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: Melissa D. Jurgens, Secretary of the Commission, Commodity Futures 

Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581, (202) 418-5516, 

mjurgens@cftc.gov. 

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

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

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

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

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

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

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

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

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

U.S.C. 602(a). 

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

course of the next year. These rules may have some impact on small entities.1 In this regard, section 602(d) of the 

 

1

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

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

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

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Regulations.gov Friday, May 23, 2014 Unified Agenda
RFA, 5 U.S.C. 602(d) provides: “Nothing in [section 602] precludes an agency from considering or acting on any 

matter not included in a regulatory flexibility agenda or requires an agency to consider or act on any matter listed in 

such agenda.” 

The Commission’s Spring 2014 regulatory flexibility agenda is set forth below. 

Issued in Washington, DC on April 2, 2014, by the Commission. 

NAME: Melissa D. Jurgens, 

Secretary of the Commission. 

 

Commission has previously certified, under section 605 of the RFA, 5 U.S.C. 605, that those items will not have a significant 

economic impact on a substantial number of small entities. For these reasons, the listing of a rule in this regulatory flexibility 

agenda should not be taken as a determination that the rule, when proposed or promulgated, will in fact require a regulatory 

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

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

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

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Regulations.gov Friday, May 23, 2014 Unified Agenda
The 31 Regulatory Agendas

Commodity Futures Trading Commission - PreRule

Title

Regulation 

Identifier 

Number

Amendments to Swap Data Recordkeeping and Reporting Requirements 3038-AE12

Commodity Futures Trading Commission - Proposed Rule

Title

Regulation 

Identifier 

Number

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

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

Interest 3038-AD36

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

Concept Release on Risk Controls and System Safeguards for Automated Trading Environments 3038-AD52

Annual Stress Test 3038-AD73

Part 190 Bankruptcy Rules 3038-AD79

Application of Interpretation Regarding Guarantees of Swaps 3038-AD93

Request for Comment on a Proposed Exemptive Order Relating to the Trading and Clearing of Options and Futures on

the Shares of Precious Metal Commodity-Based ETFs 3038-AD95

Block Trading for Futures and Options on Futures Contracts and Centralized Market Trading on Designated Contract

Markets 3038-AE01

Allocation of Business Conduct Obligations by Swap Dealers in a Prime Brokerage Arrangement 3038-AE07

Repeal of the ECM/EBOT Exemptions 3038-AE10

DCM and SEF Market Maker and Incentive Programs 3038-AE11

Amendments to Part 9 to Incorporate SEFs and Update Provisions Applicable to DCMS 3038-AE15

Alternative to Fingerprinting to Establish Fitness of Associated Persons and Principals in Certain Cases 3038-AE16

Amendment of Commission Regulation 23.500(g)--Definition of "Material Terms" for Purposes of Subpart I of Part 23 of

the Commission's Regulations 3038-AE17

Business Conduct Standards for Swap Dealers and Major Swap Participants Transacting in Swaps That are Intended to

Be Cleared 3038-AE18

Commodity Futures Trading Commission - Final Rule

Title

Regulation 

Identifier 

Number

Regulation of Market Co-Location Services 3038-AC92

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

Aggregation of Positions 3038-AD82

Core Principle 9 for Designated Contract Markets 3038-AD90

Position Limits for Commodity Derivatives Contracts 3038-AD99

Membership in a Registered Futures Association 3038-AE09

Commodity Futures Trading Commission - Long-term Action

Title

Regulation 

Identifier 

Number

Swap Data Repositories--Access to SDR Data by Market Participants 3038-AE14

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Regulations.gov Friday, May 23, 2014 Unified Agenda
Commodity Futures Trading Commission - Completed Action

Title

Regulation 

Identifier 

Number

Volcker Rule (Section 619) 3038-AD05

Segregation and Bankruptcy: Protection of Collateral for Uncleared Swaps; Treatment of Securities in a Portfolio

Margining Account in a Commodity Broker Bankruptcy 3038-AD28

Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 3038-AD31

Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and

Derivatives Clearing Organizations 3038-AD88

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

Derivatives Clearing Organizations and International Standards 3038-AE06

Treatment of Certain CDOs Backed Primarily by TruPS With Regard to Prohibitions and Restrictions on Certain

Interests in, and Relationships with, Hedge Funds and Private Equity Funds 3038-AE13

