Reporting and Recordkeeping for Post-Enactment Swaps 3038-AD29

Commodity Futures Trading Commission - Completed Action

Title Regulation
Identifier
Number

Portfolio Margining Issues 3038-AC65

Business Continuity and Disaster Recovery 3038-AC91

Business Conduct Standards--Internal 3038-AC96

DCO Core Principle Rulemaking, Interpretation and Guidance 3038-AC98

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

Systemically Important DCO Rules Authorized Under Title VIII 3038-AD02

Position Limits on Agricultural Commodities 3038-AD15

Antidisruptive Practices Authority Contained in the Dodd-Frank Wall Street Reform and Consumer Protection Act 3038-AD26

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 09/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: NoRelated RINs: Related to 3038-AB78
Agency Contact: Julian E. Hammar Assistant General Counsel, Office of General Counsel Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street NW. Washington , DC 20581

Phone: 202 418-5118

FAX: 202 418-5524

E- Mail: jhammar@cftc.gov
Agency Contact: Thomas M. Leahy Jr.

Associate Director for Product Review, Division of Market Oversight Commodity Futures Trading Commission 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-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

Second NPRM 06/00/2011

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 Street NW. Washington , DC 20581

Phone: 202 418-5448

E-Mail: mmitchell@cftc.gov

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

View Related Documents

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

Abstract: The Commission will propose the issuance of proposed rulemaking relating to requirements for initial and variation margin for swap transactions that are not cleared, as required by section 731 of the Wall Street Transparency and Accountability Act of 2010.

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 06/00/2011

NPRM Comment Period End 08/00/2011Final Action 12/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Related to 3038-AD54
Agency Contact: Thomas J. Smith

Chief Accountant and Associate Director, Division of Clearing and Intermediary Oversight Commodity Futures Trading Commission Three Lafayette Centre 1121 21st Street NW. Washington , DC 20581

Phone: 202 418-5495

FAX: 202 418-5536

E- Mail: tsmith@cftc.gov

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

View Related Documents

Title: Segregation & Bankruptcy: Protection of Cleared Swaps Customers Before and After Commodity Broker Bankruptcies

Abstract: The proposed regulation would 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.

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 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

ANPRM 12/02/2010 75 FR 75162

ANPRM Comment Period End 01/18/2011

NPRM 06/00/2011

NPRM Comment Period End 08/00/2011

Final Action 10/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Related to 3038-AD28
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-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 06/00/2011

NPRM Comment Period End 08/00/2011

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-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 Section 621 of 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 09/00/2011

NPRM Comment Period End 11/00/2011

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-AD31

View Related Documents

Title: Electronic Form 40 and Form 102

Abstract: Refresh content and automation of the CFTC Form 40 and 102 to fulfill current market surveillance information needs and to eliminate inefficiencies and costs related to paper based submissions

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: Not Yet Determined
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 07/00/2011

NPRM Comment Period End 10/00/2011

Final Action 02/00/2012Regulatory 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-AD46

View Related Documents

Title: Product Definitions Relating to Swaps and Security Based Swaps

Abstract: Title VII of the Dodd- Frank Act requires that the CFTC and SEC, in consultation with the Board of Governors of the Federal Reserve System, jointly further define the terms: 1) "Swap", "security-based swap", and "security-based swap agreement"; 2) prescribe regulations mixed swaps; and 3) adopt regulations governing books and records with respect to security-based swap agreements

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 Dodd- Frank Wall Street Reform and Consumer Protection Act, sec 712
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 06/00/2011

NPRM Comment Period End 08/00/2011

Final Action 10/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Split From 3038-AD06 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

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD47

View Related Documents

Title: Inter-Affiliate Rule

Abstract: Title VII of the Dodd- Frank Wall Street Reform and Consumer Protection 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 CFTC is considering proposing a rule stating when swaps between affiliates may not be required to be submitted for clearing or subject to certain reporting requirements.

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: Not Yet Determined
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 06/00/2011

NPRM Comment Period End 08/00/2011Final Action 10/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Agency Contact: Lee Ann Duffy Assistant General Counsel, Office of General Counsel Commodity Futures Trading Commission

1155 21st Street NW. Washington , DC 20581

Phone: 202 418-6763

E-Mail: lduffy@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD48

View Related Documents

Title: Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transitional Swaps

Abstract: The Dodd-Frank Act, by adding Commodity Exchange Act section 2(h)(5), directs that rules be adopted by the Commission to provide for the reporting of data relating to swaps entered into before the date of enactment of the Dodd-Frank Act ("pre-enactment swaps") and data relating to swaps entered into on or after the date of enactment of the Dodd-Frank Act and prior to the effective date of swap data reporting rules implementing CEA section 2(h)(5)(B) ("transitional swaps"). The Commission is proposing for comment rules to implement this requirement.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule
Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 44 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: sec 2(h) of the Commodity Exchange Act, as amended by the Dodd-Frank Act
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 06/00/2011

NPRM Comment Period End 08/00/2011

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: David Taylor Special Counsel, 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-AD52

View Related Documents

Title: Systems Testing and Monitoring Regime for Market Participants

Abstract: The Commission is considering proposing rules requiring testing and monitoring of algorithmic trading systems.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule
Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 7 USC 6c(a) and 6g; 7 USC 7(d) and 7b-3; 7 USC 9 and 15; 7 USC 12(a)(5)
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 06/00/2011

NPRM Comment Period End 08/00/2011

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: Robert PeaseTrial 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-AD53

