COMMODITY FUTURES TRADING COMMISSION 

17 CFR Ch. I 

Regulatory Flexibility Agenda 

AGENCY: Commodity Futures Trading Commission. 

ACTION: Semiannual regulatory agenda. 

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

requirements of the Regulatory Flexibility Act, is publishing a semiannual agenda of 

significant rules that the Commission expects to propose or promulgate over the next 

year. The Commission welcomes comments from small entities and others on the 

agenda. 

FOR FURTHER INFORMATION CONTACT: Sauntia S. Warfield, Commodity Futures 

Trading Commission, 1155 21st Street NW., Washington, DC 20581, (202) 418-5084, 

swarfield@cftc.gov. 

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

601, et seq. sets forth a number of requirements for agency rulemaking. Among other 

things, the RFA requires that: 

Regulations.gov Friday, January 20, 2012 Unified Agenda

1
 Semiannually, each agency shall publish in the Federal Register a regulatory 

flexibility agenda that shall contain: 

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

propose or promulgate, which is likely to have a significant economic impact on a 

substantial number of small entities; 

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

area listed in the agenda pursuant to paragraph (1), the objectives and legal basis for 

the issuance of the rule, and an approximate schedule for completing action on any rule 

for which the agency has issued a general notice of proposed rulemaking; and 

 (3) The name and telephone number of an agency official knowledgeable about the 

items listed in paragraph (1), 5 U.S.C. 602(a). 

 The Commission has prepared an agenda of significant rules that it presently 

expects may be considered during the course of the next year. These rules may have 

some impact on small entities. 1

 In this regard, section 602(d) of the RFA, 5 U.S.C. 

 

1

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

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

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

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

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

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

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

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

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

Regulations.gov Friday, January 20, 2012 Unified Agenda

2
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 fall 2011 regulatory flexibility agenda is set forth below. 

Issued in Washington, DC, on October 5, 2011, by the Commission. 

NAME: David A. Stawick, 

Secretary of the Commission. 

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

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

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

the near future. 

Regulations.gov Friday, January 20, 2012 Unified Agenda

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The 68 Regulatory Agendas

Commodity Futures Trading Commission - Proposed Rule

Title

Regulation 

Identifier 

Number

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

Contracts To Qualify as Non-Narrow-Based Indices 3038-AB75

Volcker Rule (Section 619) 3038-AD05

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

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

Clearing Exception for Swaps Between Certain Affiliates 3038-AD47

Systems Testing and Monitoring Regime for Market Participants 3038-AD52

Extra-Territorial Application of Certain Swap Requirements 3038-AD57

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

Commodity Futures Trading Commission - Final Rule

Title

Regulation 

Identifier 

Number

Investment of Customer Funds 3038-AC79

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

Regulation of Market Co-Location Services 3038-AC92

Registration of Swap Dealers and Major Swap Participants 3038-AC95

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

Segregation & Bankruptcy: Protection of Cleared Swaps Customer Contracts and Collateral Conforming Amendments to the Commodity Broker

Bankruptcy Provisions 3038-AC99

Investment Adviser Reporting (Section 406) 3038-AD03

Further Definitions of Swap Dealer, Major Swap Participant, and Eligible Contract Participant 3038-AD06

Real Time Public Reporting of Swaps Transactions 3038-AD08

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

End-User Clearing Exception 3038-AD10

Position Limits for Derivatives 3038-AD16

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

New Registration Requirements for Foreign Boards of Trade 3038-AD19

Swap Data Recordkeeping and Reporting Requirements 3038-AD22

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

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

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

Broker Bankruptcy 3038-AD28

Reporting and Recordkeeping for Post-Enactment Swaps 3038-AD29

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

General Regulations and Derivatives Clearing Organizations 3038-AD32

Information Management Requirements for Derivatives Clearing Organizations 3038-AD33

Financial Resources Requirements for Derivatives Clearing Organizations 3038-AD34

Risk Management Requirements for Derivatives Clearing Organizations 3038-AD35

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

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

Mitigation of Conflicts of Interest 3038-AD37

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

MSP 3038-AD38

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

Introducing Brokers 3038-AD39

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

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

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

Major Swap Participants 3038-AD42

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

Swap Participants 3038-AD43

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

Participants 3038-AD44

Regulations.gov Friday, January 20, 2012 Unified Agenda

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

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

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

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

Registration of Intermediaries 3038-AD50

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

Adaptation of Regulations to Incorporate Swaps 3038-AD53

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

Clearing Member Risk Management 3038-AD55

Customer Clearing Documentation and Timing of Acceptance for Clearing 3038-AD56

Swap Transaction Compliance Implementation Schedules 3038-AD59

Mandatory Clearing and Trade Execution Compliance Schedule 3038-AD60

Commodity Options Rulemaking 3038-AD62

Commodity Futures Trading Commission - Completed Action

Title

Regulation 

Identifier 

Number

Registration and Compliance Exemptions for Commodity Pool Operators of Exchange-Listed Commodity Pools 3038-AC46

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

Account Ownership and Control Reports 3038-AC63

Process for Review of Swaps for Mandatory Clearing 3038-AD00

Whistleblowers 3038-AD04

Part 40, Rule Certification and Approval Procedures 3038-AD07

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

Disposal and Affiliate Sharing of Consumer, Nonpublic Information Under Fair and Accurate Credit Transactions Act of 2003 and Fair Credit Reporting

Act 3038-AD12

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

Position Report for Physical Commodity Swaps 3038-AD17

Swap Data Repositories 3038-AD20

Agricultural Swaps 3038-AD21

Defining Agricultural Commodity 3038-AD23

Anti-Manipulation 3038-AD27

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

 View Related Documents

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

Contracts To Qualify as Non-Narrow-Based Indices

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

appropriate to permit the offer and sale to United States persons of security futures products traded on or subject to the rules of a foreign board of trade, and (2)

rules and regulations that set forth the requirements for foreign stock index contracts to qualify as non-narrow-based indices.

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

Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

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

Legal Deadline: 

Action Source Description Date

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

2000. 12/21/2001 

Other Statutory Pursuant to the Food, Conservation and Energy Act of 2008, PL 110-246, sec 13106. 06/30/2009 

Timetable:

Action Date FR Cite

NPRM 03/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 3038-AB78

Agency Contact: Julian E. Hammar 

Assistant General Counsel, Office of General Counsel

Commodity Futures Trading Commission

Regulations.gov Friday, January 20, 2012 Unified Agenda

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Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5118 

FAX: 202 418-5524

E-Mail: jhammar@cftc.gov

Agency Contact: Thomas M. Leahy Jr.

Associate Director for Product Review, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5278 

FAX: 202 418-5527

E-Mail: tleahy@cftc.gov

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

 View Related Documents

Title: Volcker Rule (Section 619)

Abstract: Rulemaking would implement section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which requires limitations on

proprietary trading, investment in hedge funds, and other activities by financial institutions.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 619 of PL 111-203 (Dodd-Frank)

Legal Deadline: 

Action Source Description Date

Other Statutory or other specified deadline 07/21/2012 

Timetable:

Action Date FR Cite

NPRM 12/00/2011 

NPRM Comment Period End 02/00/2012 

Final Action 04/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Paul Schlichting

Special Counsel, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5927 

E-Mail: pschlichting@cftc.gov

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

 View Related Documents

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

Abstract: Section 1088 of the Dodd-Frank Wall Street Reform and Consumer Protection Act contains amendments to section 621 of the Fair Credit Reporting

Act (FCRA). These amendments add the CFTC and the SEC (together referred to as the Agencies) to the list of Federal agencies that are required to

promulgate regulations relating to the development and implementation of identity theft programs under the FCRA. The Agencies' rules implementing section 621

of the FCRA will require financial institutions and creditors that are regulated by either 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: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 111-203, sec 1088, Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/00/2011 

NPRM Comment Period End 02/00/2012 

Regulations.gov Friday, January 20, 2012 Unified Agenda

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Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related Agencies: Joint : SEC

Agency Contact: Carl E. Kennedy 

Counsel, Office of the General Counsel

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-6625 

E-Mail: c_kennedy@cftc.gov

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

 View Related Documents

Title: Forms 40 and 102; Ownership and Control Report

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

and costs related to paper based submissions. Also, this rulemaking will consider adding 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: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 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 12/00/2011 

NPRM Comment Period End 12/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Donald H. Heitman

Senior Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5041 

FAX: 202 418-5507

E-Mail: dheitman@cftc.gov

Agency Contact: Ryne Miller

Attorney Advisor, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW

Washington , DC 20581 

Phone: 202 418-5921 

FAX: 202 418-5527

E-Mail: rmiller@cftc.gov

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

 View Related Documents

Title: Clearing Exception for Swaps Between Certain Affiliates

Abstract: Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act contains a general requirement that swaps that are subject to a clearing

mandate must be submitted for clearing to a registered derivatives clearing organization. The CFTC is considering proposing a rule providing 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: Proposed Rule

Major: Undetermined 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

Timetable:

Action Date FR Cite

Regulations.gov Friday, January 20, 2012 Unified Agenda

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NPRM 12/00/2011 

NPRM Comment Period End 01/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Lee Ann Duffy 

Assistant General Counsel, Office of General Counsel

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-6763 

E-Mail: lduffy@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD52

 View Related Documents

Title: Systems Testing and Monitoring Regime for Market Participants

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

testing and supervision regime designed to ensure that electronic trading systems are tested and supervised by trained personnel and that appropriate risk

controls are in place.

