# B ILLING CODE 6351- 01

COM MODITY FUTU RES TRADING COMMISSION

17 CFR Ch. 1

Re gulatory Flexib il ity Agenda

AGENCY: Commodity Futures Trading Commission

ACTION: Semiannual regulatory agenda

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

R egulatory F lexibility Act, is publishing a semiannual agenda of significant rules that the Commission

expects to propose or promulgate over the next year. The Commission welcomes comments from small

entities and others on the agenda.

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

C ommodity Futu re s Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC

20581 , (202) 418-5516, mj ur gens@cftc.gov.

SUPPLEMENTARY INFORMATION: The Regulatory Flexibility Act, 5 U.S.C. 601, et seq. (RFA), sets
for th a number of requir e ments for agency rulemaking. Among other things, the RFA requires that:

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

c ontain:

(1) A brief des c ription of the subject area of any rule that the agency expects to propose or promulgate, which is likely to have a significant economic impact on a substantial number of small entities;

(2) A summary of the nature of any such rule under consideration for each subject area listed in the agenda pursuant to paragraph (1), the objectives and legal basis for the issuance of the rule, and an approximate schedule for completing action on any rule for which the agency has issued a general notice of proposed rulemaking; and

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

The Commission has pre pa red an agenda of significant rules that it presently expects may be considered during the course of the next year. These rules may have some impact on small entities. 1 

# In this regard,

1 

# The Co m mission published its definition of a “small entity” for purposes of rulemaking proceedings at 47 FR 18618 (April 30,
1982 ). Pursuant to that definition, the Commission is not required to – but nonetheless does – list many of the agenda items contained in this regulatory flexibility agenda. See also 5 U.S.C. 602(a)(1). Moreover, for certain items listed in this agenda, the


# C ommiss io n has previously certified, under section 605 of the RFA, 5 U.S.C. 605, that those items will not have a significant economic impact on a substantial number of small entities. For these reasons, the listing of a rule in this regulatory flexibility agenda should not be taken as a determination that the rule, when proposed or promulgated, will in fact require a regulatory

# se ction 602(d) of the R FA, 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 2013 regulatory flexibility agenda is set forth below.

Issued in Washington, DC on June 7, 2013 by the Commission.

Meliss a D. Jurge ns S ecretar y of the Commission

f lexibility analysis. Rather, the Commission has chosen to publish an agenda that includes significant rules, regardless of their potential impact on small entities, to provide the public with broader notice of new or revised regulations the Commission may consider and to enhance the public’s opportunity to participate in the rulemaking process.The 41 Regulatory Agendas

Commodity Futures Trading Commission - PreRule

Title Regulation
Identifier
Number

Systems Testing and Monitoring Regime for Market Participants 3038-AD52

Commodity Futures Trading Commission - Proposed Rule

Title Regulation
Identifier
Number

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

Annual Stress Test 3038-AD73

Part 190 Bankruptcy Rules 3038-AD79

Aggregation of Positions 3038-AD82

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

Application of Interpretation Regarding Guarantees of Swaps 3038-AD93

Request for Comment on a Proposed Exemptive Order Relating to the Trading and Clearing of Options and Futures on the Shares of Precious Metal Commodity-Based ETFs 3038-AD95

Position Limits for Commodity Derivatives Contracts 3038-AD99

Block Trading for Futures Contracts 3038-AE01

Commodity Futures Trading Commission - Final Rule

Title Regulation
Identifier
Number

Regulation of Market Co-Location Services 3038-AC92

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

Volcker Rule (Section 619) 3038-AD05

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

Forms 40 and 102; Ownership and Control Report 3038-AD31

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

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

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

Cross-Border Application of Certain Swap Requirements 3038-AD57

Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators 3038-AD75

Systemically Important Derivatives Clearing Organizations 3038-AD81

Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations 3038-AD88

Core Principle 9 for Designated Contract Markets 3038-AD90

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

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

Commodity Futures Trading Commission - Completed Action

Title Regulation
Identifier
Number

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

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

Exemption for Swaps Between Certain Affiliated Entities 3038-AD47

Dual and Multiple Associations of Persons Associated With Swap Dealers and Major Swap Participants and Other Commission Registrants 3038-AD66

Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Further Measures To Protect the Identities of Parties To Swap Transactions 3038-AD68

Process To Make a Swap Available To Trade 3038-AD69

Rules Prohibiting the Aggregation of Orders to Satisfy Minimum Block Sizes or Cap Size Requirements, and Establishing Eligibility Requirements for
Parties to Block Trades 3038-AD84

Exemptive Order Regarding Compliance With Certain Swap Regulations 3038-AD85

Clearing Requirement Determination Under Section 2(h) of the CEA 3038-AD86

Swap Transaction Compliance and Implementation Schedule; Trade Execution Requirement Under Section 2(h) of the CEA 3038-AD89

Adaptation of Regulations To Incorporate Swaps, Records of Transactions (Rules 1.31 and 1.35) 3038-AD91

Order Exempting, Pursuant to Authority in Section 4(c) of the Commodity Exchange Act, Certain Transactions Between Entities Described in Section 201(f) of the Federal Power Act 3038-AD94

Antidisruptive Practices Authority 3038-AD96Final Order in Response to a Petition From Certain Independent System Operators and Regional Transmission Organizations To Exempt Specified
Transactions 3038-AD97

Reassignment of Commission Staff Responsibilities and Delegations of Authority 3038-AE03

Delegation of Authority to Disclose Confidential Information to a Contract Market, Registered Futures Association or Self-Regulatory Organization 3038-AE04

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 developing a concept release on principles-based risk controls and system safeguards in automated trading environments such as exchange electronic trading platforms, automated trading systems, and other market participants.

