BILLING CODE 6351-01

COMMODITY FUTURES TRADING COMMISSION 

17 CFR Ch. 1 

Regulatory Flexibility Agenda 

AGENCY: Commodity Futures Trading Commission 

ACTION: Semiannual regulatory agenda 

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

Regulatory Flexibility Act, is publishing a semiannual agenda of significant rules that the Commission 

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

entities and others on the agenda. 

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

Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 

20581, (202) 418-5516, mjurgens@cftc.gov. 

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

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

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

contain: 

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

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

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

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

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

rulemaking; and 

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

(1). 5 U.S.C. 602(a). 

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

during the course of the next year. These rules may have some impact on small entities.1

 In this regard, 

 

1 The Commission published its definition of a “small entity” for purposes of rulemaking proceedings at 47 FR 18618 (April 30, 

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

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

Commission has previously certified, under section 605 of the RFA, 5 U.S.C. 605, that 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 

1
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 2013 regulatory flexibility agenda is set forth below. 

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

Melissa D. Jurgens 

Secretary of the Commission 

 

flexibility analysis. Rather, the Commission has chosen to publish an agenda that includes significant rules, regardless of their 

potential impact on small entities, to provide the public with broader notice of new or revised regulations the Commission may 

consider and to enhance the public’s opportunity to participate in the rulemaking process. 

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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-AD96

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Final 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 respective

4
primary financial regulatory agencies. Specifically, the recommendation would require registrants and registered entities supervised by the Commodity Futures

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

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

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

Major: Undetermined Unfunded Mandates: No

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

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

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 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:

5
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 20581

6
Washington , 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.gov

7
Commodity 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 Documents

8
Title: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Abstract: The Commission proposed requirements for initial and variation margin for swap transactions that are not cleared, as required by section 731 of the

Wall Street Transparency and Accountability Act of 2010.

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 Documents

9
Title: Segregation and Bankruptcy: Protection of Collateral for Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity

Broker Bankruptcy

Abstract: The 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).

10
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.

11
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: No

12
CFR Citation: 17 CFR 4 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 6n

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 02/24/2012 77 FR 11345 

NPRM Comment Period End 04/24/2012 

Final Action 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)

13
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 cooperatives

14
would 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:

15
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: None

16
Timetable:

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 05/14/2012 

17
Final 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 Action

18
Major: 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

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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)

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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

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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 33066 

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NPRM 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: No

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Energy 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 Risk

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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-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

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