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE12

 View Related Documents

Title: Amendments to Swap Data Recordkeeping and Reporting Requirements

Abstract: Staff is considering recommending the Commission issue an Advanced Notice of Proposed Rulemaking (ANPRM)

seeking public input on possible revisions to part 45 that could increase efficiencies in reporting swap data and mitigate the

burden on market participants. As markets, market participants, and trading conventions adapt to the swap data recordkeeping

and reporting requirements under part 45, staff will review these requirements to ensure that they continue to fulfill their

regulatory objectives in light of the evolving swaps marketplace.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: PreRule

Major: Undetermined Unfunded Mandates: No

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

Legal Authority: Not Yet Determined

Legal Deadline: None

Timetable:

Action Date FR Cite

ANPRM 03/26/2014 79 FR 16689

ANPRM Comment Period End 05/27/2014 

NPRM 11/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Sebastian Pujol-Schott 

Associate Director, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Center, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5641 

E-Mail: sschott@cftc.gov

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

 View Related Documents

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

Abstract: The Commission proposed requirements for initial and variation margin for swap transactions that are not cleared, as

required by section 731 of the Wall Street Transparency and Accountability Act of 2010. Staff is considering recommending that

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Regulations.gov Friday, May 23, 2014 Unified Agenda
the Commission issue a further notice of proposed rulemaking in order to give interested parties the opportunity to comment on

changes to the proposal to harmonize international standards for margin for uncleared swaps.

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

Major: No Unfunded Mandates: No

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

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

Legal Deadline: 

Action Source Description Date

Other Statutory 07/15/2011 

Timetable:

Action Date FR Cite

NPRM 04/28/2011 76 FR 23732

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

NPRM Comment Period End 06/27/2011 

NPRM Comment Period Extended End 07/11/2011 

NPRM Further Notice 09/20/2011 76 FR 58176

NPRM Further Notice Comment Period End 11/04/2011 

NPRM Comment Period Extended 07/12/2012 77 FR 41109

NPRM Comment Period End 09/14/2012 

NPRM Further Notice 05/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 3038-AD54

Agency Contact: John C. Lawton 

Deputy Director, Division of Clearing and Risk

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5480 

FAX: 202 418-5528

E-Mail: jlawton@cftc.gov

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

 View Related Documents

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

Interest

Abstract: The Commission proposed requirements 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). Staff is considering recommending that the Commission issue a further

notice of proposed rulemaking in order to give interested parties the opportunity to comment on changes to the proposal to take

into account domestic and international regulatory changes.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

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

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

Legal Deadline: 

Action Source Description Date

Other Statutory 07/15/2011 

Timetable:

5

Regulations.gov Friday, May 23, 2014 Unified Agenda
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 

Further NPRM 10/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AD01;

Related to

3038-AD37

Agency Contact: Robert B. Wasserman 

Chief Counsel, Division of Clearing and Risk

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5092 

FAX: 202 418-5528

E-Mail: rwasserman@cftc.gov

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

 View Related Documents

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

Abstract: The Commission proposed requirements 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). Staff is considering recommending that the Commission issue a further notice of proposed

rulemaking in order to give interested parties the opportunity to comment on changes to the proposal to take into account

domestic and international regulatory changes.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed 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 

Further NPRM 10/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AD01;

Related to

3038-AD36

Agency Contact: Robert B. Wasserman 

Chief Counsel, Division of Clearing and Risk

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

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Regulations.gov Friday, May 23, 2014 Unified Agenda
Phone: 202 418-5092 

FAX: 202 418-5528

E-Mail: rwasserman@cftc.gov

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

 View Related Documents

Title: Concept Release on Risk Controls and System Safeguards for Automated Trading Environments

Abstract: On September 12, 2013, the Commission published a Concept Release on Risk Controls and system Safeguards for

Automated Trading Environments ("Concept Release"). The Concept Release addresses the evolution from human-centered to

automated trading environments and seeks comment on a series of pre-trade risk controls, post-trade measures, system

safeguards, and other protections. The comment period closed on December 11, 2013, reopened on January 21, 2014, and

extended through February 14, 2014. Staff is considering comments on the Concept Release and the appropriate next steps for

regulatory action in this area.