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

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

Timetable:

Action Date FR Cite

ANPRM 07/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Agency Contact: Sebastian Pujol-Schott Associate Director, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5641

E-Mail: sschott@cftc.gov

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

View Related Documents

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

Abstract: Staff is considering recommending rules to the Commission to ensure that any exchange that offers co-location services to market participants 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 at a fair, equitable and reasonable manner. In this context, the new rulemaking will only address latency requirements through a re-proposal of certain provisions of the co-location NPRM, 3038-AC92.

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 09/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Agency Contact: Swati Shah Attorney Advisor, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5042

E-Mail: sshah@cftc.gov

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

View Related Documents

Title: Annual Stress Test

Abstract: Staff is considering recommending to the Commission proposed rules to implement section 165(i) of the Dodd-Frank Wall Street Reform and Consumer Protection Act which requires certain financial companies to conduct annual stress tests pursuant to regulations prescribed by their respectiveprimary financial regulatory agencies. Specifically, the recommendation would require registrants and registered entities supervised by the Commodity Futures Trading Commission with total consolidated assets of more than $10 billion to conduct an annual stress test as prescribed by this proposed rule. In addition to the annual stress test requirement, such institutions would be subject to certain reporting and disclosure requirements.

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

CFR Citation: 17 CFR 3 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: Sec 165(i)(2) of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 09/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Agency Contact: Frank Fisanich Chief Counsel, Division of Swap Dealer and Intermediary Oversight Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5949

E-Mail: ffisanich@cftc.gov

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

View Related Documents

Title: Part 190 Bankruptcy Rules

Abstract: The staff is considering recommending that the Commission propose changes to section 190 to update the Commission's bankruptcy regulations.

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

CFR Citation: 17 CFR 190 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 7 USC 1 et seq
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 09/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Agency Contact: Laura Astrada Associate Chief Counsel, Division of Clearing and Risk Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-7622

E-Mail: lastrada@cftc.gov

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

View Related Documents

Title: Aggregation of Positions

Abstract: On May 30, 2012, the Commodity Futures Trading Commission published in the Federal Register a notice of proposed modifications to part 151 of the Commission's regulations. The modifications addressed the policy for aggregation under the Commission's position limits regime for 28 exempt and agricultural commodity futures and options contracts and the physical commodity swaps that are economically equivalent to such contracts. In an Order dated September 28, 2012, the District Court for the District of Columbia vacated part 151 of the Commission's regulations. The Commission is now considering proposing modifications to the aggregation provisions of part 150 of the Commission's regulations that are substantially similar to the aggregation modifications proposed to part 151, except that the modifications address the policy for aggregation under the Commission's position limits regime for futures and option contracts on nine agricultural commodities set forth in part 150.

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

CFR Citation: 17 CFR 150 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: CEA sec 4a; CEA sec4c; CEA sec 8a(5)
Legal Deadline: None

Timetable:Action Date FR Cite

NPRM 05/30/2012 77 FR 31767

NPRM Comment Period End 06/29/2012

Second NPRM 07/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

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

Related RINs: Related to 3038-AD99
Agency Contact: Stephen Sherrod Senior Economist, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5452

FAX: 202 418-5527

E-Mail: ssherrod@cftc.gov

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

View Related Documents

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

Abstract: Staff is considering recommending to the Commission proposed liquidity standards for financial resources maintained by derivatives clearing organizations designated as systemically important.

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

CFR Citation: 17 CFR 39 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 7 USC 7a-1(c)(2)(A)(i); 7 USC 12a(5)
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 07/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No
Energy Affected: No
Agency Contact: Robert B. Wasserman Chief Counsel, Division of Clearing and Risk Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5092

FAX: 202 418-5528

E-Mail: rwasserman@cftc.gov

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

View Related Documents

Title: Application of Interpretation Regarding Guarantees of Swaps

Abstract: Staff is considering recommending the Commission address certain regulatory matters arising from its interpretation that the term "swap" includes a guarantee of such swap.

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

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

Timetable:

Action Date FR Cite

NPRM 07/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No
Energy Affected: No
Agency Contact: Lee Ann Duffy Assistant General Counsel, Office of General Counsel Commodity Futures Trading Commission 1155 21st Street NW., Washington, DC 20581Washington , DC 20581

Phone: 202 418-6763

E-Mail: lduffy@cftc.gov

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

View Related Documents

Title: Request for Comment on a Proposed Exemptive Order Relating to the Trading and Clearing of Options and Futures on the Shares of Precious Metal Commodity-Based ETFs

Abstract: Staff is considering recommending the Commission exempt the trading and clearing of options and futures on the shares of commodity-based exchange traded funds that hold or maintain direct exposure to gold, silver, palladium, platinum, or any combination thereof. The exemption would be from all requirements of the Commodity Exchange Act and Commission regulations to the extent necessary to permit: (1) the options to be traded on national securities exchanges; (2) the futures to be traded on designated contract markets registered with the SEC as limited purposes national securities exchanges; and (3) both the options and futures to be cleared by a registered derivatives clearing organization acting in its capacity as a registered securities clearing agency. As a condition of the relief, the Commission would receive daily large options position reports (LOPR) and would be able to initiate a special call on traders identified in the LOPR, if necessary. The order would be pursuant to section 717 of the Dodd-Frank Act to deal with determining the status of novel derivative products.