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

Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 6c(a) and 6g; 7 USC 7(d) and 7b-3; 7 USC 9 and 15; 7 USC 12(a)(5)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Christopher Russell-Wood 

Systems Risk Management, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5280 

E-Mail: crussell-wood@cftc.gov

Agency Contact: Stephen Surina

Industry Economist, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5709 

E-Mail: ssurina@cftc.gov

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

 View Related Documents

Title: Extra-Territorial 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 is considering proposing rules to determine under what circumstances, certain foreign swap-related activities would

meet that standard.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 111-203, sec 722(d), Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: None

Timetable:

Regulations.gov Friday, January 20, 2012 Unified Agenda

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Action Date FR Cite

NPRM 12/00/2011 

NPRM Comment Period End 01/00/2012 

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.

Agency Contact: Gary Barnett

Director, Division of Swap Intermediary Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5977 

E-Mail: gbarnett@cftc.gov

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

 View Related Documents

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

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

exchange that offers such services offers the services in a way that allows equal access to co-location by all market participants that choose to use the service,

and that co-location services are priced an a fair, equitable and reasonable manner. In this context the proposal will only address latency requirements.

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 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Melissa Mitchell

Attorney Advisor, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5448 

E-Mail: mmitchell@cftc.gov

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

 View Related Documents

Title: Investment of Customer Funds

Abstract: The Commodity Futures Trading Commission is issuing a Notice of Proposed Rulemaking in which it seeks public comment on possible changes to

its regulations regarding the investment of customer funds segregated pursuant to section 4d of the Commodity Exchange Act (17 CFR 1.25) and funds held in

an account subject to Commission Regulation 30.7 (17 CFR 30.7). The Commission is considering significantly revising the scope and character of permitted

investments and is requesting public comment before issuing proposed rule amendments. This rulemaking complies with the requirements of Dodd-Frank that

directs agencies to renew their regulations and remove any references to or reliance on credit ratings.

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

Major: No Unfunded Mandates: No

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

Legal Authority: 7 USC 6d; 7 USC 6; PL 111-203, sec 939A, Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: None

Timetable:

Action Date FR Cite

ANPRM 05/22/2009 74 FR 23962 

ANPRM Comment Period End 07/21/2009 

NPRM 11/03/2010 75 FR 67642 

NPRM Comment Period End 12/03/2010 

Regulations.gov Friday, January 20, 2012 Unified Agenda

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 01/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Jon DeBord

Attorney-Advisor, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5478 

E-Mail: jdebord@cftc.gov

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

 View Related Documents

Title: Acknowledgment Letters for Customer Funds and Secured Amount Funds

Abstract: The Commission is proposing to amend its regulations regarding the required content of the acknowledgment letter that a registrant must obtain from

any depository holding its segregated customer funds or funds of foreign futures or foreign options customers.

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

Major: No Unfunded Mandates: No

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

Legal Authority: 7 USC 1a and 2; 7 USC 5 and 6; 7 USC 6a to 6p; 7 USC 7; 7 USC 7a and 7b; 7 USC 8 and 9; 7 USC 12 and 12a; 7 USC 12c and 13a; 7

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

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 02/20/2009 74 FR 7838 

NPRM Comment Period End 03/23/2009 

Reproposal 08/09/2010 75 FR 47738 

NPRM Comment Period End 09/08/2010 

Final Action 01/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC72

Agency Contact: Heidi Rauh

Attorney Advisor, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

525 West Monroe Street, Suite 1100

Chicago , IL 60661 

Phone: 312 596-0644 

E-Mail: hrauh@cftc.gov

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

 View Related Documents

Title: Regulation of Market Co-Location Services

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

exchange that offers such services offers the services in a way that allows equal access to co-location by all market participants that choose to use the service,

and that co-location services are priced in a fair, equitable, and reasonable manner.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: 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 

Regulations.gov Friday, January 20, 2012 Unified Agenda

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Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Melissa Mitchell

Attorney Advisor, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5448 

E-Mail: mmitchell@cftc.gov

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

 View Related Documents

Title: Registration of Swap Dealers and Major Swap Participants

Abstract: The proposed regulation would provide for the registration of swap dealers and major swap participants and the exceptions pursuant to which they

may have associated with persons subject to a statutory disqualification.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 731 of PL 111-203 (Dodd-Frank)

Legal Deadline: 

Action Source Description Date

Other Statutory Or other specified deadline 07/21/2011 

Timetable:

Action Date FR Cite

NPRM 11/23/2010 75 FR 71379 

NPRM Comment Period End 01/24/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Barbara Stern Gold 

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5450 

FAX: 202 418-5528

E-Mail: bgold@cftc.gov

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

 View Related Documents

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

Abstract: The Commission will propose the issuance of proposed rulemaking relating to requirements for initial and variation margin for swap transactions that

are not cleared, as required by section 731 of the Wall Street Transparency and Accountability Act of 2010.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: 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 Statutory timeframe for mandatory rulemakings where no other deadline is specified. 07/15/2011 

Timetable:

Action Date FR Cite

NPRM 04/28/2011 76 FR 23732 

Regulations.gov Friday, January 20, 2012 Unified Agenda

11
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 

Final Action 03/00/2012 

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 Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5480 

FAX: 202 418-5528

E-Mail: jlawton@cftc.gov

Agency Contact: Thelma Diaz

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5137 

FAX: 202 418-5536

E-Mail: tdiaz@cftc.gov

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

 View Related Documents

Title: Segregation & Bankruptcy: Protection of Cleared Swaps Customer Contracts and Collateral Conforming Amendments to the Commodity Broker

Bankruptcy Provisions

Abstract: The final regulation would promulgate rules governing protection of customer property (including but not limited to segregation) for cleared swaps, and

appropriate conforming changes to the Commission's Bankruptcy Rules.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

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

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

Legal Deadline: 

Action Source Description Date

Other Statutory Statutory timeframe for mandatory rulemakings where no other deadline is specified 07/15/2011 

Timetable:

Action Date FR Cite

ANPRM 12/02/2010 75 FR 75162 

ANPRM Comment Period End 01/18/2011 

Public Roundtable 06/03/2011 76 FR 31518 

NPRM 06/09/2011 76 FR 33818 

NPRM Comment Period End 08/08/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 3038-AD28

Agency Contact: Robert B. Wasserman 

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5092 

FAX: 202 418-5528

E-Mail: rwasserman@cftc.gov

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

 View Related Documents

Regulations.gov Friday, January 20, 2012 Unified Agenda

12
Title: Investment Adviser Reporting (Section 406)

Abstract: The Commission and the Securities and Exchange Commission are required, after consultation with the Financial Stability Oversight Counsel, to

jointly issue rules establishing the form and content of reports required to be filed with the Commission and the Securities and Exchange Commission by

investment advisers that are registered under the Private Fund Investment Advisers Registration Act of 2010, and the Commodity Exchange Act.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

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

Legal Deadline: 

Action Source Description Date

Other Statutory or other specified deadline 07/21/2011 

Timetable:

Action Date FR Cite

NPRM 02/11/2011 76 FR 8068 

NPRM Comment Period End 04/12/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Kevin Walek

Assistant Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5463 

E-Mail: kwalek@cftc.gov

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

 View Related Documents

Title: Further Definitions of Swap Dealer, Major Swap Participant, and Eligible Contract Participant

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

jointly further define certain terms (specifically "swap dealer," "security-based swap dealer," "major swap participant," "major security-based swap participant," and

"eligible contract participant").