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

Major: No Unfunded Mandates: No

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

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

Legal Deadline: None

Timetable:

Action Date FR Cite

ANPRM 09/12/2013 78 FR 56542

ANPRM Comment Period End 12/11/2013 

ANPRM Comment Period Extended 01/24/2014 79 FR 4104

ANPRM Extended Comment Period End 02/14/2014 

NPRM 07/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Marilee Dahlman

Attorney Advisor, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5264 

E-Mail: mdahlman@cftc.gov

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

 View Related Documents

Title: Annual Stress Test

Abstract: Staff is considering recommending to the Commission proposed rules to implement section 165(i) of the Dodd-Frank

Wall Street Reform and Consumer Protection Act, which requires certain financial companies to conduct annual stress tests

pursuant to regulations prescribed by their respective primary financial regulatory agencies. Specifically, the recommendation

would require registrants and registered entities supervised by the Commodity Futures Trading Commission with total

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

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

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

Major: Undetermined Unfunded Mandates: No

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

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

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Regulations.gov Friday, May 23, 2014 Unified Agenda
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 08/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Frank Fisanich

Chief Counsel, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Center, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5949 

E-Mail: ffisanich@cftc.gov

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

 View Related Documents

Title: Part 190 Bankruptcy Rules

Abstract: The staff is considering recommending that the Commission propose changes to section 190 to update the

Commission's bankruptcy regulations.

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

Major: Undetermined Unfunded Mandates: No

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

Legal Authority: 7 USC 1 et seq

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 08/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Laura Astrada

Associate Chief Counsel, Division of Clearing and Risk

Commodity Futures Trading Commission

Three Lafayette Center, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-7622 

E-Mail: lastrada@cftc.gov

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

 View Related Documents

Title: Application of Interpretation Regarding Guarantees of Swaps

Abstract: Staff is considering recommending the Commission address certain regulatory matters arising from its interpretation

that the term "swap" includes a guarantee of such swap.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

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Regulations.gov Friday, May 23, 2014 Unified Agenda
CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: Not Yet Determined

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 10/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Lee Ann Duffy 

Assistant General Counsel, Office of General Counsel

Commodity Futures Trading Commission

1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-6763 

E-Mail: lduffy@cftc.gov

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

 View Related Documents

Title: Request for Comment on a Proposed Exemptive Order Relating to the Trading and Clearing of Options and Futures on

the Shares of Precious Metal Commodity-Based ETFs

Abstract: Staff is considering recommending the Commission exempt the trading and clearing of options and futures on the

shares of commodity-based exchange traded funds that hold or maintain direct exposure to gold, silver, palladium, platinum, or

any combination thereof. The exemption would be from all requirements of the Commodity Exchange Act and Commission

regulations to the extent necessary to permit: (1) the options to be traded on national securities exchanges; (2) the futures to be

traded on designated contract markets registered with the SEC as limited purposes national securities exchanges; and (3) both

the options and futures to be cleared by a registered derivatives clearing organization acting in its capacity as a registered

securities clearing agency. As a condition of the relief, the Commission would receive daily large options position reports

(LOPR) and would be able to initiate a special call on traders identified in the LOPR, if necessary. The order would be pursuant

to section 717 of the Dodd-Frank Act to deal with determining the status of novel derivative products. Staff is working with the

SEC staff to issue orders from each agency simultaneously or close together in time. Staff is in the process of revising the notice

of proposed order based, in part, on comments received from SEC staff. Similarly, the SEC has provided staff with a draft

proposed exemptive order concerning the same subject matter, and staff will provide comments on it to the SEC.

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

Major: No Unfunded Mandates: No

CFR Citation: None (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 6(c); Dodd Frank sec 717; 7 USC 2(a)(1)(C)(i)(II)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 05/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Agency Contact: David Pepper

Attorney Advisor, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5565 

E-Mail: dpepper@cftc.gov

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Regulations.gov Friday, May 23, 2014 Unified Agenda
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE01

 View Related Documents

Title: Block Trading for Futures and Options on Futures Contracts and Centralized Market Trading on Designated Contract

Markets

Abstract: Staff is recommending that the Commission propose new and amended rules concerning trading both on and off the

centralized market of a designated contract market (DCM). The proposed rules would limit block trading to a specified

percentage of Average Daily Volume of futures and of options on futures contracts listed by a DCM. The proposed rules also

establish specific requirements for centralized market trading on a DCM. Finally, the proposed rules correct cross-references in

the Commission's existing regulations and acceptable practices.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 38.500 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 5 of the CEA (7 USC 7); sec 2(h) of the CEA (7 USC 2(h)); sec 8a(5) of the CEA (7 USC 12a(5)); as

amended by title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, PL 111-203, 124 Stat 1376 (2010)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 05/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 3038-AD90

Agency Contact: Nancy Markowitz

Deputy Director, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5453 

E-Mail: nmarkowitz@cftc.gov

Agency Contact: Aaron Brodsky

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5349 

E-Mail: abrodsky@cftc.gov

Agency Contact: Abigail Knauff

Attorney Advisor, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5123 

E-Mail: aknauff@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE07

 View Related Documents

Title: Allocation of Business Conduct Obligations by Swap Dealers in a Prime Brokerage Arrangement

Abstract: Staff is considering whether to recommend to the Commission proposed rules that would permit two registered swap

dealers - who have entered into a prime brokerage arrangement with a swap counterparty that is not a swap dealer - to allocate

responsibility for compliance with certain business conduct obligations between the two registered swap dealers.