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

CFR Citation: None (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 7 USC 6(c); Dodd Frank sec 717; 7 USC 2(a)(1)(C)(i)(II))
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No
Agency Contact: Graham McCall Attorney-Advisor, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-6150

E-Mail: gmccall@cftc.gov

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

View Related Documents

Title: Position Limits for Commodity Derivatives Contracts

Abstract: The staff is considering recommending to the Commission a proposal to change and update the Commission's position limits regime. This proposal would expand the list of contracts on which Federal speculative limits would be set, provide an updated definition of bona fide hedging, provide for the adoption of the particular limits, conform associated reporting rules under part 19, establish aggregate position limits on Referenced Contracts (as defined in proposed section 150.1), and amend regulations 150.5 and 150.6 to address DCM and SEF set position limits.

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

CFR Citation: 17 CFR 150 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: CEA sec 4a; CEA sec 4c
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 07/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

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

Related RINs: Related to 3038-AD82
Agency Contact: Stephen Sherrod Senior Economist, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5452

FAX: 202 418-5527

E-Mail: ssherrod@cftc.govCommodity Futures Trading Commission ( CFTC ) RIN: 3038-AE01

View Related Documents

Title: Block Trading for Futures Contracts

Abstract: Staff is considering recommending that the Commission propose new and amended rules and amended acceptable practices concerning trading off the centralized market of a designated contract market (DCM), including minimum pre-trade transparency requirements on block trading, requests for cross, and requests for quotes.

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

CFR Citation: 17 CFR 38.500 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: sec 5 of the CEA (7 USC 7); sec 2(h) of the CEA (7 USC 2(h)); sec 8a(5) of the CEA (7 USC 12a(5)); as amended by title VII of the DoddFrank Wall Street Reform and Consumer Protection Act, PL 111-203, 124 Stat 1376 (2010)
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 07/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

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

Related RINs: Related to 3038-AD90
Agency Contact: Nancy Markowitz Deputy Director, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5453

E-Mail: nmarkowitz@cftc.gov
Agency Contact: Aaron Brodsky Special Counsel, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5349

E-Mail: abrodsky@cftc.gov

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

View Related Documents

Title: Regulation of Market Co-Location Services

Abstract: The Commission proposed regulations to ensure that any exchange that offers co-location services offers the services in a way that allows equal access to co-location by all market participants that choose to use the service, and that co-location services are priced in a fair, equitable, and reasonable

manner.

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

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 7 USC 1 et seq
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 06/11/2010 75 FR 33198

NPRM Comment Period End 07/12/2010

Final Action 09/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Agency Contact: Swati Shah Attorney Advisor, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5042

E-Mail: sshah@cftc.gov

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

View Related DocumentsTitle: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

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

Priority: Substantive, Nonsignificant 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 04/28/2011 76 FR 23732

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

NPRM Comment Period End 06/27/2011

NPRM Comment Period Extended End 07/11/2011

NPRM Further Notice 09/20/2011 76 FR 58176

NPRM Further Notice Comment Period End 11/04/2011

Final Action 12/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

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

Related RINs: Related to 3038-AD54
Agency Contact: John C. Lawton Deputy Director, Division of Clearing and Risk Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5480

FAX: 202 418-5528

E-Mail: jlawton@cftc.gov

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

View Related Documents

Title: Volcker Rule (Section 619)

Abstract: The Commission proposed requirements to 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: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: sec 619 of PL 111-203 (Dodd-Frank)
Legal Deadline:

Action Source Description Date

Other Statutory or other specified deadline 07/21/2012

Timetable:

Action Date FR Cite

NPRM 02/14/2012 77 FR 8332

NPRM Comment Period End 04/16/2012

Final Action 12/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Agency Contact: George Wilder Senior Assistant General Counsel, Office of the General Counsel Commodity Futures Trading Commission 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5142

E-Mail: gwilder@cftc.gov

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

View Related DocumentsTitle: Segregation and Bankruptcy: Protection of Collateral for Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy

Abstract: The Commission proposed rules for uncleared swaps transactions between a swap dealer or major swap participant and a counterparty that would govern the segregation of assets posted as collateral by the counterparty and rules thereunder.

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

CFR Citation: 17 CFR 23; 17 CFR 190 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: secs 713(c) and 724 of PL 111-203, 124 Stat 1376
Legal Deadline:

Action Source Description Date

Other Statutory 07/21/2011

Timetable:

Action Date FR Cite

NPRM 12/03/2010 75 FR 75432

NPRM Comment Period End 02/01/2011

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

NPRM Comment Period Extended End 06/03/2011

Final Action 07/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Agency Contact: Robert B. Wasserman Chief Counsel, Division of Clearing and Risk Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5092

FAX: 202 418-5528

E-Mail: rwasserman@cftc.gov

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

View Related Documents

Title: Forms 40 and 102; Ownership and Control Report

Abstract: The Commission proposed rules to refresh the content and automation of the CFTC Form 40 and 102 to fulfill current market surveillance information needs including swaps, and to eliminate inefficiencies and costs related to paper based submissions. The proposed rulemaking added data fields to Forms 40 and 102 to collect ownership and control reports (i.e., OCR) for certain trading accounts.