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 1.3 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 111-203, sec 712, sec 721(c) Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: 

Action Source Description Date

Other Statutory Statutory timeframe for mandatory rulemakings where no other deadline is specified 07/15/2011 

Timetable:

Action Date FR Cite

ANPRM 08/13/2010 75 FR 51429 

ANPRM Comment Period End 09/20/2010 

NPRM 12/21/2010 75 FR 80174 

NPRM Comment Period End 02/22/2011 

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

Public Meeting 06/06/2011 76 FR 34667 

NPRM Comment Period Extended End 06/03/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related Agencies: Joint : SEC

Agency Contact: Jeffrey P. Burns 

Assistant General Counsel, Office of the General Counsel

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5101 

E-Mail: jburns@cftc.gov

Regulations.gov Friday, January 20, 2012 Unified Agenda

13
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD08

 View Related Documents

Title: Real Time Public Reporting of Swaps Transactions

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

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

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 727 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (sec 2(a)(13) of the Commodity Exchange Act)

Legal Deadline: 

Action Source Description Date

Other Statutory Statutory timeframe for mandatory rulemakings where no other deadline is specified. 07/15/2011 

Timetable:

Action Date FR Cite

Public Meeting 09/14/2010 75 FR 55575 

NPRM 12/07/2010 75 FR 76140 

NPRM Comment Period End 02/07/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Thomas M. Leahy Jr.

Associate Director for Product Review, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5278 

FAX: 202 418-5527

E-Mail: tleahy@cftc.gov

Agency Contact: Jeff Steiner

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5482 

E-Mail: jsteiner@cftc.gov

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

 View Related Documents

Title: Core Principles and Other Requirements for Designated Contract Markets

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

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

Commodity Exchange Act (Act) pertaining to the designation and operation of contract markets (DCMs). Among other changes, section 735 of the Dodd-Frank Act: (i) Eliminates

the eight pre-existing Designation Criteria contained in former section 5(b) of the Act and incorporates these criteria into the various DCM core principles in section 5(d); and (ii)

adds five additional DCM core principles. In addition to revising the DCM core principles, section 723 of the Dodd-Frank Act amends section 2(h)(8) of the Act to require that all

swaps subject to clearing must be executed on either a DCM or a Swap Execution Facility (SEF), except where the swap is not made available to trade on any DCM or SEF.

The proposed rules, guidance and acceptable practices proposed in this rulemaking implement the 23 core principles that boards of trade must now comply with as a condition

of obtaining and maintaining designation as a contract market, and incorporate the listing, trading and execution of swaps on designated contract markets. This rulemaking

proposes amendments to parts 1, 16 and 38 of the Commission's regulations to implement the amendments to the Act relevant to designated contract markets.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1; 17 CFR 16; 17 CFR 38 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 5 of the CEA (7 USC 7); sec 2(h) of the CEA (7 USC 2(h)); sec 8a(5) of the CEA (7 USC 12a(5)); as amended by title VII of the Dodd-Frank Wall Street

Reform and Consumer Protection Act; PL 111-203; 124 Stat 1376 (2010)

Legal Deadline: 

Action Source Description Date

Other Statutory Statutory timeframe for mandatory rulemakings where no other deadline is specified. 07/15/2011 

Timetable:

Action Date FR Cite

Regulations.gov Friday, January 20, 2012 Unified Agenda

14
NPRM 12/22/2010 75 FR 80571 

NPRM Comment Period End 02/22/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

RIN Information

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

Public Comment

URL: http://comments.cftc.gov/PublicComments/ReleasesWithComments.aspx

Agency Contact: Nancy Markowitz

Assistant Deputy Director, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5453 

E-Mail: nmarkowitz@cftc.gov

Agency Contact: Nadia Zakir

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5720 

E-Mail: nzakir@cftc.gov

Agency Contact: Aaron Brodsky

Attorney-Advisor, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5349 

E-Mail: abrodsky@cftc.gov

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

 View Related Documents

Title: End-User Clearing Exception

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

subject to a clearing mandate must be submitted for clearing to a registered derivatives clearing organization. The Dodd-Frank Act also provides that users of

swaps that are not financial entities (referred to as end users) and that use swaps to hedge or mitigate "commercial risk" may claim an exception from the

general clearing requirement if the end user notifies the CFTC of how the end user generally meets its financial obligations associated with entering into swaps

that are not cleared. The CFTC has proposed a rule stating the manner in which end users are to submit such notification, and defining the meaning of the term

"commercial risk" in this context.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No 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 721(b), 723(a), Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: 

Action Source Description Date

Other Statutory Statutory timeframe for mandatory rulemakings where no other deadline is specified 07/15/2011 

Timetable:

Action Date FR Cite

NPRM 12/23/2010 75 FR 80747 

NPRM Comment Period End 02/22/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Eileen Donovan

Special Counsel, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5096 

E-Mail: edonovan@cftc.gov

Agency Contact: Erik Remmler

Regulations.gov Friday, January 20, 2012 Unified Agenda

15
Special Counsel, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street

Washington , DC 20581 

Phone: 202 418-7630 

E-Mail: eremmler@cftc.gov

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

 View Related Documents

Title: Position Limits for Derivatives

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

relating to exempt in order to: (a) Diminish, eliminate, or prevent excessive speculation; (b) deter and prevent market manipulation, squeezes, and corners; (c)

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

potential effects of position limits on various market participants, the Commission has issued a notice of proposed rulemaking to solicit and consider the public's

comments in advance of issuing final rules.

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

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 1.3(z); 17 CFR 150 and 151 (To search for a specific CFR, visit the Code of Federal Regulations ) 

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

Legal Deadline: 

Action Source Description Date

Other Statutory 01/17/2011 

Timetable:

Action Date FR Cite

NPRM 01/26/2011 76 FR 4752 

NPRM Comment Period End 03/28/2011 

Final Rule 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Stephen Sherrod

Assistant Director, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5452 

FAX: 202 418-5527

E-Mail: ssherrod@cftc.gov

Agency Contact: Salman Banaei

Attorney Advisor, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5198 

FAX: 202 418-5527

E-Mail: bbanaei@cftc.gov

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

 View Related Documents

Title: Core Principles and Other Requirements for Swap Execution Facilities

Abstract: Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) amended the Commodity Exchange Act (CEA) to establish a

comprehensive new regulatory framework for the execution of swaps by: (i) Creating a definition for swap execution facilities (SEFs) under section 721 of the Dodd-Frank Act,

which added new CEA section 1a(50); (ii) providing, though the SEF definition, a market for the execution of swaps on trading systems or platforms that enable eligible contract

participants to trade on a multilateral basis; (iii) creating an execution requirement under section 723 of the Dodd-Frank Act, which added new CEA section 2(h)(8); and (iv)

creating registration and core principle requirements for SEFs under section 733 of the Dodd-Frank Act, which added new CEA section 5h. Pursuant to title VII of the DoddFrank Act, the Commodity Futures Trading Commission (Commission) has proposed rules to implement sections 721, 723 and 733 of the Dodd-Frank Act. The Commission's

proposal implements the registration process for each applicant seeking registration as a SEF as well as the fifteen core principles and other requirements that each applicant

must comply with as a condition of obtaining and maintaining its registration. The proposal would also replace current part 37 of the Commission's regulations, at present

addressing rules for Derivatives Transaction Execution Facilities, with rules to implement the amendments to the CEA relevant to SEFs.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Yes Unfunded Mandates: No

CFR Citation: 17 CFR 37 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Regulations.gov Friday, January 20, 2012 Unified Agenda

16
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 Statutory timeframe for mandatory rulemakings where no other deadline is specified. 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 01/00/2012 

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: Bella Rozenberg

Assistant Deputy Director, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5119 

E-Mail: brozenberg@cftc.gov

Agency Contact: Amir Zaidi

Attorney-Advisor, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-6770 

FAX: 202 418-5507

E-Mail: azaidi@cftc.gov

Agency Contact: Mauricio Melara

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5719 

FAX: 202 418-5507

E-Mail: mmelara@cftc.gov

Agency Contact: Joseph Cisewski

Attorney-Advisor, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5718 

E-Mail: jcisweski@cftc.gov

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

 View Related Documents

Title: New Registration Requirements for Foreign Boards of Trade

Abstract: The Commission solicited comment with respect to content, methodology and procedures for the proposed new rules requiring registration with the

Commission of foreign boards of trade that wish to provide the members of the foreign board of trade and other participants located in the U.S. with direct

access to the electronic trading and order matching system of the foreign board of trade. Commission staff evaluated all comments and considered them in the

adoption of the final rules requiring registration to provide such direct access.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 48 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 4(b)(1)(A) of the Commodity Exchange Act (as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 11/19/2010 75 FR 70974 

NPRM Comment Period End 01/18/2011 

NPRM Comment Period Extended 05/03/2011 76 FR 25274 

NPRM Comment Period Extended End 06/03/2011 

Regulations.gov Friday, January 20, 2012 Unified Agenda

17
Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Duane C. Andresen

Senior Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5492 

FAX: 202 418-5527

E-Mail: dandresen@cftc.gov

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

 View Related Documents

Title: Swap Data Recordkeeping and Reporting Requirements

Abstract: The comment period for the Commission's proposed Swap Data Recordkeeping and Reporting Requirements rules closes on February 7, 2011. After

reviewing comments, Commission staff will draft the final rule.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 45 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 5b(k), 21(b) and 21(h) of the Commodity Exchange Act, as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Legal Deadline: 

Action Source Description Date

Other Statutory Statutory timeframe for mandatory rulemakings where no other deadline is specified. 07/15/2011 

Timetable:

Action Date FR Cite

Public Meeting 09/14/2010 75 FR 55575 

Public Meeting 11/19/2010 

NPRM 12/08/2010 75 FR 76574 

NPRM Comment Period End 02/07/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: David Taylor

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5488 

E-Mail: dtaylor@cftc.gov

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

 View Related Documents

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

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

swap data repository swaps entered into prior to enactment of the Dodd-Frank Act whose terms had not expired on the date of enactment.