View Related Documents

Title: Amendments To Adapt Certain CFTC Regulations to the Dodd-Frank Act

Abstract: The Dodd-Frank Wall Street Reform and Consumer Protection Act established a comprehensive new statutory framework for swaps and securitybased swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act, amends others and adds a number of new provisions. The DFA also requires the Commodity Futures Trading Commission to promulgate a number of rules to implement the new framework. The Commission has proposed numerous rules to satisfy its obligations under the DFA. Because the Dodd-Frank Act effects so many changes to the existing statutory and regulatory frameworks, the proposed rules would make a number of conforming changes to the CFTC's regulations to more fully integrate them with the new statutory and regulatory framework.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1; 17 CFR 5; 17 CFR 7; 17 CFR 8; 17 CFR 15; 17 CFR 18; 17 CFR 21; 17 CFR 36; 17 CFR 41; 17 CFR 140; 17 CFR 145; 17 CFR 155; 17 CFR 166 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: PL 111-203 (Dodd- Frank)
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 06/00/2011

NPRM Comment Period End 07/00/2011

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: 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-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 CiteNPRM 09/09/2010 75 FR 54794

NPRM Comment Period End 10/25/2010

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: 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-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 proposed new Rule 30.13 to establish a Commission certification procedure to replace the existing staff no-action process applicable to a foreign board of trade's (FBOT) security index futures contracts. Specifically, proposed Rule 30.13 would set forth a procedure where by an FBOT may apply to the Commission for certification that a security index futures contract traded on that exchange meets the requirements for offer and sale to United States persons under the Commodity Exchange Act. Proposed Rule 30.13 would also establish a procedure for an FBOT to request a Commission certification on an expedited basis.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final 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 12/13/2010 75 FR 77588

NPRM Comment Period End 01/12/2011

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: 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-AC63

View Related Documents

Title: Account Ownership and Control Reports

Abstract: The Commission solicited 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. Comment was initially solicited through an advanced notice of proposed rulemaking published in 2009 and then again through a notice of proposed rulemaking published in July 2010. The comment period for the proposed regulation has now closed. Commission staff is evaluating all comments received to determine how it should proceed to implement the proposed account ownership and control reports.

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

ANPRM 07/02/2009 74 FR 31642ANPRM Comment Period End 08/17/2009

NPRM 07/19/2010 75 FR 41775

NPRM Comment Period End 10/07/2010

Final Action 09/00/2011

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-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: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1.25 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 7 USC 6d; 7 USC 6
Legal Deadline: None

Timetable:

Action Date FR Cite

ANPRM 05/22/2009 74 FR 23962

ANPRM Comment Period End 07/21/2009

NPRM 11/03/2010 75 FR 67642

NPRM Comment Period End 12/03/2010

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: Jon DeBord Attorney-Advisor, Division of Clearing and Intermediary Oversight Commodity Futures Trading Commission

1155 21st Street NW. Washington , DC 20581

Phone: 202 418-5478

E-Mail: jdebord@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 7838NPRM Comment Period End 03/23/2009

Reproposal 08/09/2010 75 FR 47738

NPRM Comment Period End 09/08/2010

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: Heidi Rauh Attorney Advisor, Division of Clearing and Intermediary Oversight Commodity Futures Trading Commission 525 West Monroe Street, Suite 1100 Chicago , IL 60661

Phone: 312 596-0644

E-Mail: hrauh@cftc.gov

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

View Related Documents

Title: Registration of Swap Dealers and Major Swap Participants

Abstract: The proposed regulation would provide for the registration of swap dealers and major swap participants and the exceptions pursuant to which they may have associated with persons subject to a statutory disqualification.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: sec 731 of PL 111- 203 (Dodd-Frank)
Legal Deadline:

Action Source Description Date

Other Statutory 07/21/2011

Timetable:

Action Date FR Cite

NPRM 11/23/2010 75 FR 71379

NPRM Comment Period End 01/24/2011

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: 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-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: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 7 USC 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 CiteNPRM 11/02/2010 75 FR 67277

NPRM Comment Period End 01/03/2011

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: 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-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: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 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 02/11/2011 76 FR 8068

NPRM Comment Period End 04/12/2011

Final Action 09/00/2011

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: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 165 (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 12/06/2010 75 FR 75728

NPRM Comment Period End 02/04/2011Final Action 06/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Related Agencies: Joint : SEC
Agency Contact: 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-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 further define certain terms (specifically "swap dealer," "security-based swap dealer," "major swap participant," "major security-based swap participant," and "eligible contract participant".

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 1.3 (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 12/21/2010 75 FR 80174

NPRM Comment Period End 02/22/2011

Final Action 06/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Related Agencies: Joint : SEC
Agency Contact: 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: Final 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 07/15/2011Timetable:

Action Date FR Cite

NPRM 11/02/2010 75 FR 67282

NPRM Comment Period End 01/03/2011

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: Bella Rozenberg Assistant Deputy Director, 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 and pricing data mandated by section 727 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Priority: Other Significant Agenda Stage of Rulemaking: Final 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 12/07/2010 75 FR 76140

NPRM Comment Period End 02/07/2011

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: Core Principles and Other Requirements for Designated Contract Markets