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: 7 USC 4a; 7 USC 4c(b); 7 USC 4g; 7 USC 4i; 7 USC 8a(5)
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 07/26/2012 77 FR 43968

NPRM Comment Period End 09/24/2012

Final Action 07/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Agency Contact: Sebastian Pujol-Schott Associate Director, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5641

E-Mail: sschott@cftc.gov

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

View Related Documents

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

Abstract: The Commission proposed rules to implement the following sections of the Dodd-Frank Wall Street Reform and Consumer Protection Act, insofar as they pertain to conflicts of interest, governance, and fitness: Section 726 (Rulemaking on Conflict of Interest); sections 725(c) and (d) (DCO Core Principles and Conflicts of Interest); section 735(b) (DCM Core Principles); and section 733 (SEF Core Principles).Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1; 17 CFR 37 to 40 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: secs 726, 725(c) and (d), 735(b) and 733 of the Dodd-Frank Act, PL 111-203
Legal Deadline:

Action Source Description Date

Other Statutory 07/15/2011

Timetable:

Action Date FR Cite

NPRM 01/06/2011 76 FR 722

NPRM Comment Period End 03/07/2011

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

NPRM Comment Period Extended End 06/03/2011

Final Action 12/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

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

Related RINs: Previously Reported as 3038-AD01; Related to 3038-AD37
Agency Contact: Alicia Lewis Special Counsel, Division of Clearing and Risk Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5862

E-Mail: alewis@cftc.gov

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

View Related Documents

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

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

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

CFR Citation: 17 CFR 1; 17 CFR 37 to 40 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: secs 726, 725(c) and (d), 735(b) and 733 of the Dodd-Frank Act, PL 111-203
Legal Deadline:

Action Source Description Date

Other Statutory 01/14/2011

Timetable:

Action Date FR Cite

NPRM 10/18/2010 75 FR 63732

NPRM Comment Period End 11/17/2010

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

NPRM Comment Period Extended End 06/03/2011

Final Action 12/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

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

Related RINs: Previously Reported as 3038-AD01; Related to 3038-AD36
Agency Contact: Alicia Lewis Special Counsel, Division of Clearing and Risk Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5862

E-Mail: alewis@cftc.gov

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

View Related Documents

Title: Capital Requirements for Swap Dealers and Major Swap Participants

Abstract: The Commission proposed capital requirements for swap dealers and major swap participants that are not banks, as required by section 731 of the Wall Street Transparency and Accountability Act of 2010.Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 1; 17 CFR 23; 17 CFR 140 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: sec 731 of PL 111-203 (Dodd-Frank)
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 05/12/2011 76 FR 27802

NPRM Comment Period End 07/11/2011

Final Action 12/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Agency Contact: Thomas J. Smith Chief Accountant and Deputy Director, Division of Swap Dealer and Intermediary Oversight Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5495

FAX: 202 418-5536

E-Mail: tsmith@cftc.gov

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

View Related Documents

Title: Cross-Border Application of Certain Swap Requirements

Abstract: Section 2(i) of the Commodity Exchange Act, which was enacted by section 722(d) of the Dodd-Frank Wall Street Reform and Consumer Protection (Dodd-Frank Act) provides that the swap-related provisions of the Dodd-Frank Act shall not apply to activities outside the United States unless those activities "have a direct and significant connection with activities in, or effect on, commerce of the United States," or contravene rules or regulations that the CFTC may promulgate to prevent evasion. The CFTC proposed guidance to clarify under what circumstances, certain foreign swap-related activities would meet that

standard.

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 722(d), Dodd-Frank Wall Street Reform and Consumer Protection Act
Legal Deadline: None

Timetable:

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

Comment Period End 08/27/2012
Second Proposed Interpretive Guidance and Policy Statement 01/07/2013 78 FR 909

Second Comment Period End 02/06/2013

Final Action 07/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of international interest.

Related RINs: Related to 3038-AD85
Agency Contact: Carlene Kim Deputy General Counsel, Office of the General Counsel Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5613

E-Mail: ckim@cftc.gov

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

View Related Documents

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

Abstract: The Commodity Futures Trading Commission proposed amendments to its regulations regarding requirements applicable to investment companies registered under the Investment Company Act of 1940 whose advisors will be subject to registration as commodity pool operators due to changes that the Commission is adopting.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule
Major: No Unfunded Mandates: NoCFR Citation: 17 CFR 4 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 7 USC 6n
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 02/24/2012 77 FR 11345

NPRM Comment Period End 04/24/2012

Final Action 07/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Agency Contact: Amanda Olear Special Counsel, Division of Swap Dealer and Intermediary Oversight Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5283

E-Mail: aolear@cftc.gov

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

View Related Documents

Title: Systemically Important Derivatives Clearing Organizations

Abstract: The Commission is considering finalizing portions of the following proposals related to cover 2 and 2 hour recovery time for Systemically Important DCOs: 3038-AC98, 3038-AD34 (75 FR 63113) and 3038-AD35 (76 FR 3698).