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

Major: No Unfunded Mandates: No

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

Legal Authority: 7 USC 4r

Legal Deadline: 

Action Source Description Date

Other Statutory 10/19/2010 

Timetable:

Regulations.gov Friday, January 20, 2012 Unified Agenda

18
Action Date FR Cite

Interim Final Rule 10/14/2010 75 FR 63080 

Interim Final Rule Comment Period End 11/15/2010 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Agency Contact: Susan Nathan

Senior Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5133 

FAX: 202 418-5527

E-Mail: snathan@cftc.gov

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

 View Related Documents

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

Abstract: Section 731 of the Dodd-Frank Wall Street Reform and Consumer Protection Act regarding "Registration and Regulation of Swap Dealers and Major

Swap Participants" directs the Commission to promulgate certain mandatory business conduct standards rules, as well as grants the Commission authority to

promulgate discretionary rules. The rules will establish disclosure obligations and due diligence requirements, as well as outright prohibitions on certain types of

abusive conduct.

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

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 23 and 155 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 6s and 12a

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/22/2010 75 FR 80638 

NPRM Comment Period End 02/22/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Phyllis J. Cela 

Deputy Director and Chief Counsel, Division of Enforcement

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5374 

E-Mail: pcela@cftc.gov

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

 View Related Documents

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

Bankruptcy

Abstract: The final rules would – 1. For uncleared swaps transactions between a swap dealer or major swap participant and a counterparty, promulgate rules

governing segregation of assets posted as collateral by the counterparty; and 2. Exercise the Commission's rulemaking authority pursuant to section 20 of the

Commodity Exchange Act "to ensure that securities held in a portfolio margining account carried as a futures account are customer property and the owners of

those accounts are customers for the purposes of subchapter IV of chapter 7 of the Bankruptcy Code."

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 23; 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 Statutory timeframe for mandatory rulemaking where no other deadline is specified 07/21/2011 

Timetable:

Regulations.gov Friday, January 20, 2012 Unified Agenda

19
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 01/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Robert B. Wasserman 

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5092 

FAX: 202 418-5528

E-Mail: rwasserman@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD29

 View Related Documents

Title: Reporting and Recordkeeping for Post-Enactment Swaps

Abstract: The CFTC is publishing for comment an interim final rule to implement new statutory provisions introduced by title VII, section 723 of the Dodd-Frank

Act. Section 723 amends section 2 of the CEA by adding new section 2(h)(5), which directs that rules adopted by the Commission under this section shall

provide for the reporting of "transition" swaps-e.g. those swaps entered into after the date of enactment of the Dodd-Frank Act and prior to the effective date of

that statute. The Commission expects shortly to issue a notice for comment about permanent, substantive rules under CEA section 2(h)(5) to govern the

reporting of these post-enactment swaps. The purpose of the interim final rule is to alert counterparties that these swaps may be subject to reporting rules and to

ensure the preservation of data relating to those swaps pending implementation of such rules.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 44 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: CEA secs 2(h)(5), 4r(a) and 12a(5)

Legal Deadline: None

Timetable:

Action Date FR Cite

Interim Final Rule 12/17/2010 75 FR 78892 

Interim Final Rule Comment Period End 01/18/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Susan Nathan

Senior Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5133 

FAX: 202 418-5527

E-Mail: snathan@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD30

 View Related Documents

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

Abstract: The Commission has proposed to: Rescind exemptions from registration for certain commodity pool operators and commodity trading advisors;

rescind exemptions from the certification requirement for annual reports for certain commodity pools; modify criteria claiming exclusion from the definition of

"commodity pool operator;" and, expand the prescribed risk disclosures for commodity pool operators and commodity trading advisors to address swaps

transactions. The Commission also has proposed a new data collection for commodity pool operators and commodity trading advisors.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 4; 17 CFR 145; 17 CFR 147 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 5 USC 4a(j) and 552; 5 USC 552b; 7 USC 1a and 2; 7 USC 6m and 6n; 7 USC 12a

Regulations.gov Friday, January 20, 2012 Unified Agenda

20
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 02/11/2011 76 FR 7976 

NPRM Comment Period End 04/12/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Kevin Walek

Assistant Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5463 

E-Mail: kwalek@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD32

 View Related Documents

Title: General Regulations and Derivatives Clearing Organizations

Abstract: Proposed amendments to part 39 of the Commission's regulations would establish the regulatory standards for compliance with Derivatives Clearing

Organization (DCO) Core Principles A (Compliance), H (Rule Enforcement), N (Antitrust Considerations), and R (Legal Risk), as well as DCO chief compliance

officer requirements set forth in section 5b of the Commodity Exchange Act. The proposed amendments to part 39 also would revise procedures for DCO

applications, clarify procedures for the transfer of a DCO registration, add requirements for approval of DCO rules establishing a portfolio margining program for

customer accounts carried by a futures commission merchant that is also registered as a securities broker-dealer, and make certain technical amendments.

Proposed amendments to part 1 would update the definitions of "clearing member" and "clearing organization."

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1; 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 12/13/2010 75 FR 77576 

NPRM Comment Period End 02/11/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC98

Agency Contact: Phyllis P. Dietz 

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5449 

FAX: 202 418-5536

E-Mail: pdietz@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD33

 View Related Documents

Title: Information Management Requirements for Derivatives Clearing Organizations

Abstract: The proposed amendments to part 39 of the Commission's regulations would establish the regulatory standards for compliance with DCO Core

Principles J (Reporting), K (Recordkeeping), L (Public Information), and M (Information Sharing). Additionally, the Commission is proposing technical

amendments to parts 1 and 21 in connection with the proposed regulations. The Commission also is proposing to delegate to the Director of the Division of

Clearing and Intermediary Oversight the Commission's authority to perform certain functions in connection with the proposed regulations.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Regulations.gov Friday, January 20, 2012 Unified Agenda

21
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1 and 21; 17 CFR 39 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 5b of the Commodity Exchange Act; 7 USC 7a-1; sec 8a(5) of the Commodity Exchange Act; 7 USC 12a(5)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/15/2010 75 FR 78185 

NPRM Comment Period End 02/14/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC98

Agency Contact: Phyllis P. Dietz 

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5449 

FAX: 202 418-5536

E-Mail: pdietz@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD34

 View Related Documents

Title: Financial Resources Requirements for Derivatives Clearing Organizations

Abstract: The proposed part 39 regulations would establish financial resources requirements for derivatives clearing organizations, including heightened

standards for those designated as systemically important derivatives clearing organizations, for the purpose of ensuring that they maintain sufficient financial

resources to enable them to perform their functions in compliance with the Commodity Exchange Act. The Commission also proposed amendments to part 140

that would delegate certain authority under part 39 to the Director of the Division of Intermediary Oversight.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 39 and 140 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 5b of the Commodity Exchange Act; 7 USC 7a-1; sec 8a(5) of the Commodity Exchange Act; 7 USC 12a(5)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 10/14/2010 75 FR 63113 

NPRM Comment Period End 12/13/2010 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC98

Agency Contact: Phyllis P. Dietz 

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5449 

FAX: 202 418-5536

E-Mail: pdietz@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD35

 View Related Documents

Title: Risk Management Requirements for Derivatives Clearing Organizations

Abstract: Proposed regulations would establish the regulatory standards for compliance with derivatives clearing organization (DCO) Core Principles C

Regulations.gov Friday, January 20, 2012 Unified Agenda

22
(Participant and Product Eligibility), D (Risk Management), E (Settlement Procedures), F (Treatment of Funds), G (Default Rules and Procedures), and I (System

Safeguards). For DCOs that are designated by the Financial Stability Oversight Council as systemically important DCOs (SIDCOs), the Commission is proposing

heightened standards in the area of system safeguards supporting business continuity and disaster recovery and a provision that would implement the

Commission's special enforcement authority over SIDCOs. The Commission also is proposing certain additional amendments including replacement of the

current part 39 appendix A, Application Guidance and Compliance With Core Principles, with an application form for entities seeking to register as DCOs, and

amendments to supplement part 39 reporting and public information requirements proposed in a previous rulemaking.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

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

Legal Authority: sec 5b of the Commodity Exchange Act; 7 USC 7a-1; sec 8a(5) of the Commodity Exchange Act; 7 USC 12a(5)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 01/20/2011 76 FR 3698 

NPRM Comment Period End 03/21/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC98

Agency Contact: Phyllis P. Dietz 

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5449 

FAX: 202 418-5536

E-Mail: pdietz@cftc.gov

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

 View Related Documents

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

Abstract: Rulemaking to implement the following sections of the Dodd-Frank Wall Street Reform and Consumer Protection Act, insofar as they pertain to

conflicts of interest, governance and fitness: Section 726 (Rulemaking on Conflict of Interest); sections 725(c) and (d) (DCO Core Principles and Conflicts of

Interest); section 735(b) (DCM Core Principles); and section 733 (SEF Core Principles).