Abstract: Pursuant to title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), the Commodity Futures Trading Commission (Commission or CFTC) proposes to issue rules to implement section 735 of the Dodd-Frank 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 723 of the Dodd-Frank Act amends Section 2(h)(8) of the Act to require that all swaps subject to clearing must be executed on either a DCM or a Swap Execution Facility (SEF), except where the swap is not made available to trade on any DCM or SEF. The proposed rules, guidance and acceptable practices proposed in this rulemaking implement 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 incorporate the listing, trading and execution of swaps on designated contract markets. This rulemaking proposes amendments to parts 1, 16 and 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: Final Rule
Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 1; 17 CFR 16; 17 CFR 38 (To search for a specific CFR, visit the Code of Federal Regulations )Legal Authority: sec 5 of the CEA (7 USC 7); sec 2(h) of the CEA (7 USC 2(h)); sec 8a(5) of the CEA (7 USC 12a(5)); as amended by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act,; PL 111-203; 124 Stat 1376 (2010)
Legal Deadline:

Action Source Description Date

Other Statutory 07/15/2011

Timetable:

Action Date FR Cite

NPRM 12/22/2010 75 FR 80571

NPRM Comment Period End 02/22/2011

Final Action 07/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

RIN Information

URL: http://www.cftc.gov/LawRegulation/DoddFrankAct/Rulemakings/DF_12_DCMRules/index.htm Public Comment

URL: http://comments.cftc.gov/PublicComments/ReleasesWithComments.aspx
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
Agency Contact: Nadia Zakir Attorney-Advisor, Division of Market Oversight Commodity Futures Trading Commission

1155 21st Street NW. Washington , DC 20581

Phone: 202 418-5720

E-Mail: nzakir@cftc.gov
Agency Contact: Aaron Brodsky Attorney-Advisor, Division of Market Oversight Commodity Futures Trading Commission

1155 21st Street NW. Washington , DC 20581

Phone: 202 418-5349

E-Mail: abrodsky@cftc.gov

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

View Related Documents

Title: End-User Exception

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: Final 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 12/23/2010 75 FR 80747

NPRM Comment Period End 02/22/2011

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: Lee Ann Duffy Assistant General Counsel, Office of General Counsel Commodity Futures Trading Commission

1155 21st Street NW. Washington , DC 20581

Phone: 202 418-6763E-Mail: lduffy@cftc.gov

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

View Related Documents

Title: Review of Rules To Find Alternatives to Reliance on 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 direct agencies 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: Final 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 11/02/2010 75 FR 61254

NPRM Comment Period End 12/02/2010

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: Ward P. Griffin Counsel, Office of the General Counsel Commodity Futures Trading Commission

1155 21st Street NW. Washington , DC 20581

Phone: 202 418-5425

E-Mail: wgriffin@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: Final Rule
Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 162 (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 10/27/2010 75 FR 66018

NPRM Comment Period End 12/27/2010

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: Carl E. Kennedy Counsel, Office of the General Counsel Commodity Futures Trading Commission

1155 21st Street NW. Washington , DC 20581Phone: 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 Entities 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-LeachBliley Act (GLB Act), which sets out certain privacy protections for nonpublic, consumer information. The CFTC will issue final rules implementing section 504(a), as well as amend part 160 of its regulations to cover new entities that are subject to the CFTC's jurisdiction under title VII of the Dodd-Frank Act.

Priority: Other Significant Agenda Stage of Rulemaking: Final 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 10/27/2010 75 FR 66014

NPRM Comment Period End 12/27/2010

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: 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-AD16

View Related Documents

Title: Position Limits for Derivatives

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 has issued a notice of proposed rulemaking to solicit and consider the public's comments in advance of issuing final rules.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule
Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 1.3(z); 17 CFR 150 and 151 (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: None

Timetable:

Action Date FR Cite

NPRM 01/26/2011 76 FR 4752

NPRM Comment Period End 03/28/2011

Final Action 08/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Agency Contact: Bruce Fekrat Senior 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: Position Report for Physical Commodity Swaps

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 has proposed reporting regulations to attain the necessary positional data.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 20 (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: None

Timetable:

Action Date FR Cite

NPRM 11/02/2010 75 FR 67258

NPRM Comment Period End 12/02/2010

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: Bruce Fekrat Senior 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: Core Principles and Other Requirements for Swap Execution Facilities

Abstract: Title VII of the Dodd- Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) amended the Commodity Exchange Act (CEA) to establish a comprehensive new regulatory framework for the execution of swaps by: (i) Creating a definition for swap execution facilities (SEFs) under section 721 of the Dodd-Frank Act, which added new CEA Section 1a(50); (ii) providing, though the SEF definition, a market for the execution of swaps on trading systems or platforms that enable eligible contract participants to trade on a multilateral basis; (iii) creating an execution requirement under section 723 of the Dodd-Frank Act, which added new CEA section 2(h)(8); and (iv)creating registration and core principle requirements for SEFs under section 733 of the Dodd-Frank Act, which added new CEA Section 5h. Pursuant to title VII of the DoddFrank Act, the Commodity Futures Trading Commission (Commission) has proposed rules to implement sections 721, 723 and 733 of the Dodd-Frank Act. The Commission's proposal implements the registration process for each applicant seeking registration as 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. The proposal would also replace current part 37 of the Commission's regulations, at present addressing rules for Derivatives Transaction Execution Facilities, with rules to implement the amendments to the CEA relevant to SEFs.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 37 (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 and 7a-2; 7 USC 7b-3 and 12a 7 USC 23 and 24 as amended by title VII and VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act; PL 111-203, 124 Stat 1376 (2010)
Legal Deadline:

Action Source Description Date

Other Statutory 07/15/2011

Timetable:

Action Date FR Cite

NPRM 01/07/2011 76 FR 1214

NPRM Comment Period End 03/08/2011

Final Action 07/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

RIN Information

URL: http://www.cftc.gov/LawRegulation/DoddFrankAct/Rulemakings/DF_13_SEFRules/index.htm Public Comment