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

CFR Citation: 17 CFR 39 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: sec 5b of the Commodity Exchange Act; 7 USC 7a-1; sec 8a(5) of the Commodity Exchange Act; 7 USC 12a(5)
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM Comment Period End 12/13/0010

NPRM 10/14/2010 75 FR 63113

NPRM 01/20/2011 76 FR 3698

NPRM Comment Period End 03/21/2011

Final Action 07/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

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

Related RINs: Related to 3038-AC98; Related to 3038-AD02; Related to 3038-AD34; Related to 3038-AD35
Agency Contact: Laura Astrada Associate Chief Counsel, Division of Clearing and Risk Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-7622

E-Mail: lastrada@cftc.gov

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

View Related Documents

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

Abstract: The Commission proposed to adopt new regulations and amend existing regulations to require enhanced customer protections, risk management programs, internal monitoring and controls, capital and liquidity standards, customer disclosures, and auditing and examination programs for futures commission merchants (FCMs). The proposal also addresses certain related issues concerning derivatives clearing organizations (DCOs) and chief compliance officers (CCOs). The proposed rules will afford greater assurances to market participants that: customer segregated funds and secured amounts are protected; customers are provided with appropriate notice of the risks of futures trading and of the FCMs with which they may choose to do business; FCMs are monitoring and managing risks in a robust manner; the capital and liquidity of FCMs are sufficient to safeguard their continued operations; and the auditing and examination programs of the Commission and the self-regulatory organizations (SROs) are monitoring the activities of FCMs in a prudent and thorough manner.

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

CFR Citation: 17 CFR 1 and 3; 17 CFR 22; 17 CFR 30; 17 CFR 140 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 7 USC 6d; 7 USC 6(b); 7 USC 6(f)Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 11/14/2012 77 FR 67866

NPRM Comment Period End 01/14/2013

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

NPRM Comment Period End 02/15/2013

Final Action 09/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No
Energy Affected: No
Agency Contact: Thomas J. Smith Chief Accountant and Deputy Director, Division of Swap Dealer and Intermediary Oversight Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5495

FAX: 202 418-5536

E-Mail: tsmith@cftc.gov

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

View Related Documents

Title: Core Principle 9 for Designated Contract Markets

Abstract: On June 19, 2012, the Commission published final rules implementing regulations for 22 of the 23 core principles applicable to DCMs. In light of the comments regarding the proposed rules implementing Core Principle 9, the Commission determined not to finalize those rules along with rules implementing the other core principles in order to provide the Commission with additional time to consider the available alternatives. On June 5, 2012, the Commission held a public roundtable to discuss the proposed regulations implementing Core Principle 9. This rulemaking will finalize the proposed regulations implementing Core Principle 9.

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

CFR Citation: 17 CFR 38.500 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 17 CFR 38.500
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/22/2010 75 FR 80572

NPRM Comment Period End 02/22/2011

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

NPRM Comment Period End 04/18/2011

Comment Period Extended 05/04/2011 76 FR 25274

Comment Period End 06/03/2011

Final Action 07/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No
Energy Affected: No

Related RINs: Split From 3038-AD09
Agency Contact: Nancy Markowitz Deputy Director, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5453

E-Mail: nmarkowitz@cftc.gov
Agency Contact: Aaron Brodsky Special Counsel, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5349

E-Mail: abrodsky@cftc.gov

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

View Related Documents

Title: Clearing Exemption for Certain Swaps Entered Into by Cooperatives

Abstract: The proposed regulation would allow cooperatives meeting certain conditions to elect not to submit for clearing certain swaps that such cooperativeswould otherwise be required to clear in accordance with section 2(h)(1) of the CEA.

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 6(c)(6)(A); 7 USC 6(c)(6)(B)
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 07/17/2012 77 FR 41940

NPRM Comment Period End 08/16/2012

Final Action 07/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No
Agency Contact: Erik Remmler Deputy Director, Division of Swap Dealer and Intermediary Oversight Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street, Washington, DC 20581 Washington , DC 20581

Phone: 202 418-7630

E-Mail: eremmler@cftc.gov

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

View Related Documents

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

Abstract: The Commission proposed regulations to clarify certain responsibilities of a swap dealer or major swap participant regarding its employees who solicit, accept or effect swaps in clerical or ministerial capacity.

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

CFR Citation: 17 CFR 23 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 7 USC 12a(5)
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 04/08/2013 78 FR 20848

NPRM Comment Period End 06/07/2013

Final Action 09/00/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Agency Contact: Christopher W. Cummings Special Counsel, Division of Swap Dealer and Intermediary Oversight Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5450

FAX: 202 418-5528

E-Mail: ccummings@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-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) and requires the CFTC and SEC (Agencies) to jointly issue final rules and guidelines. The rules require financial institutions and creditors that are regulated by either or 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: Completed Action
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 162; 17 CFR 248 (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 03/06/2012 77 FR 13450

NPRM Comment Period End 05/07/2012

Joint Final Rules and Guidelines 04/19/2013 78 FR 23638

Final Action Effective 05/20/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Related Agencies: Joint : SEC
Agency Contact: Sue McDonough

Counsel Commodity Futures Trading Commission 1155 21st Street, NW, Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5132

E-Mail: smcdonough@cftc.gov

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

View Related Documents

Title: Core Principles and Other Requirements for Swap Execution Facilities

Abstract: The Commission proposed rules to implement 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 if adopted 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: Completed Action
Major: Yes 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 DoddFrank 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