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1; 17 CFR 37 to 40 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: secs 726, 725(c) and (d), 735(b) and 733 of the Dodd-Frank Act, PL 111-203

Legal Deadline: 

Action Source Description Date

Other Statutory Statutory timeframe for mandatory rulemakings where no other deadline is specified. 07/15/2011 

Timetable:

Action Date FR Cite

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 01/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AD01

Agency Contact: Alicia Lewis

Attorney-Advisor, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5862 

E-Mail: alewis@cftc.gov

Regulations.gov Friday, January 20, 2012 Unified Agenda

23
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD37

 View Related Documents

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

of Conflicts of Interest

Abstract: Rulemaking to implement the following sections of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Act), insofar as they pertain

to conflicts of interest: Section 726 (Rulemaking on Conflict of Interest); sections 725(c) and (d) (DCO Core Principles and Conflicts of Interest); section 735(b)

(DCM Core Principles); and section 733 (SEF Core Principles).

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1; 17 CFR 37 to 40 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: secs 726, 725(c) and (d), 735(b) and 733 of the 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 01/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AD01

Agency Contact: Alicia Lewis

Attorney-Advisor, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5862 

E-Mail: alewis@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD38

 View Related Documents

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

MSP

Abstract: The Commodity Futures Trading Commission (Commission or CFTC) is proposing rules to implement new statutory provisions enacted by title VII of

the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) regarding the compliance activities of certain registrants. The proposed rules

require each futures commission merchant, swap dealer, and major swap participant to designate a chief compliance officer. The proposed rules also prescribe

qualifications and duties of the chief compliance officer. Finally, the proposed rules require that the chief compliance officer prepare, certify, and furnish to the

Commission an annual report containing an assessment of the registrant's compliance activities.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

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

Legal Authority: sec 731 and 732 of PL 111-203 (Dodd-Frank)

Legal Deadline: 

Action Source Description Date

Other Statutory Statutory timeframe for mandatory rulemakings where no other deadline is specified. 07/15/2011 

Timetable:

Action Date FR Cite

NPRM 11/19/2010 75 FR 70881 

NPRM Comment Period End 01/18/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC96

Regulations.gov Friday, January 20, 2012 Unified Agenda

24
Agency Contact: Frank Fisanich

Special Counsel, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5949 

E-Mail: ffisanich@cftc.gov

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

 View Related Documents

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

Brokers

Abstract: The Commodity Futures Trading Commission (Commission or CFTC) is proposing rules to implement new statutory provisions enacted by title VII of

the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). The proposed regulations establish conflicts of interest requirements for

Futures Commission Merchants (FCMs) and Introducing Brokers (IBs) for the purpose of ensuring that such persons implement adequate policies and

procedures in compliance with the Commodity Exchange Act (CEA), as amended by the Dodd-Frank Act.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

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

Legal Authority: sec 732 of PL 111-203 (Dodd-Frank)

Legal Deadline: 

Action Source Description Date

Other Statutory Statutory timeframe for mandatory rulemakings where no other deadline is specified. 07/15/2011 

Timetable:

Action Date FR Cite

NPRM 11/17/2010 75 FR 70152 

NPRM Comment Period End 01/18/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC96

Agency Contact: Frank Fisanich

Special Counsel, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5949 

E-Mail: ffisanich@cftc.gov

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

 View Related Documents

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

Abstract: The Commodity Futures Trading Commission (Commission or CFTC) is proposing rules to implement new statutory provisions enacted by title VII of

the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). The proposed regulations establish conflicts of interest requirements for

swap dealers (SDs) and major swap participants (MSPs) for the purpose of ensuring that such persons implement adequate policies and procedures in

compliance with the Commodity Exchange Act (CEA), as amended by the Dodd-Frank Act.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 23 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 731 of PL 111-203 (Dodd-Frank)

Legal Deadline: 

Action Source Description Date

Other Statutory Statutory timeframe for mandatory rulemakings where no other deadline is specified. 07/15/2011 

Timetable:

Action Date FR Cite

NPRM 11/23/2010 75 FR 71391 

NPRM Comment Period End 01/24/2011 

Regulations.gov Friday, January 20, 2012 Unified Agenda

25
NPRM Comment Period Extended 05/04/2011 76 FR 25274 

NPRM Comment Period Extended End 06/03/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC96

Agency Contact: Frank Fisanich

Special Counsel, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5949 

E-Mail: ffisanich@cftc.gov

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

 View Related Documents

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

Abstract: The Commodity Futures Trading Commission is proposing regulations to implement new statutory provisions enacted by title VII of the Dodd-Frank

Wall Street Reform and Consumer Protection Act. The proposed regulations set forth certain duties imposed upon swap dealers and major swap participants

registered with the Commission with regard to: Risk management procedures; monitoring of trading to prevent violations of applicable position limits; diligent

supervision; business continuity and disaster recovery; disclosure and the ability of regulators to obtain general information; and antitrust considerations. The

proposed regulations would implement the new statutory framework of section 4s(j) of the Commodity Exchange Act, added by section 731 of the Dodd-Frank

Act, excepting regulations related to conflicts of interest pursuant to section 4s(j)(5), which will be addressed in a separate rulemaking. These regulations set forth

certain duties with which swap dealers and major swap participants must comply to maintain registration as a swap dealer or major swap participant.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 23 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 731 of PL 111-203 (Dodd-Frank)

Legal Deadline: 

Action Source Description Date

Other Statutory Statutory timeframe for mandatory rulemakings where no other deadline is specified 07/15/2011 

Timetable:

Action Date FR Cite

NPRM 11/23/2010 75 FR 71397 

NPRM Comment Period End 01/24/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC96

Agency Contact: Frank Fisanich

Special Counsel, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5949 

E-Mail: ffisanich@cftc.gov

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

 View Related Documents

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

Major Swap Participants

Abstract: The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations to implement new statutory provisions established

under title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Section 731 of the Dodd-Frank Act added a new section

4s(i) to the Commodity Exchange Act (CEA), which requires the Commission to prescribe standards for swap dealers and major swap participants related to the

timely and accurate confirmation, processing, netting, documentation, and valuation of swaps. The proposed rule would set forth parameters for the inclusion of

an orderly liquidation termination provision in the swap trading relationship documentation for swap dealers and major swap participants.