URL: http://comments.cftc.gov/PublicComments/ReleasesWithComments.aspx
Agency Contact: Riva Spear AdrianceAssociate 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
Agency Contact: Mauricio Melara Attorney-Advisor, Division of Market Oversight Commodity Futures Trading Commission

1155 21st Street NW. Washington , DC 20581

Phone: 202 418-5719

FAX: 202 418-5507

E- Mail: mmelara@cftc.gov
Agency Contact: Amir Zaidi Attorney-Advisor, Division of Market Oversight Commodity Futures Trading Commission

1155 21st St.reet NW. Washington , DC 20581

Phone: 202 418-6770

FAX: 202 418-5507

E- Mail: azaidi@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 solicited 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. Commission staff evaluated all comments and considered them in the adoption of the final rules requiring registration to provide such direct access.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 48 (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 11/19/2010 75 FR 70974

NPRM Comment Period End 01/18/2011

Final Action 07/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Agency Contact: Duane C. Andresen Senior Special Counsel, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street NW. Washington , DC 20581

Phone: 202 418-5492

FAX: 202 418-5527

E- Mail: dandresen@cftc.gov

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

View Related Documents

Title: Swap Data Repositories

Abstract: The Commission is proposing regulations to implement section 728 of the Dodd-Frank Act. Specifically, proposed part 49 of the Commission's regulations would establish: (i) A registration process for swap data repositories and standards for becoming and remaining registered; (ii) duties and responsibilities for registered swap data repositories; and (iii) guidance with respect to compliance with three statutory core principles applicable to registered swap data repositories.

Priority: Other Significant Agenda Stage of Rulemaking: Final RuleMajor: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 49 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: sec 728 of the Dodd- Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act); 7 USC 12a and 24a.
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 12/23/2010 75 FR 80898

NPRM Comment Period End 02/22/2011

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: Jeffrey P. Burns Assistant General Counsel, Office of the General Counsel Commodity Futures Trading Commission

1155 21st Street NW. Washington , DC 20581

Phone: 202 418-5101

E-Mail: jburns@cftc.gov

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

View Related Documents

Title: Agricultural Swaps and Commodity Options Rulemaking

Abstract: The Commission is proposing and requesting comment on rules to allow the trading of swaps in agricultural commodities (agricultural swaps) and commodity options. 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: Final 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; sec 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 10/28/2010

NPRM 02/03/2011 76 FR 6095

NPRM Comment Period End 04/04/2011

Final Action 08/00/2011

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: Swap Data Recordkeeping and Reporting Requirements

Abstract: The comment period for the Commission's proposed Swap Data Recordkeeping and Reporting Requirements rules closes on February 7, 2011. After reviewing comments, Commission staff will draft the final rule.Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR Part 45 (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
Public Meeting 11/19/2010

NPRM 12/08/2010 75 FR 76574

NPRM Comment Period End 02/07/2011

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 Counsel, Division of Market Oversight Commodity Futures Trading Commission

1155 21st Street NW. Washington , DC 20581

Phone: 202 418-5488

E-Mail: dtaylor@cftc.gov

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

View Related Documents

Title: Defining Agricultural Commodity

Abstract: In conjunction with rules for trading agricultural swaps, the Commission is separately issuing for comment a proposed definition of the term "agricultural commodity," a term not previously defined in the Commodity Exchange Act or the Commission's rules. An "agricultural commodity" definition is needed for the Commission's rulemakings regarding speculative position limits and large trader reporting requirements.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final 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 10/26/2010 75 FR 65586

NPRM Comment Period End 11/26/2010

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: 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 ofabusive conduct.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 23 and 155 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 7 USC 6s and 12a
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/22/2010 75 FR 80638

NPRM Comment Period End 02/22/2011

Final Action 08/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Agency Contact: Phyllis J. Cela Deputy Director and Chief Counsel, Division of Enforcement Commodity Futures Trading Commission

1155 21st Street NW. Washington , DC 20581

Phone: 202 418-5374

E-Mail: pcela@cftc.gov

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

View Related Documents

Title: Anti-Manipulation

Abstract: The Commission will consider 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: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 7 USC 9 and 15
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 11/03/2010 75 FR 67657

NPRM Comment Period End 01/03/2011

Final Action 06/00/2011

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-AD28

View Related Documents

Title: Segregation & Bankruptcy: Protection of Collateral for Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker BankruptcyAbstract: The proposed regulation would – 1. For uncleared swaps transactions between a swap dealer or major swap participant and a counterparty, promulgate rules governing segregation of assets posted as collateral by the counterparty; and 2. 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: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 23 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
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/03/2010 75 FR 75432

NPRM Comment Period End 02/01/2011

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 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-AD30

View Related Documents

Title: Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations

Abstract: The Commission has proposed to: Rescind exemptions from registration for certain commodity pool operators and commodity trading advisors; rescind exemptions from the certification requirement for annual reports for certain commodity pools; modify criteria claiming relief from the definition of "commodity pool operator;" and, expand the prescribed risk disclosures for commodity pool operators and commodity trading advisors to address swaps transactions. The Commission also has proposed a new data collection for commodity pool operators and commodity trading advisors.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 4; 17 CFR 145; 17 CFR 147 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 5 USC 4a(j) and 552; 5 USC 552b; 7 USC 1a and 2; 7 USC 6m and 6n; 7 USC 12a
Legal Deadline:

Action Source Description Date

Other Statutory 07/21/2011

Timetable:

Action Date FR Cite

NPRM 02/11/2011 76 FR 7976

NPRM Comment Period End 04/12/2011

Final Action 09/00/2011

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-AD32

View Related Documents

Title: General Regulations and Derivatives Clearing OrganizationsAbstract: Proposed amendments to part 39 of the Commission's regulations would establish the regulatory standards for compliance with Derivatives Clearing Organization (DCO) Core Principles A (Compliance), H (Rule Enforcement), N (Antitrust Considerations), and R (Legal Risk), as well as DCO chief compliance officer requirements set forth in section 5b of the Commodity Exchange Act. The proposed amendments to part 39 also would revise procedures for DCO applications, clarify procedures for the transfer of a DCO registration, add requirements for approval of DCO rules establishing a portfolio margining program for customer accounts carried by a futures commission merchant that is also registered as a securities broker-dealer, and make certain technical amendments. Proposed amendments to part 1 would update the definitions of "clearing member" and "clearing organization."

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1 and 39 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: sec 5b of the Commodity Exchange Act; 7 USC 7a-1; sec 8a(5) of the Commodity Exchange Act; 7 USC 12a(5)
Legal Deadline:

Action Source Description Date

Other Statutory 07/15/2011

Timetable:

Action Date FR Cite

NPRM 12/13/2010 75 FR 77576

NPRM Comment Period End 02/11/2011

Final Action 07/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Previously Reported as 3038-AC98
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-AD33

View Related Documents

Title: Information Management Requirements for Derivatives Clearing Organizations

Abstract: The proposed amendments to part 39 of the Commission's regulations would establish the regulatory standards for compliance with DCO Core Principles J (Reporting), K (Recordkeeping), L (Public Information), and M (Information Sharing). Additionally, the Commission is proposing technical amendments to parts 1 and 21 in connection with the proposed regulations. The Commission also is proposing to delegate to the Director of the Division of Clearing and Intermediary Oversight the Commission's authority to perform certain functions in connection with the proposed regulations.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1 and 21; 17 CFR 39 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: sec 5b of the Commodity Exchange Act; 7 USC 7a-1; sec 8a(5) of the Commodity Exchange Act; 7 USC 12a(5)
Legal Deadline:

Action Source Description Date

Other Statutory 07/15/2011

Timetable:

Action Date FR Cite

NPRM 12/15/2010 75 FR 78185

NPRM Comment Period End 02/14/2011

Final Action 07/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Previously Reported as 3038-AC98
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-AD34

View Related Documents

Title: Financial Resources Requirements for Derivatives Clearing Organizations

Abstract: The proposed part 39 regulations would establish financial resources requirements for derivatives clearing organizations, including heightened standards for those designated as systemically important 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. The Commission also proposed amendments to part 140 that would delegate certain authority under part 39 to the Director of the Division of Intermediary Oversight.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 39 and 140 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: sec 5b of the Commodity Exchange Act; 7 USC 7a-1; sec 8a(5) of the Commodity Exchange Act; 7 USC 12a(5)
Legal Deadline:

Action Source Description Date

Other Statutory 07/15/2011

Timetable:

Action Date FR Cite

NPRM 10/14/2010 75 FR 63113

NPRM Comment Period End 12/13/2010

Final Action 07/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Previously Reported as 3038-AC98
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-AD35

View Related Documents

Title: Risk Management Requirements for Derivatives Clearing Organizations

Abstract: Proposed regulations would establish the regulatory standards for compliance with derivatives clearing organization (DCO) Core Principles C (Participant and Product Eligibility), D (Risk Management), E (Settlement Procedures), F (Treatment of Funds), G (Default Rules and Procedures), and I (System Safeguards). For DCOs that are designated by the Financial Stability Oversight Council as systemically important DCOs (SIDCOs), the Commission is proposing heightened standards in the area of system safeguards supporting business continuity and disaster recovery and a provision that would implement the Commission's special enforcement authority over SIDCOs. The Commission also is proposing certain additional amendments including replacement of the current part 39 appendix A, Application Guidance and Compliance With Core Principles, with an application form for entities seeking to register as DCOs, and amendments to supplement part 39 reporting and public information requirements proposed in a previous rulemaking.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 39 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: sec 5b of the Commodity Exchange Act; 7 USC 7a-1; sec 8a(5) of the Commodity Exchange Act; 7 USC 12a(5)
Legal Deadline:

Action Source Description Date

Other Statutory 07/15/2011

Timetable:

Action Date FR Cite

NPRM 01/20/2011 76 FR 3698

NPRM Comment Period End 03/21/2011

Final Action 07/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Previously Reported as 3038-AC98
Agency Contact: Phyllis P. Dietz Associate Director, Division of Clearing and Intermediary OversightCommodity 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-AD36

View Related Documents

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

Abstract: Rulemaking to implement the following sections of the Dodd-Frank Wall Street Reform and Consumer Protection Act, insofar as they pertain to conflicts of interest, governance and fitness: Section 726 (Rulemaking on Conflict of Interest); sections 725(c) and (d) (DCO Core Principles and Conflicts of Interest); section 735(b) (DCM Core Principles); and section 733 (SEF Core Principles).