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

NPRM Comment Period Extended End 06/03/2011

Final Action 06/04/2013 78 FR 33476

Final Action Effective 08/05/2013

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: Amir Zaidi Special Counsel, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-6770

FAX: 202 418-5507

E-Mail: azaidi@cftc.gov

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

View Related Documents

Title: Exemption for Swaps Between Certain Affiliated Entities

Abstract: The Commission adopted rules to provide that swaps between certain affiliates may not be required to be submitted for clearing, subject to certain

conditions.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action
Major: Yes Unfunded Mandates: No

CFR Citation: 17 CFR 39.6 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: PL 111-203, sec 723(a), Dodd-Frank Wall Street Reform and Consumer Protection Act; 7 USC 12a(5)
Legal Deadline: NoneTimetable:

Action Date FR Cite

NPRM 08/21/2012 77 FR 50425

NPRM Comment Period End 09/20/2012

Final Action 04/11/2013 78 FR 21750

Final Action Effective 06/10/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Agency Contact: Erik Remmler Deputy Director, Division of Swap Dealer and Intermediary Oversight Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street, Washington, DC 20581 Washington , DC 20581

Phone: 202 418-7630

E-Mail: eremmler@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD66

View Related Documents

Title: Dual and Multiple Associations of Persons Associated With Swap Dealers and Major Swap Participants and Other Commission Registrants

Abstract: The Commodity Futures Trading Commission (Commission or CFTC) adopted regulations that clarify the rights and responsibilities of swap dealers (SDs), major swap participants (MSPs) and other Commission registrants with respect to their association with a person who is also an associated person of another SD, MSP, or other Commission registrant. The regulations expressly obligate each SD, MSP or other registrant to supervise the associated person and subject each of them to joint and several responsibility for the activities of the associated person with respect to their common customers.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action
Major: Yes Unfunded Mandates: No

CFR Citation: 17 CFR 3; 17 CFR 23 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 7 USC 1a; 7 USC 2; 7 USC 6 to 6c; 7 USC 6p; 7 USC 6s; 7 USC 9 and 9a; 7 USC 13b to 13c; 7 USC 16a; 7 USC 18; 7 USC 19; 7 USC 21, as amended by the Dodd-Frank Act
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 06/15/2012 77 FR 35892

NPRM Comment Period End 08/14/2012

Final Action 04/08/2013 78 FR 20788

Final Action Effective 06/07/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Agency Contact: Israel Goodman Special Counsel, Division of Swap Dealer and Intermediary Oversight Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-6715

E-Mail: igoodman@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD68

View Related Documents

Title: Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Further Measures To Protect the Identities of Parties To Swap Transactions

Abstract: The Commodity Futures Trading Commission proposed regulations to implement section 727 of the Dodd-Frank Act. The Commission proposed regulations that would define the criteria for grouping swaps into separate swap categories and would establish methodologies for setting appropriate minimum block sizes for each swap category. In addition, the Commission proposed further measures under part 43 of the Commission's regulations to prevent the public disclosure of the identities, business transactions, and market positions of swap market participants. This rule will include consideration of 3038-AD84.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 43 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: PL 111-203; sec 727; Dodd-Frank Wall Street Reform and Consumer Protection Act
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 03/15/2012 77 FR 15460

NPRM Comment Period End 05/14/2012Final Action 05/31/2013 78 FR 32866

Final Action Effective 07/30/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

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

Related RINs: Merge with 3038-AD84; Previously Reported as 3038-AD08
Agency Contact: John Dunfee Attorney-Advisor, Office of General Counsel Commodity Futures Trading Commission Three Lafayette Center , 1155 21st Street NW., Washington , DC 20581 Washington , DC 20581

Phone: 202 418-5396

E-Mail: jdunfee@cftc.gov
Agency Contact: George Pullen Economist, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-6709

E-Mail: gpullen@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD69

View Related Documents

Title: Process To Make a Swap Available To Trade

Abstract: The Commission issued a further notice of proposed rulemaking seeking comment on proposed rules that would establish 1) A filing process under part 40 of the Commission's regulations for a designated contract market (DCM) or swap execution facility (SEF) to notify the Commission that it has determined that a swap is "available to trade"; 2) factors that a DCM or SEF must consider to make an "available to trade" determination; and 3) the meaning and parameters of "economically equivalent swap." The Commission will finalize regulations proposed in 3038-AD89 to establish a schedule to phase in compliance with the trade execution requirement in this rulemaking. The schedule will provide additional time for compliance with this requirement.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 37; 17 CFR 38 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: Sec 2(h)(8) of the Commodity Exchange Act (as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act)
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/14/2011 76 FR 77728

NPRM Comment Period End 02/13/2012

Final Action 06/04/2013 78 FR 33606

Final Action Effective 08/05/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

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

Related RINs: Merge with 3038-AD89
Agency Contact: Nhan H. Nguyen Special Counsel, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5932

E-Mail: nnguyen@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD84

View Related Documents

Title: Rules Prohibiting the Aggregation of Orders to Satisfy Minimum Block Sizes or Cap Size Requirements, and Establishing Eligibility Requirements for

Parties to Block Trades

Abstract: The Commission issued a notice of proposed rulemaking to add certain provisions to part 43 of the Commission's regulations pertaining to block trades in swap contracts. The provisions would: (i) Prohibit the aggregation of orders for different trading accounts in order to satisfy the minimum block size or cap size requirements, except for orders aggregated by certain commodity trading advisors (CTAs), investment advisers and foreign persons, if such person has more than $25,000,000 in total assets under management (AUM); (ii) provide that parties to a block trade must individually qualify as eligible contract participants (ECPs), except where a designated contract market allows certain CTAs, investment advisers and foreign persons to transact block trades for customers who are not ECPs, if such CTA, investment adviser or foreign person has more than $25,000,000 in total AUM; and (iii) require that persons transacting block trades on behalf of customers must receive prior written instruction or consent from the customer to do so. This rule will be considered in 3038-

AD68.