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Regulations.gov Friday, May 23, 2014 Unified Agenda
Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

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

Legal Authority: Not Yet Determined

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 05/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 3038-AD25

Agency Contact: Jason A. Shafer 

Attorney-Advisor, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5097 

E-Mail: jshafer@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE10

 View Related Documents

Title: Repeal of the ECM/EBOT Exemptions

Abstract: The staff is considering recommending the Commission propose regulations to repeal its part 36 regulations

regarding exempt markets.

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

Major: Undetermined Unfunded Mandates: No

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

Legal Authority: Not Yet Determined

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 05/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: David P. Van Wagner 

Chief Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5481 

FAX: 202 418-5527

E-Mail: dvanwagner@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE11

 View Related Documents

11

Regulations.gov Friday, May 23, 2014 Unified Agenda
Title: DCM and SEF Market Maker and Incentive Programs

Abstract: Staff is considering recommending rules to the Commission to provide guidance for designated contract markets

(DCM) and swap execution facilities (SEF) that establish or renew a market maker or incentive program. The proposed rules

would provide DCMs and SEFs with guidance as to what are acceptable and unacceptable programs and program terms and

other requirements that DCMs and SEFs must comply with as a condition of establishing or renewing a market maker or

incentive program.

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

Major: Undetermined Unfunded Mandates: No

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

Legal Authority: 7 USC 1 et seq

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 07/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Maggie Sklar

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5365 

E-Mail: msklar@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE15

 View Related Documents

Title: Amendments to Part 9 to Incorporate SEFs and Update Provisions Applicable to DCMS

Abstract: Staff is considering recommending to the Commission proposed rule changes to parts 3 and 9. The proposed part 3

rules would integrate existing advisory guidance, while the proposed part 9 rules would incorporate SEFs and update provisions

currently applicable to DCMs.

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

Major: Undetermined Unfunded Mandates: No

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

Legal Authority: Not Yet Determined

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 05/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: David Steinberg

Associate Director, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Center, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5102 

E-Mail: dsteinberg@cftc.gov

12

Regulations.gov Friday, May 23, 2014 Unified Agenda
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE16

 View Related Documents

Title: Alternative to Fingerprinting to Establish Fitness of Associated Persons and Principals in Certain Cases

Abstract: Staff is considering whether to recommend to the Commission a proposed rule that would permit the use of an

alternative method of establishing the fitness of associated persons and principals who reside outside of the United States. The

proposed rule would be intended to codify no-action relief that previously was provided in staff letters issued by the

Commission's Division of Swap Dealer and Intermediary Oversight.

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

Major: Undetermined Unfunded Mandates: No

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

Legal Authority: Not Yet Determined

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 06/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Jason A. Shafer 

Attorney-Advisor, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5097 

E-Mail: jshafer@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE17

 View Related Documents

Title: Amendment of Commission Regulation 23.500(g)--Definition of "Material Terms" for Purposes of Subpart I of Part 23 of

the Commission's Regulations

Abstract: Staff is considering whether to recommend to the Commission a proposed rule that would amend the definition of

"Material Terms" for purposes of subpart I of part 23 of the Commission's regulations. The proposed rule would be intended to

codify no-action relief that previously was provided in a staff letter issued by the Commission's Division of Swap Dealer and

Intermediary Oversight.

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

Major: Undetermined Unfunded Mandates: No

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

Legal Authority: Not Yet Determined

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 06/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Jason A. Shafer 

13

Regulations.gov Friday, May 23, 2014 Unified Agenda
Attorney-Advisor, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5097 

E-Mail: jshafer@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE18

 View Related Documents

Title: Business Conduct Standards for Swap Dealers and Major Swap Participants Transacting in Swaps That are Intended to

Be Cleared

Abstract: Staff is considering whether to recommend to the Commission proposed rules that would amend business conduct

standards rules for swap dealers and major swap participants transacting in swaps that are intended to be cleared. The

proposed rules would be intended to codify no-action relief that previously was provided in a staff letter issued by the

Commission's Division of Swap Dealer and Intermediary Oversight.