Regulations.gov Friday, January 20, 2012 Unified Agenda

26
Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 23 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 731 of PL 111-203 (Dodd-Frank)

Legal Deadline: 

Action Source Description Date

Other Statutory Statutory timeframe for mandatory rulemakings where no other deadline is specified. 07/15/2011 

Timetable:

Action Date FR Cite

NPRM 02/08/2011 76 FR 6708 

NPRM Comment Period End 04/11/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 01/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC96

Agency Contact: Frank Fisanich

Special Counsel, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5949 

E-Mail: ffisanich@cftc.gov

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

 View Related Documents

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

Participants

Abstract: The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations to implement new statutory provisions established

under title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Section 731 of the Dodd-Frank Act added a new section

4s(i) to the Commodity Exchange Act (CEA), which requires the Commission to prescribe standards for swap dealers and major swap participants related to the

timely and accurate confirmation, processing, netting, documentation, and valuation of swaps. The proposed rules would establish requirements for swap

confirmation, portfolio reconciliation, and portfolio compression for swap dealers and major swap participants.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 23 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 731 of PL 111-203 (Dodd-Frank)

Legal Deadline: 

Action Source Description Date

Other Statutory Statutory timeframe for mandatory rulemakings where no other deadline is specified. 07/15/2011 

Timetable:

Action Date FR Cite

NPRM 12/28/2010 75 FR 81519 

NPRM Comment Period End 02/28/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 01/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC96

Agency Contact: Frank Fisanich

Special Counsel, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5949 

E-Mail: ffisanich@cftc.gov

Regulations.gov Friday, January 20, 2012 Unified Agenda

27
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD44

 View Related Documents

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

Participants

Abstract: The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations to implement new statutory provisions established

under title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Section 731 of the Dodd-Frank Act added new sections

4s(f) and (g) to the Commodity Exchange Act (CEA), which set forth reporting and recordkeeping requirements and daily trading records requirements for swap

dealers and major swap participants. The proposed rules would establish the regulatory standards for compliance with these new sections of the CEA.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 23 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 731 of PL 111-203 (Dodd-Frank)

Legal Deadline: 

Action Source Description Date

Other Statutory Statutory timeframe for mandatory rulemakings where no other deadline is specified. 07/15/2011 

Timetable:

Action Date FR Cite

NPRM 12/09/2010 75 FR 76666 

NPRM Comment Period End 02/07/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC96

Agency Contact: Frank Fisanich

Special Counsel, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5949 

E-Mail: ffisanich@cftc.gov

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

 View Related Documents

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

Abstract: The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations to implement new statutory provisions established

under title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Section 731 of the Dodd-Frank Act added a new section

4s(i) to the Commodity Exchange Act (CEA), which requires the Commission to prescribe standards for swap dealers and major swap participants related to the

timely and accurate confirmation, processing, netting, documentation, and valuation of swaps. The proposed rules would establish requirements for swap trading

relationship documentation for swap dealers and major swap participants.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 23 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 731 of PL 111-203 (Dodd-Frank)

Legal Deadline: 

Action Source Description Date

Other Statutory Statutory timeframe for mandatory rulemakings where no other deadline is specified. 07/15/2011 

Timetable:

Action Date FR Cite

NPRM 02/08/2011 76 FR 6715 

NPRM Comment Period End 04/11/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 01/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC96

Agency Contact: Frank Fisanich

Regulations.gov Friday, January 20, 2012 Unified Agenda

28
Special Counsel, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5949 

E-Mail: ffisanich@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD46

 View Related Documents

Title: Product Definitions Relating to Swaps and Security Based Swaps

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

further define the terms: 1) "Swap", "security-based swap", and "security-based swap agreement"; 2) prescribe regulations regarding mixed swaps; and 3) adopt

regulations governing books and records with respect to security-based swap agreements

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 Dodd-Frank Wall Street Reform and Consumer Protection Act, secs 712 and 721(c)

Legal Deadline: 

Action Source Description Date

Other Statutory Statutory timeframe for mandatory rulemakings where no other deadline is specified. 07/15/2011 

Timetable:

Action Date FR Cite

ANPRM 08/13/2010 75 FR 51429 

ANPRM Comment Period End 09/20/2010 

NPRM 05/23/2011 76 FR 29818 

NPRM Comment Period End 07/22/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Split From 3038-AD06 Related Agencies: Joint: SEC

Agency Contact: Julian E. Hammar 

Assistant General Counsel, Office of General Counsel

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5118 

FAX: 202 418-5524

E-Mail: jhammar@cftc.gov

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

 View Related Documents

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

Abstract: The Dodd-Frank Act, by adding Commodity Exchange Act section 2(h)(5), directs that rules be adopted by the Commission to provide for the reporting

of data relating to swaps entered into before the date of enactment of the Dodd-Frank Act (pre-enactment swaps) and data relating to swaps entered into on or

after the date of enactment of the Dodd-Frank Act and prior to the effective date of swap data reporting rules implementing CEA section 2(h)(5)(B) (transitional

swaps). The Commission is proposing for comment rules to implement this requirement.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 44 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 2(h) of the Commodity Exchange Act, as amended by the Dodd-Frank Act

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 04/25/2011 76 FR 22833 

NPRM Comment Period End 06/09/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Regulations.gov Friday, January 20, 2012 Unified Agenda

29
Energy Affected: No

Agency Contact: David Taylor

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5488 

E-Mail: dtaylor@cftc.gov

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

 View Related Documents

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

Abstract: The Commodity Futures Trading Commission is proposing to amend part 4 of its regulations, which concerns the operations and activities of

commodity pool operators and commodity trading advisors, in order to have those regulations reflect changes made to the Commodity Exchange Act by the

Dodd-Frank Wall Street Reform and Consumer Protection Act.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

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

Legal Authority: PL 111-203 (Dodd-Frank)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 03/03/2011 76 FR 11701 

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

NPRM Comment Period End 05/02/2011 

NPRM Comment Period Extended End 06/03/2011 

Final Action 01/00/2012 

Additional Information: Includes Retrospective Review under E.O. 13579.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Barbara Stern Gold 

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5450 

FAX: 202 418-5528

E-Mail: bgold@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD50

 View Related Documents

Title: Registration of Intermediaries

Abstract: The Commodity Futures Trading Commission hereby proposes regulations to further implement new statutory provisions enacted by title VII of the

Dodd-Frank Wall Street Reform and Consumer Protection Act regarding registration of intermediaries. Specifically, the Commission proposes: (i) Certain

conforming amendments to part 3 of the Commission's regulations (part 3) regarding the registration of intermediaries, consistent with other Commission

rulemakings issued pursuant to the Dodd-Frank Act; and (ii) other modernizing and technical amendments to part 3.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

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

Legal Authority: PL 111-203 (Dodd-Frank)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 03/09/2011 76 FR 12888 

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

NPRM Comment Period End 05/09/2011 

NPRM Comment Period Extended End 06/03/2011 

Final Action 01/00/2012 

Regulations.gov Friday, January 20, 2012 Unified Agenda

30
Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Andrew V. Chapin 

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5465 

FAX: 202 418-5536

E-Mail: achapin@cftc.gov

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

 View Related Documents

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

Abstract: Proposed regulations would establish a time frame for submission of contracts, agreements, and transactions to a derivatives clearing organization for

clearing, and standards for prompt and efficient processing by a derivatives clearing organization. Proposed regulations would also require coordination between

derivatives clearing organizations and swap execution facilities or designated contract markets in developing rules and procedures to facilitate clearing. A

derivatives clearing organization, upon customer request, would also be required to transfer customer positions and related funds from one clearing member of

the derivatives clearing organization to another, without requiring the close-out and re-booking of the positions.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 23; 17 CFR 37 to 39 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 5b of the Commodity Exchange Act; 7 USC 7a-1; sec 8a(5) of the Commodity Exchange Act; 7 USC 12a(5)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 03/10/2011 76 FR 13101 

NPRM Comment Period End 04/11/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 01/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Phyllis P. Dietz 

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5449 

FAX: 202 418-5536

E-Mail: pdietz@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD53

 View Related Documents

Title: Adaptation of Regulations to Incorporate Swaps

Abstract: The Dodd-Frank Wall Street Reform and Consumer Protection Act established a comprehensive new statutory framework for swaps and securitybased swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act, amends others and adds a number of new provisions. The DFA also

requires the Commodity Futures Trading Commission to promulgate a number of rules to implement the new framework. The Commission has proposed

numerous rules to satisfy its obligations under the DFA. Because the Dodd-Frank Act effects so many changes to the existing statutory and regulatory

frameworks, the proposed rules would make a number of conforming changes to the CFTC's regulations to more fully integrate them with the new statutory and

regulatory framework.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1; 17 CFR 5; 17 CFR 7; 17 CFR 8; 17 CFR 15; 17 CFR 18; 17 CFR 21; 17 CFR 36; 17 CFR 41; 17 CFR 140; 17 CFR 145; 17 CFR

155; 17 CFR 166 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 111-203 (Dodd-Frank)

Legal Deadline: None

Timetable:

Regulations.gov Friday, January 20, 2012 Unified Agenda

31
Action Date FR Cite

NPRM 06/07/2011 76 FR 33066 

NPRM Comment Period End 08/08/2011 

Final Action 02/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: John C. Lawton

Deputy Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5480 

FAX: 202 418-5528

E-Mail: jlawton@cftc.gov

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

 View Related Documents

Title: Capital Requirements for Swap Dealers and Major Swap Participants

Abstract: The Commission will propose rulemaking relating to 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 03/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Thelma Diaz

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5137 

FAX: 202 418-5536

E-Mail: tdiaz@cftc.gov

Agency Contact: Thomas J. Smith 

Chief Accountant and Deputy Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5495 