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1; 17 CFR 37 to 40 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: secs 726, 725(c) and (d), 735(b) and 733 of the Act.
Legal Deadline:

Action Source Description Date

Other Statutory 07/20/2011

Timetable:

Action Date FR Cite

NPRM 01/06/2011 76 FR 722

NPRM Comment Period End 03/07/2011

Final Action 07/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Previously Reported as 3038-AD01
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-AD37

View Related Documents

Title: Governance and Possible Limits on Ownership and Control (DCOs, SEFs, and DCMs): Requirements for DCOs, DCMs, & SEFs Regarding the Mitigation

of Conflicts of Interest

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: Section 726 (Rulemaking on Conflict of Interest); sections 725(c) and (d) (DCO Core Principles and Conflicts of Interest); section 735(b) (DCM Core Principles); and section 733 (SEF Core Principles).

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1; 17 CFR 37 to 40 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: secs 726, 725(c) and (d), 735(b) and 733 of the Act
Legal Deadline:

Action Source Description Date

Other Statutory 01/14/2011

Timetable:

Action Date FR Cite

NPRM 10/18/2010 75 FR 63732

NPRM Comment Period End 11/17/2010

Final Action 06/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: NoRelated RINs: Previously Reported as 3038-AD01
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-AD38

View Related Documents

Title: Business Conduct Standards--Internal: Designation of a Chief Compliance Officer; Required Compliance Policies; and Annual Report of a FCM, SD or

MSP

Abstract: The Commodity Futures Trading Commission (Commission or CFTC) is proposing rules to implement new statutory provisions enacted by title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) regarding the compliance activities of certain registrants. The proposed rules require each futures commission merchant, swap dealer, and major swap participant to designate a chief compliance officer. The proposed rules also prescribe qualifications and duties of the chief compliance officer. Finally, the proposed rules require that the chief compliance officer prepare, certify, and furnish to the Commission an annual report containing an assessment of the registrant's compliance activities.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 3 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: sec 731 and 732 of PL 111-203 (Dodd-Frank)
Legal Deadline:

Action Source Description Date

Other Statutory 07/15/2011

Timetable:

Action Date FR Cite

NPRM 11/19/2010 75 FR 70881

NPRM Comment Period End 01/18/2011

Final Action 07/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Previously Reported as 3038-AC96
Agency Contact: Frank Fisanich Special Counsel, Division of Intermediary Oversight Commodity Futures Trading Commission

1155 21st Street NW. Washington , DC 20581

Phone: 202 418-5949

E-Mail: ffisanich@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD39

View Related Documents

Title: Business Conduct Standards--Internal: Implementation of Conflicts of Interest Policies and Procedures by Futures Commission Merchants and Introducing

Brokers

Abstract: The Commodity Futures Trading Commission (Commission or CFTC) is proposing rules to implement new statutory provisions enacted by title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). The proposed regulations establish conflicts of interest requirements for Futures Commission Merchants (FCMs) and Introducing Brokers (IBs) for the purpose of ensuring that such persons implement adequate policies and procedures in compliance with the Commodity Exchange Act(CEA), as amended by the Dodd-Frank Act.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 1 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: sec 732 of PL 111- 203 (Dodd-Frank)
Legal Deadline:

Action Source Description Date

Other Statutory 07/15/2011

Timetable:

Action Date FR Cite

NPRM 11/17/2010 75 FR 70152

NPRM Comment Period End 01/18/2011Final Action 07/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Previously Reported as 3038-AC96
Agency Contact: Frank Fisanich Special Counsel, Division of Intermediary Oversight Commodity Futures Trading Commission

1155 21st Street NW. Washington , DC 20581

Phone: 202 418-5949

E-Mail: ffisanich@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD40

View Related Documents

Title: Business Conduct Standards--Internal: Implementation of Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants

Abstract: The Commodity Futures Trading Commission (Commission or CFTC) is proposing rules to implement new statutory provisions enacted by title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). The proposed regulations establish conflicts of interest requirements for swap dealers (SDs) and major swap participants (MSPs) for the purpose of ensuring that such persons implement adequate policies and procedures in compliance with the Commodity Exchange Act (CEA), as amended by the Dodd-Frank Act.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 23 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: sec 731 of PL 111- 203 (Dodd-Frank)
Legal Deadline:

Action Source Description Date

Other Statutory 07/15/2011

Timetable:

Action Date FR Cite

NPRM 11/23/2010 75 FR 71391

NPRM Comment Period End 01/24/2011

Final Action 07/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Previously Reported as 3038-AC96
Agency Contact: Frank Fisanich Special Counsel, Division of Intermediary Oversight Commodity Futures Trading Commission

1155 21st Street NW. Washington , DC 20581

Phone: 202 418-5949

E-Mail: ffisanich@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD41

View Related Documents

Title: Business Conduct Standards--Internal: Regulations Establishing and Governing the Duties of Swap Dealers and Major Swap Participants

Abstract: The Commodity Futures Trading Commission is proposing regulations to implement new statutory provisions enacted by title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The proposed regulations set forth certain duties imposed upon swap dealers and major swap participants registered with the Commission with regard to: Risk management procedures; monitoring of trading to prevent violations of applicable position limits; diligent supervision; business continuity and disaster recovery; disclosure and the ability of regulators to obtain general information; and antitrust considerations. The proposed regulations would implement the new statutory framework of section 4s(j) of the Commodity Exchange Act, added by section 731 of the Dodd-Frank Act, excepting regulations related to conflicts of interest pursuant to section 4s(j)(5), which will be addressed in a separate rulemaking. These regulations set forth certain duties with which swap dealers and major swap participants must comply to maintain registration as a swap dealer or major swap participant.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 23 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: sec 731 of PL 111- 203 (Dodd-Frank)
Legal Deadline:

Action Source Description DateNPRM Statutory 07/15/2011

Timetable:

Action Date FR Cite

NPRM 11/23/2010 75 FR 71397

NPRM Comment Period End 01/24/2011

Final Action 07/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Previously Reported as 3038-AC96
Agency Contact: Sarah E. Josephson Associate Director, Division of Clearing and Intermediary Oversight Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street NW. Washington , DC 20581

Phone: 202 418-5684

E-Mail: sjosephson@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD42

View Related Documents

Title: Business Conduct Standards--Internal: Orderly Liquidation Termination Provision in Swap Trading Relationship Documentation for Swap Dealers and Major Swap Participants

Abstract: The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations to implement new statutory provisions established under title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Section 731 of the Dodd-Frank Act added a new section 4s(i) to the Commodity Exchange Act (CEA), which requires the Commission to prescribe standards for swap dealers and major swap participants related to the timely and accurate confirmation, processing, netting, documentation, and valuation of swaps. The proposed rule would set forth parameters for the inclusion of an orderly liquidation termination provision in the swap trading relationship documentation for swap dealers and major swap participants.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 23 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 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 02/08/2011 76 FR 6708

NPRM Comment Period End 04/11/2011

Final Action 07/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Previously Reported as 3038-AC96
Agency Contact: Frank Fisanich Special Counsel, Division of Intermediary Oversight Commodity Futures Trading Commission

1155 21st Street NW. Washington , DC 20581

Phone: 202 418-5949

E-Mail: ffisanich@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD43

View Related Documents

Title: Business Conduct Standards--Internal: Confirmation, Portfolio Reconciliation, and Portfolio Compression Requirements for Swap Dealers and Major Swap Participants

Abstract: The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations to implement new statutory provisions established under title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Section 731 of the Dodd-Frank Act added a new section 4s(i) to the Commodity Exchange Act (CEA), which requires the Commission to prescribe standards for swap dealers and major swap participants related to the timely and accurate confirmation, processing, netting, documentation, and valuation of swaps. The proposed rules would establish requirements for swap confirmation, portfolio reconciliation, and portfolio compression for swap dealers and major swap participants.Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 23 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 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 12/28/2010 75 FR 81519

NPRM Comment Period End 02/28/2011

Final Action 07/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Previously Reported as 3038-AC96
Agency Contact: Frank Fisanich Special Counsel, Division of Intermediary Oversight Commodity Futures Trading Commission

1155 21st Street NW. Washington , DC 20581

Phone: 202 418-5949

E-Mail: ffisanich@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD44

View Related Documents

Title: Business Conduct Standards--Internal: Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants

Abstract: The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations to implement new statutory provisions established under title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Section 731 of the Dodd-Frank Act added new sections 4s(f) and (g) to the Commodity Exchange Act (CEA), which set forth reporting and recordkeeping requirements and daily trading records requirements for swap dealers and major swap participants. The proposed rules would establish the regulatory standards for compliance with these new sections of the CEA.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 23 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 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 12/09/2010 75 FR 76666

NPRM Comment Period End 02/07/2011

Final Action 07/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Previously Reported as 3038-AC96
Agency Contact: Frank Fisanich Special Counsel, Division of Intermediary Oversight Commodity Futures Trading Commission

1155 21st Street NW. Washington , DC 20581

Phone: 202 418-5949

E-Mail: ffisanich@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD45

View Related Documents

Title: Business Conduct Standards--Internal: Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants

Abstract: The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations to implement new statutory provisions establishedunder title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Section 731 of the Dodd-Frank Act added a new section 4s(i) to the Commodity Exchange Act (CEA), which requires the Commission to prescribe standards for swap dealers and major swap participants related to the timely and accurate confirmation, processing, netting, documentation, and valuation of swaps. The proposed rules would establish requirements for swap trading relationship documentation for swap dealers and major swap participants.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 23 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 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 02/08/2011 76 FR 6715

NPRM Comment Period End 04/11/2011

Final Action 07/00/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Previously Reported as 3038-AC96
Agency Contact: Frank Fisanich Special Counsel, Division of Intermediary Oversight Commodity Futures Trading Commission

1155 21st Street NW. Washington , DC 20581

Phone: 202 418-5949

E-Mail: ffisanich@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD49

View Related Documents

Title: Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act

Abstract: The Commodity Futures Trading Commission is proposing to amend part 4 of its regulations, which concerns the operations and activities ofcommodity pool operators and commodity trading advisors, in order to have those regulations reflect changes made to the Commodity Exchange Act by the DoddFrank Wall Street Reform and Consumer Protection Act.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 4 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: PL 111-203 (Dodd- Frank)
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 03/03/2011 76 FR 11701

NPRM Comment Period End 05/02/2011

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: 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-AD50

View Related Documents

Title: Registration of IntermediariesAbstract: The Commodity Futures Trading Commission hereby proposes regulations to further implement new statutory provisions enacted by title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act regarding registration of intermediaries. Specifically, the Commission proposes: (i) Certain conforming amendments to part 3 of the Commission's regulations (part 3) regarding the registration of intermediaries, consistent with other Commission rulemakings issued pursuant to the Dodd-Frank Act; and (ii) other modernizing and technical amendments to part 3.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 3 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: PL 111-203 (Dodd- Frank)
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 03/09/2011 76 FR 12888

NPRM Comment Period End 05/09/2011

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: Andrew V. Chapin Associate Director, Division of Clearing and Intermediary Oversight Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street NW. Washington , DC 20581

Phone: 202 418-5465

FAX: 202 418-5536

E- Mail: achapin@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD51

View Related Documents

Title: Derivatives Clearing Organizations: Requirements for Processing, Clearing, and Transfer of Customer Positions