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

Major: Undetermined Unfunded Mandates: No

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

Legal Authority: Not Yet Determined

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 06/00/2014 

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

Washington , DC 20581 

Phone: 202 418-5425 

E-Mail: wgriffin@cftc.gov

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

 View Related Documents

Title: Regulation of Market Co-Location Services

Abstract: The staff is considering recommending the Commission finalize regulations to ensure that any exchange that offers

co-location services offers the services in a way that allows equal access to co-location by all market participants that choose to

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

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

Major: No Unfunded Mandates: No

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

Legal Authority: 7 USC 1 et seq

Legal Deadline: None

Timetable:

Action Date FR Cite

14

Regulations.gov Friday, May 23, 2014 Unified Agenda
NPRM 06/11/2010 75 FR 33198 

NPRM Comment Period End 07/12/2010 

Final Action 08/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Brian Robinson

Attorney Advisor, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5385 

E-Mail: brobinson@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 staff is considering comments received on the notice of proposed rulemaking that would impose 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 09/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Thomas J. Smith 

Chief Accountant and Deputy Director, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5495 

FAX: 202 418-5536

E-Mail: tsmith@cftc.gov

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

 View Related Documents

Title: Aggregation of Positions

Abstract: On May 30, 2012, the Commodity Futures Trading Commission published in the Federal Register a notice of

proposed modifications to part 151 of the Commission's regulations. The modifications addressed the policy for aggregation

under the Commission's position limits regime for 28 exempt and agricultural commodity futures and options contracts and the

15

Regulations.gov Friday, May 23, 2014 Unified Agenda
physical commodity swaps that are economically equivalent to such contracts. In an Order dated September 28, 2012, the

District Court for the District of Columbia vacated part 151 of the Commission's regulations. The Commission is now considering

proposing modifications to the aggregation provisions of part 150 of the Commission's regulations that are substantially similar

to the aggregation modifications proposed to part 151 in the NPRM, except that the modifications address the policy for

aggregation under the Commission's position limits regime for futures and option contracts on 9 agricultural commodities set

forth in part 150.

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

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 150 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: CEA sec 4a; CEA sec 4c; CEA sec 8a(5)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 05/30/2012 77 FR 31767

NPRM Comment Period End 06/29/2012 

Second NPRM 11/15/2013 78 FR 68946

Second NPRM Comment Period End 01/14/2014 

NPRM Comment Period Reopened 01/14/2014 79 FR 2394

NPRM Comment Period End 02/10/2014 

Final Action 07/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 3038-AD99

Agency Contact: Stephen Sherrod

Senior Economist, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Center, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5452 

FAX: 202 418-5527

E-Mail: ssherrod@cftc.gov

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

 View Related Documents

Title: Core Principle 9 for Designated Contract Markets

Abstract: Staff is considering recommending the Commission finalize regulations implementing Core Principle 9 of section 5(d)

of the CEA.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Yes Unfunded Mandates: No

CFR Citation: 17 CFR 38.500 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 17 CFR 38.500

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/22/2010 75 FR 80572

NPRM Comment Period End 02/22/2011 

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

NPRM Comment Period End 04/18/2011 

Comment Period Extended 05/04/2011 76 FR 25274

Comment Period End 06/03/2011 

Final Action 05/00/2014 

16

Regulations.gov Friday, May 23, 2014 Unified Agenda
Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Related RINs: Split From 3038-AD09

Agency Contact: Nancy Markowitz

Deputy Director, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5453 

E-Mail: nmarkowitz@cftc.gov

Agency Contact: Aaron Brodsky

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5349 

E-Mail: abrodsky@cftc.gov

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

 View Related Documents

Title: Position Limits for Commodity Derivatives Contracts

Abstract: The staff is considering recommending to the Commission proposed changes and updates the Commission's position

limits regime.