FAX: 202 418-5536

E-Mail: tsmith@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD55

 View Related Documents

Title: Clearing Member Risk Management

Abstract: The Commodity Futures Trading Commission (Commission or CFTC) is proposing rules to implement new statutory provisions enacted by title VII of

the Dodd-Frank Wall Street Reform and Consumer Protection Act. These proposed rules address risk management for cleared trades by futures commission

merchants, swap dealers, and major swap participants that are clearing members.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1.73; 17 CFR 23.609 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Regulations.gov Friday, January 20, 2012 Unified Agenda

32
Legal Authority: The Commodity Exchange Act, PL 74-765, 49 Stat 149 (1936)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 08/01/2011 76 FR 45724 

NPRM Comment Period End 09/30/2011 

Final Action 02/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: John C. Lawton

Deputy Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5480 

FAX: 202 418-5528

E-Mail: jlawton@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD56

 View Related Documents

Title: Customer Clearing Documentation and Timing of Acceptance for Clearing

Abstract: The Commodity Futures Trading Commission (Commission or CFTC) is proposing rules to implement new statutory provisions enacted by title VII of

the Dodd-Frank Wall Street Reform and Consumer Protection Act. These proposed rules address: (i) The documentation between a customer and a futures

commission merchant that clears on behalf of the customer; and (ii) the timing of acceptance or rejection of trades for clearing by derivatives clearing

organizations and clearing members.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1; 17 CFR 23; 17 CFR 39 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: The Commodity Exchange Act, PL 74-765, 49 Stat. 149 (1936)

Legal Deadline: None

Timetable:

Action Date FR Cite

Correction 08/05/2011 76 FR 47529 

NPRM 08/01/2011 76 FR 45730 

NPRM Comment Period End 09/30/2011 

Final Action 02/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: John C. Lawton

Deputy Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5480 

FAX: 202 418-5528

E-Mail: jlawton@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD59

 View Related Documents

Title: Swap Transaction Compliance Implementation Schedules

Abstract: The CFTC is proposing a transaction compliance schedule for the rulemakings regarding swap trading relationship documentation requirements for

swap dealers and major swap participants, and margin requirements for uncleared swaps for swap dealers and major swap participants, proposed under section

4s of the Commodity Exchange Act as added by section 731 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 23 (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)

Regulations.gov Friday, January 20, 2012 Unified Agenda

33
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 09/04/2011 76 FR 58176 

NPRM Comment Period End 11/04/2011 

Final Action 01/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Mark Higgins

Counsel, Office of General Counsel

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5864 

FAX: 202 418-5524

E-Mail: mhiggins@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD60

 View Related Documents

Title: Mandatory Clearing and Trade Execution Compliance Schedule

Abstract: The CFTC is proposing a transaction compliance schedule for the mandatory clearing and trade execution requirements of sections 2(h)(1)(A) and

2(h)(8)(A) of the Commodity Exchange Act, which were enacted by section 723 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 37; 17 CFR 38; 17 CFR 39 (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 09/20/2011 76 FR 58186 

NPRM Comment Period End 11/04/2011 

Final Action 01/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Dhavel Patel

Counsel, Office of General Counsel

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5125 

E-Mail: dpatel@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD62

 View Related Documents

Title: Commodity Options Rulemaking

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

commodity options. Agricultural swaps are generally prohibited under the Dodd-Frank Wall Street Reform and Consumer Protection Act, unless allowed via a

rule or exemption issued separately by the Commission.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec723(c)(3) of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: None

Timetable:

Action Date FR Cite

ANPRM 09/28/2010 75 FR 59666 

Regulations.gov Friday, January 20, 2012 Unified Agenda

34
ANPRM Comment Period End 10/28/2010 

NPRM 02/03/2011 76 FR 6095 

NPRM Comment Period End 04/04/2011 

NPRM Comment Period Extended 05/03/2011 76 FR 25274 

NPRM Comment Period Extended End 06/30/2011 

Final Action 12/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Split From 3038-AD21

Agency Contact: Donald H. Heitman

Senior Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5041 

FAX: 202 418-5507

E-Mail: dheitman@cftc.gov

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

 View Related Documents

Title: Registration and Compliance Exemptions for Commodity Pool Operators of Exchange-Listed Commodity Pools

Abstract: The proposed regulation would provide the registered commodity pool operator of a commodity pool whose units of participation are listed for trading

on a national securities exchange certain exemptions from: (1) The Disclosure Document delivery and acknowledgement requirements of Regulation 4.21; (2) the

Account Statement distribution requirement of Regulation 4.22; and (3) the books and records location requirement of Regulation 4.23, provided the CPO

complies with the alternative requirements specified in the proposed regulation. The proposed regulation would codify relief given in several previous exemptive

letters.

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

Major: No Unfunded Mandates: No

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

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

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 09/09/2010 75 FR 54794 

NPRM Comment Period End 10/25/2010 

Final Action 05/18/2011 76 FR 28641 

Final Action Effective 06/17/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Barbara Stern Gold 

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5450 

FAX: 202 418-5528

E-Mail: bgold@cftc.gov

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

 View Related Documents

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

Abstract: The Commission has proposed new Rule 30.13 to establish a Commission certification procedure to replace the existing staff no-action process

applicable to a foreign board of trade's (FBOT) security index futures contracts. Specifically, proposed Rule 30.13 would set forth a procedure where by an FBOT

may apply to the Commission for certification that a security index futures contract traded on that exchange meets the requirements for offer and sale to United

States persons under the Commodity Exchange Act. Proposed Rule 30.13 would also establish a procedure for an FBOT to request a Commission certification

on an expedited basis.

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

Major: No Unfunded Mandates: No

Regulations.gov Friday, January 20, 2012 Unified Agenda

35
CFR Citation: 17 CFR 30.13 and app D (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 6(c)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/13/2010 75 FR 77588 

NPRM Comment Period End 01/12/2011 

Final Action 09/26/2011 76 FR 59241 

Final Action Effective 10/26/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Carlene Kim

Assistant General Counsel, Office of the General Counsel

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5613 

E-Mail: ckim@cftc.gov

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

 View Related Documents

Title: Account Ownership and Control Reports

Abstract: The Commission solicited public comment with respect to the adoption of regulations that would identify the owners of transactions reported to the

trade surveillance system. Such regulations would enable trade practice and market surveillance staff to perform timely and customized analysis of trading

activity. Comment was initially solicited through an advanced notice of proposed rulemaking published in 2009 and then again through a notice of proposed

rulemaking published in July 2010. The comment period for the proposed regulation has now closed. Commission staff is evaluating all comments received to

determine how it should proceed to implement the proposed account ownership and control reports. This rulemaking is being consolidated with 3038-AD31.

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

Major: No Unfunded Mandates: No

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

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

Legal Deadline: None

Timetable:

Action Date FR Cite

ANPRM 07/02/2009 74 FR 31642 

ANPRM Comment Period End 08/17/2009 

NPRM 07/19/2010 75 FR 41775 

NPRM Comment Period End 10/07/2010 

Withdrawn 08/16/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Merge with 3038-AD31

Agency Contact: Rachel F. Berdansky 

Deputy Director for Market Compliance, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5641 

FAX: 202 418-5426

E-Mail: rberdansky@cftc.gov

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

 View Related Documents

Title: Process for Review of Swaps for Mandatory Clearing

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

submission for review of a swap, or group, category, type, or class of swaps, that it seeks to accept for clearing for a determination by the Commission as to

whether the swap, or group, category, type, or class of swaps, is required to be cleared.