Abstract: Proposed regulations would establish a time frame for submission of contracts, agreements, and transactions to a derivatives clearing organization for clearing, and standards for prompt and efficient processing by a derivatives clearing organization. Proposed regulations would also require coordination between derivatives clearing organizations and swap execution facilities or designated contract markets in developing rules and procedures to facilitate clearing. A derivatives clearing organization, upon customer request, would also be required to transfer customer positions and related funds from one clearing member of the derivatives clearing organization to another, without requiring the close-out and re-booking of the positions.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 23; 17 CFR 37 to 39 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: sec 5b of the Commodity Exchange Act; 7 USC 7a-1; sec 8a(5) of the Commodity Exchange Act; 7 USC 12a(5)
Legal Deadline:

Action Source Description Date

Other Statutory 07/15/2011

Timetable:

Action Date FR Cite

NPRM 03/10/2011 76 FR 13101

NPRM Comment Period End 04/11/2011

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-AD24

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

Abstract: The Commission is directed by the Dodd-Frank Act of 2010, to adopt an interim final rule (IFR) to establish a timeframe for reporting to a registered swap data repository swaps entered into prior to enactment of the Dodd-Frank Act whose terms had not expired on the date of enactment.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Long-term Action
Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 36 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 7 USC 4r
Legal Deadline:

Action Source Description Date

Other Statutory 10/19/2010

Timetable:

Action Date FR Cite

Next Action Undetermined

Interim Final Rule 10/14/2010 75 FR 63080

Interim Final Rule Comment Period End 11/15/2010 75 FR 78892

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-AD29

View Related Documents

Title: Reporting and Recordkeeping for Post- Enactment Swaps

Abstract: The CFTC is publishing for comment an interim final rule to implement new statutory provisions introduced by title VII, section 723 of the Dodd-Frank Act. Section 723 amends section 2 of the CEA by adding new section 2(h)(5), which directs that rules adopted by the Commission under this section shall provide for the reporting of "transition" swaps-e.g. those swaps entered into after the date of enactment of the Dodd-Frank Act and prior to the effective date of that statute. The Commission expects shortly to issue a notice for comment about permanent, substantive rules under CEA section 2(h)(5) to govern the reporting of these post-enactment swaps. The purpose of the interim final rule is to alert counterparties that these swaps may be subject to reporting rules and to ensure the preservation of data relating to those swaps pending implementation of such rules.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action
Major: Undetermined Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: Not Yet Determined
Legal Deadline: None

Timetable:

Action Date FR Cite

Next Action Undetermined

Interim Final Rule 12/17/2010 75 FR 78892

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-AC65

View Related Documents

Title: Portfolio Margining IssuesAbstract: 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: Completed Action
Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 39 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: sec 713, PL 111-203 (Dodd-Frank)
Legal Deadline: None

Timetable:

Action Date FR Cite

Withdrawn 02/08/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Related to 3038-AD32
Agency Contact: Jonathan Lave Attorney Advisor, Division of Clearing and Intermediary Oversight Commodity Futures Trading Commission

1155 21st Street NW. Washington , DC 20581

Phone: 202 418-5983

E-Mail: jlave@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: Completed Action
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 and 7a- 1; 7 USC 12a; as amended by app E of PL 106-554; 114 Stat 2763A-365
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 07/22/2010 75 FR 42633

NPRM Comment Period End 08/23/2010

Withdrawn 02/09/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Related RINs: Merge with 3038-AD35
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-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: Completed Action
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

Withdrawn 02/09/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Related to 3038-AD38; Related to 3038-AD39; Related to 3038-AD40; Related to 3038-AD41; Related to 3038-AD42; Related to 3038- AD43; Related to 3038-AD44; Related to 3038-AD45
Agency Contact: Sarah E. Josephson Associate Director, Division of Clearing and Intermediary Oversight Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street NW. Washington , DC 20581

Phone: 202 418-5684

E-Mail: sjosephson@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: Completed Action
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 Commodity Exchange Act; 7 USC 7a-1; sec 8a(5) of the Commodity Exchange Act; 7 USC 12a(5)
Legal Deadline:

Action Source Description Date

Other Statutory 07/15/2011

Timetable:

Action Date FR Cite

Withdrawn 02/09/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Related to 3038-AC32; Related to 3038-AC33; Related to 3038-AC34; Related to 3038-AC35
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-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: Completed ActionMajor: 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

Withdrawn 02/09/2011

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

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Related to 3038-AD36; Related to 3038-AD37
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: 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: sec 805 of PL 111- 203 (Dodd-Frank)
Legal Deadline: None

Timetable:

Action Date FR Cite

Withdrawn 02/07/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Merge with 3038-AD35
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-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: Completed Action
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

Withdrawn 02/09/2011

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related RINs: Related to 3038-AD16
Agency Contact: Bruce Fekrat Senior 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-AD26

View Related Documents

Title: Antidisruptive Practices Authority Contained in the Dodd-Frank Wall Street Reform and Consumer Protection Act

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: 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 6c(a)
Legal Deadline: None

Timetable:

Action Date FR Cite

ANPRM 11/02/2010 75 FR 67301

ANPRM Comment Period End 01/03/2011

Withdrawn 03/18/2011 76 FR 14826

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
Agency Contact: Steven E. Seitz Attorney Commodity Futures Trading Commission 1155 21st St., NW Washington , DC 20581

Phone: 202 418-5615

E-Mail: sseitz@cftc.gov