Priority: Other Significant Agenda Stage of Rulemaking: Completed ActionMajor: No Unfunded Mandates: No

CFR Citation: 17 CFR 43.6 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: Dodd-Frank sec 727, adding CEA secs 2(a)(13)(ii)-(iii)
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 06/27/2012 77 FR 38229

NPRM Comment Period End 07/27/2012

Final Action 05/31/2013 78 FR 32866

Final Action Effective 07/30/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Related RINs: Merge with 3038-AD68
Agency Contact: John Dunfee Attorney-Advisor, Office of General Counsel Commodity Futures Trading Commission Three Lafayette Center , 1155 21st Street NW., Washington , DC 20581 Washington , DC 20581

Phone: 202 418-5396

E-Mail: jdunfee@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD85

View Related Documents

Title: Exemptive Order Regarding Compliance With Certain Swap Regulations

Abstract: The Commission issued a notice of Proposed Exemptive Order (and Request for Comment) under which the Commodity Futures Trading Commission (Commission) would grant, pursuant to section 4(c) of the Commodity Exchange Act (CEA), temporary exemptive relief in order to allow non-U.S. swap dealers and non-U.S. major swap participants to delay compliance with certain entity-level requirements of the CEA (and Commission regulations promulgated thereunder), subject to specified conditions. Additionally, with respect to transaction-level requirements of the CEA (and Commission regulations promulgated thereunder), the relief would allow non-U.S. swap dealers and non-U.S. major swap participants, as well as foreign branches of U.S. swap dealers and major swap participants, to comply only with those requirements as may be required in the home jurisdiction of such non-U.S. swap dealers and non-U.S. major swap participants (or in the case of foreign branches of a U.S. swap dealer or U.S. major swap participant, the foreign location of the branch) for swaps with non-U.S. counterparties. This relief is effective until July 12, 2013.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action
Major: Yes Unfunded Mandates: No

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

Timetable:

Action Date FR Cite

NPRM 07/12/2012 77 FR 41110

NPRM Comment Period End 08/13/2012

Final Action 01/07/2013 78 FR 858
Final Action Expires 07/12/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Related RINs: Related to 3038-AD57
Agency Contact: Carlene Kim Deputy General Counsel, Office of the General Counsel Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5613

E-Mail: ckim@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD86

View Related Documents

Title: Clearing Requirement Determination Under Section 2(h) of the CEA

Abstract: The Commodity Futures Trading Commission finalized new rules to require certain credit default swaps (CDS) and interest rate swaps to be cleared by registered clearing organizations (DCOs).

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 50 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 7 USC 2(h)Legal Deadline:

Action Source Description Date

Other Statutory 07/21/2011

Timetable:

Action Date FR Cite

NPRM 08/07/2012 77 FR 47170

NPRM Comment Period End 09/06/2012

Final Action 12/13/2012 77 FR 74284

Final Action Effective 02/11/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No
Energy Affected: No
Agency Contact: Sarah E. Josephson Deputy Director, Division of Clearing and Risk Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5684

E-Mail: sjosephson@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD89

View Related Documents

Title: Swap Transaction Compliance and Implementation Schedule; Trade Execution Requirement Under Section 2(h) of the CEA

Abstract: The Commodity Futures Trading Commission is considering finalizing regulations to establish a schedule to phase in compliance with the trade execution requirement. The schedule will provide additional time for compliance with this requirement. This proposed rule will be finalized in 3038-AD69.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 37.12; 17 CFR 38.11 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: PL 111-203, sec 712(f), Dodd-Frank Wall Street Reform and Consumer Protection Act; 7 USC 12a(5)
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/14/2011 76 FR 77728

NPRM Comment Period End 02/13/2012

Final Action 06/04/2013 78 FR 33606

Final Action Effective 08/05/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No
Energy Affected: No

Related RINs: Duplicate of 3038-AD69
Agency Contact: Nhan H. Nguyen Special Counsel, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5932

E-Mail: nnguyen@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD91

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Title: Adaptation of Regulations To Incorporate Swaps, Records of Transactions (Rules 1.31 and 1.35)

Abstract: The Commission adopted certain conforming amendments to recordkeeping provisions of regulations 1.31 and 1.35(a) to integrate these regulations more fully with the new framework created by the Dodd-Frank Act. Under the amended rule, various market participants are required to record under 1.35(a) certain oral and written communications and to keep those records pursuant to regulation 1.31.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action
Major: Yes Unfunded Mandates: No

CFR Citation: 17 CFR 1 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: PL-111-203; 7 USC 1 et seq
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 06/07/2011 76 FR 33066NPRM Comment Period End 08/08/2011

Final Action 12/21/2012 77 FR 75523

Final Action Effective 02/19/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No
Energy Affected: No
Agency Contact: Katherine Driscoll Associate Director, Division of Swap Dealer and Intermediary Oversight Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5544