Regulations.gov Friday, January 20, 2012 Unified Agenda

36
Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 39; 17 CFR 140 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 2(h), as amended by PL 111-203 (Dodd-Frank), sec 723

Legal Deadline: 

Action Source Description Date

Other Statutory or other specified deadline 07/21/2011 

Timetable:

Action Date FR Cite

NPRM 11/02/2010 75 FR 67277 

NPRM Comment Period End 01/03/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 07/26/2011 76 FR 44464 

Final Rule Effective 09/26/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Eileen Donovan

Special Counsel, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5096 

E-Mail: edonovan@cftc.gov

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

 View Related Documents

Title: Whistleblowers

Abstract: Section 748 of the Dodd-Frank Wall Street Reform and Consumer Protection Act regarding "Commodity Whistleblower Incentives and Protection,"

requires the Commission to issue final rules to implement its provisions. The Commission will propose rules establishing a program for whistleblowers to

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

leads to the successful resolution of certain judicial or administrative actions brought by the Commission under the Commodity Exchange Act.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 165 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 23

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/06/2010 75 FR 75728 

NPRM Comment Period End 02/04/2011 

Final Action 08/25/2011 76 FR 53172 

Final Rule Effective 10/24/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related Agencies: Joint : SEC

Agency Contact: Edward Riccobene

Chief, Policy and Review

Commodity Futures Trading Commission

Division of Enforcement 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5327 

E-Mail: ericcobene@cftc.gov

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

 View Related Documents

Title: Part 40, Rule Certification and Approval Procedures

Abstract: The Commodity Futures Trading Commission proposes to amend its part 40 rules pertaining to the Commission's review, certification, and approval

Regulations.gov Friday, January 20, 2012 Unified Agenda

37
processes for handling registered entity rules and contracts in order to implement section 735 of the Dodd-Frank Act. The Commission proposes to implement

procedures for submitting advance notice of rules that could "materially affect" the nature of level of risk presented by a systematically important derivatives

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

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

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

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

Legal Deadline: 

Action Source Description Date

NPRM Statutory 07/15/2011 

Timetable:

Action Date FR Cite

NPRM 11/02/2010 75 FR 67282 

NPRM Comment Period End 01/03/2011 

Final Action 07/27/2011 76 FR 44776 

Technical Correction 08/01/2011 76 FR 45666 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Bella Rozenberg

Assistant Deputy Director, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5119 

E-Mail: brozenberg@cftc.gov

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

 View Related Documents

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

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

agencies to review their regulations for any references to or reliance on credit ratings, and to remove those references or instances of reliance.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1.49(d)(3)(i)(B) (Revision); 17 CFR 4.24(h)(1)(i)(Revision) (To search for a specific CFR, visit the Code of Federal Regulations ) 

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

Legal Deadline: 

Action Source Description Date

Other Statutory Statutory requirement to review regulations for any reliance on credit ratings 07/21/2011 

Timetable:

Action Date FR Cite

NPRM 11/02/2010 75 FR 61254 

NPRM Comment Period End 12/02/2010 

Final Action 07/25/2011 76 FR 44262 

Final Action Effective 09/23/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Ward P. Griffin 

Counsel, Office of the General Counsel

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5425 

E-Mail: wgriffin@cftc.gov

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

 View Related Documents

Regulations.gov Friday, January 20, 2012 Unified Agenda

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Title: Disposal and Affiliate Sharing of Consumer, Nonpublic Information Under Fair and Accurate Credit Transactions Act of 2003 and Fair Credit Reporting Act

Abstract: Section 1088 of the Dodd-Frank Wall Street Reform and Consumer Protection Act contains amendments to the Fair Credit Reporting Act (FCRA) and

Fair and Accurate Credit Transactions Act of 2003 (FACT Act). In particular, it provides the CFTC with authority to propose rules implementing: (1) Section 216 of

the FACT Act; and (2) section 624 of the Fair Credit Reporting Act (FCRA). The rules implementing section 216 of the FACT Act will require persons regulated by

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

proper disposal of such information. The rules implementing section 624 of the FCRA will require persons regulated by the CFTC who possess or maintain

consumer report information to develop and implement a written program that restricts business affiliates of those persons from receiving or using such

information for the purposes of cross-marketing.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 162 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 111-203, sec 1088, Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 10/27/2010 75 FR 66018 

NPRM Comment Period End 12/27/2010 

Final Action 07/22/2011 76 FR 43879 

Final Rule Effective 09/20/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Carl E. Kennedy 

Counsel, Office of the General Counsel

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-6625 

E-Mail: c_kennedy@cftc.gov

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

 View Related Documents

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

Abstract: Section 1093 of the Dodd-Frank Wall Street Reform and Consumer Protection Act contains amendments to section 504(a) of the Gramm-Leach-Bliley

Act (GLB Act), which sets out certain privacy protections for nonpublic, consumer information. The CFTC has issued final rules implementing section 504(a)of the

GLB Act, as well as amending part 160 of its regulations to cover new entities that are subject to the CFTC's jurisdiction under title VII of the Dodd-Frank Act.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 160 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 111-203, sec 1093, Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 10/27/2010 75 FR 66014 

NPRM Comment Period End 12/27/2010 

Final Action 07/22/2011 76 FR 43874 

Final Rule Effective 09/20/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Carl E. Kennedy 

Counsel, Office of the General Counsel

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-6625 

E-Mail: c_kennedy@cftc.gov

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

 View Related Documents

Regulations.gov Friday, January 20, 2012 Unified Agenda

39
Title: Position Report for Physical Commodity Swaps

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

agricultural commodities. A separate rulemaking will establish swap data repositories to allow proper surveillance of the interconnected commodity derivatives

markets and enforce these position limits. In the interim, the Commission has proposed reporting regulations to attain the necessary positional data.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 20 (To search for a specific CFR, visit the Code of Federal Regulations ) 

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

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 11/02/2010 75 FR 67258 

NPRM Comment Period End 12/02/2010 

Final Action 07/22/2011 76 FR 43851 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Bruce Fekrat

Senior Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5578 

FAX: 202 418-5527

E-Mail: bfekrat@cftc.gov

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

 View Related Documents

Title: Swap Data Repositories

Abstract: The Commission adopted part 49 to its regulations to implement section 21 of the Commodity Exchange Act, which was added by section 728 of the

Dodd-Frank Wall Street Reform and Consumer Protection Act. Specifically, part 49 of the Commission's regulations establishes: registration requirements,

statutory duties, core principles and cetain compliance obligation for registered swap data repositories.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

CFR Citation: 17 CFR 49 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 728 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act); 7 USC 12a and 24a

Legal Deadline: 

Action Source Description Date

Other Statutory Statutory timeframe for mandatory rulemakings where no other deadline is specified. 07/15/2011 

Timetable:

Action Date FR Cite

Public Meeting 09/14/2010 75 FR 55575 

NPRM 12/23/2010 75 FR 80898 

NPRM Comment Period End 02/22/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 09/01/2011 76 FR 54538 

Final Action Effective 10/31/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Jeffrey P. Burns 

Assistant General Counsel, Office of the General Counsel

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5101 

E-Mail: jburns@cftc.gov

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

Regulations.gov Friday, January 20, 2012 Unified Agenda

40
 View Related Documents

Title: Agricultural Swaps

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

commodity options. Agricultural swaps are generally prohibited under the Dodd-Frank Wall Street Reform and Consumer Protection Act, unless allowed via a

rule or exemption issued separately by the Commission.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 35 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 723(c)(3) of the Dodd-Frank Wall Street Reform and Consumer Protection Act; sec 733 of the Dodd-Frank Wall Street Reform and

Consumer Protection Act

Legal Deadline: None

Timetable:

Action Date FR Cite

ANPRM 09/28/2010 75 FR 59666 

ANPRM Comment Period End 10/28/2010 

NPRM 02/03/2011 76 FR 6095 

NPRM Comment Period End 04/04/2011 

NPRM Comment Period Extended 05/03/2011 76 FR 25274 

NPRM Comment Period Extended End 06/03/2011 

Final Action 08/10/2011 76 FR 49291 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Donald H. Heitman

Senior Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5041 

FAX: 202 418-5507

E-Mail: dheitman@cftc.gov

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

 View Related Documents

Title: Defining Agricultural Commodity

Abstract: In conjunction with rules for trading agricultural swaps, the Commission is separately issuing for comment a proposed definition of the term

"agricultural commodity," a term not previously defined in the Commodity Exchange Act or the Commission's rules. An "agricultural commodity" definition is

needed for the Commission's rulemakings regarding speculative position limits and large trader reporting requirements.

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

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1.3(zz) (To search for a specific CFR, visit the Code of Federal Regulations ) 

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

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 10/26/2010 75 FR 65586 

NPRM Comment Period End 11/26/2010 

NPRM Comment Period Extended 05/03/2011 76 FR 25274 

NPRM Comment Period Extended End 06/03/2011 

Final Action 07/13/2011 76 FR 41048 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Donald H. Heitman

Senior Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5041 

FAX: 202 418-5507

E-Mail: dheitman@cftc.gov

Regulations.gov Friday, January 20, 2012 Unified Agenda

41
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD27

 View Related Documents

Title: Anti-Manipulation

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

interstate commerce, or for future delivery on or subject to the rules of any registered entity, consistent with section 753 of the Dodd-Frank Wall Street Reform

and Consumer Protection Act regarding "Anti-Manipulation Authority."

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

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 180.1; 17 CFR 180.2 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 9 and 15

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 11/03/2010 75 FR 67657 

NPRM Comment Period End 01/03/2011 

Final Action 07/15/2011 76 FR 41398 

Final Rule Effective 08/15/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Mark Higgins

Counsel, Office of General Counsel

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5864 

FAX: 202 418-5524

E-Mail: mhiggins@cftc.gov

Regulations.gov Friday, January 20, 2012 Unified Agenda

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