E-Mail: kdriscoll@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD94

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Title: Order Exempting, Pursuant to Authority in Section 4(c) of the Commodity Exchange Act, Certain Transactions Between Entities Described in Section 201(f) of the Federal Power Act

Abstract: The Commodity Futures Trading Commission is exempting certain transactions between entities described in section 201(f) of the Federal Power Act, and/or other electric utility cooperatives, from the provisions of the Commodity Exchange Act and the Commission's regulations, subject to certain anti-fraud, anti-manipulation, and record inspection conditions. Authority for this exemption is found in section 4(c) of the CEA.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action
Major: No Unfunded Mandates: No

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

Timetable:

Action Date FR Cite

NPRM 08/23/2012 77 FR 50998

NPRM Comment Period End 09/24/2012

Final Action 04/02/2013 78 FR 19670

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Related RINs: Related to 3038-AD01
Agency Contact: Graham McCall Attorney-Advisor, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-6150

E-Mail: gmccall@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD96

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Title: Antidisruptive Practices Authority

Abstract: The Commodity Futures Trading Commission (the Commission or CFTC) is considering issuing an interpretive guidance and policy statement (interpretive statement) to provide guidance on section 747 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act), which prohibits certain disruptive trading, practices, or conduct as set forth in new section 4c(a)(5) of the Commodity Exchange Act (the CEA). This interpretive statement will provide market participants and the public with guidance on the scope and application of the statutory prohibitions set forth in CEA section 4c(a)(5).

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action
Major: No Unfunded Mandates: No

CFR Citation: None (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: CEA sec 4c(a)(5)
Legal Deadline: None

Timetable:

Action Date FR Cite
Proposed Interpretative Order 03/18/2011 76 FR 14943
Proposed Interpretative Order Comment Period End 05/17/2011

Final Action 05/28/2013 78 FR 31890

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: NoEnergy Affected: No
Agency Contact: Vincent McGonagle Deputy Director, Division of Enforcement Commodity Futures Trading Commission 1155 21st Street, NW, Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5387

E-Mail: vmcgonagle@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD97

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Title: Final Order in Response to a Petition From Certain Independent System Operators and Regional Transmission Organizations To Exempt Specified

Transactions

Abstract: The Commission issued a final rule exempting specified transactions from the provisions of the CEA and Commission regulations for certain electricity-related transactions entered into on markets administered by regional transmission organizations (RTOs) or independent system operators (ISOs).

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action
Major: No Unfunded Mandates: No

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

Timetable:

Action Date FR Cite
Notice of Proposed Order and Request for Comment 08/28/2012 77 FR 52138

Comment Period End 09/27/2012

Final Action 04/02/2013 78 FR 19880

Final Action Effective 04/02/2013

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Related RINs: Duplicate of 3038-AE02
Agency Contact: Laura Astrada Associate Chief Counsel, Division of Clearing and Risk Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-7622

E-Mail: lastrada@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE03

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Title: Reassignment of Commission Staff Responsibilities and Delegations of Authority

Abstract: The Commodity Futures Trading Commission amended its regulations to reflect the reassignment of responsibilities, including delegations of authority, resulting from a reorganization that abolished the Division of Clearing and Intermediary Oversight and reassigned the former division's staff and responsibilities to the newly established Division of Swap Dealer and Intermediary Oversight and Division of Clearing and Risk.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1; 17 CFR 3; 17 CFR 5; 17 CFR 9; 17 CFR 11; 17 CFR 31; 17 CFR 40; 17 CFR 41; 17 CFR 140; 17 CFR 145; 17 CFR 170; 17 CFR 171; 17 CFR 190 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 7 USC 2(a)(12); 7 USC 13(c); 7 USC 13(d); 7 USC 13(e); 7 USC 16(b)
Legal Deadline: None

Timetable:

Action Date FR Cite

Direct Final Rule 04/16/2013 78 FR 22418

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Agency Contact: Frank Fisanich Chief Counsel, Division of Swap Dealer and Intermediary Oversight Commodity Futures Trading Commission Three Lafayette Center, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5949

E-Mail: ffisanich@cftc.gov
Agency Contact: Robert B. Wasserman Chief Counsel, Division of Clearing and RiskCommodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5092

FAX: 202 418-5528

E-Mail: rwasserman@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE04

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Title: Delegation of Authority to Disclose Confidential Information to a Contract Market, Registered Futures Association or Self-Regulatory Organization

Abstract: The Commodity Futures Trading Commission revised its regulations to expand a previous delegation of authority to staff to make certain statutorilyauthorized disclosures of information to self-regulatory organizations. The expanded delegation now includes all registered entities as defined in the Commodity Exchange Act, as amended by the Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 140 (To search for a specific CFR, visit the Code of Federal Regulations )
Legal Authority: 7 USC 2(a)(12); 7 USC 12(b)
Legal Deadline: None

Timetable:

Action Date FR Cite

Direct Final Rule 04/11/2013 78 FR 21522

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No
Agency Contact: David P. Van Wagner Chief Counsel, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5481

FAX: 202 418-5527

E-Mail: dvanwagner@cftc.gov
Agency Contact: Robert B. Wasserman Chief Counsel, Division of Clearing and Risk Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Washington , DC 20581

Phone: 202 418-5092

FAX: 202 418-5528

E-Mail: rwasserman@cftc.gov