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

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 150 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: CEA sec 4a; CEA sec 4c

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/12/2013 78 FR 75680

NPRM Comment Period End 02/10/2014 

Final Action 07/00/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 3038-AD82

Agency Contact: Stephen Sherrod

Senior Economist, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Center, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5452 

FAX: 202 418-5527

E-Mail: ssherrod@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE09

 View Related Documents

17

Regulations.gov Friday, May 23, 2014 Unified Agenda
Title: Membership in a Registered Futures Association

Abstract: The staff is considering recommending that the Commission amend its regulations to require that all persons

registered with the Commission as introducing brokers ("IBs"), commodity pool operators ("CPOs"), and commodity trading

advisors ("CTAs") become and remain members of at least one registered futures association ("RFA"). The staff believes that

such a rule is necessary or appropriate to ensure comprehensive and effective market oversight and to level the regulatory

playing field for all registered intermediaries, in light of changes to the Commodity Exchange Act that were set forth in the DoddFrank Wall Street Reform and Consumer Protection Act.

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

Major: Undetermined Unfunded Mandates: No

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

Legal Authority: Not Yet Determined

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 11/08/2013 78 FR 67078

NPRM Comment Period End 01/17/2014 

Final Action 05/00/2014 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Jason A. Shafer 

Attorney-Advisor, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5097 

E-Mail: jshafer@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE14

 View Related Documents

Title: Swap Data Repositories--Access to SDR Data by Market Participants

Abstract: The Commodity Futures Trading Commission is adopting an interim final rule to clarify the scope of permissible

access by market participants to swap data and information maintained by a registered swap data repository ("SDR").

Specifically, the interim final rule clarifies that, for a swap that is executed anonymously on a swap execution facility or

designated contract market, and then cleared in accordance with the Commission's straight-through processing requirements,

the data and information maintained by a registered SDR that may be accessed by either counterparty to the swap does not

include the identity of the other counterparty to the swap, the identity of the other counterparty's clearing member for the swap,

or such counterparty's or clearing member's legal entity identifier.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Long-term Action

Major: Undetermined Unfunded Mandates: Undetermined

CFR Citation: 17 CFR 49.17 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 12a; 7 USC 24a

Legal Deadline: None

Timetable:

Action Date FR Cite

Next Action Undetermined 

Interim Final Rule 03/26/2014 79 FR 16672

Interim Final Rule Comment Period End 04/25/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

18

Regulations.gov Friday, May 23, 2014 Unified Agenda
Related RINs: Related to 3038-AD20

Agency Contact: Nora Flood

Division of Market Oversight, Attorney-Advisor

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5354 

E-Mail: nflood@cftc.gov

Agency Contact: Laurie Gussow

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Center, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-7623 

E-Mail: lgussow@cftc.gov

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

 View Related Documents

Title: Volcker Rule (Section 619)

Abstract: The Commission finalized requirements to implement section 619 of the Dodd-Frank Wall Street Reform and

Consumer Protection Act, which requires limitations on proprietary trading, investment in hedge funds, and other activities by

financial institutions.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

CFR Citation: 17 CFR 75 (To search for a specific CFR, visit the Code of Federal Regulations ) 

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

Legal Deadline: 

Action Source Description Date

Other Statutory or other specified deadline 07/21/2012 

Timetable:

Action Date FR Cite

NPRM 02/14/2012 77 FR 8332

NPRM Comment Period End 04/16/2012 

Final Action 01/31/2014 79 FR 5807

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 3038-AE13 Related Agencies: Common: OCC;

Common:

FDIC;

Common: SEC;Common: FRS

Agency Contact: Paul Schlichting

Assistant General Counsel, Office of the General Counsel

Commodity Futures Trading Commission

1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5884 

E-Mail: pschlichting@cftc.gov

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

 View Related Documents

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

19

Regulations.gov Friday, May 23, 2014 Unified Agenda
Margining Account in a Commodity Broker Bankruptcy

Abstract: The Commission finalized rules for uncleared swaps transactions between a swap dealer or major swap participant

and a counterparty that govern the segregation of assets posted as collateral by the counterparty and rules thereunder. The

Commission also finalized rule revisions to ensure that, for purposes of subchapter IV of chapter 7 of the Bankruptcy Code,

securities held in a portfolio margining account constitute "customer property" and owners of such accounts constitute

"customers."

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 23; 17 CFR 190 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: secs 713(c) and 724 of PL 111-203, 124 Stat 1376

Legal Deadline: 

Action Source Description Date

Other Statutory 07/21/2011 

Timetable:

Action Date FR Cite

NPRM 12/03/2010 75 FR 75432

NPRM Comment Period End 02/01/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 11/06/2013 78 FR 66621

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Robert B. Wasserman 

Chief Counsel, Division of Clearing and Risk

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5092 

FAX: 202 418-5528

E-Mail: rwasserman@cftc.gov

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

 View Related Documents

Title: Ownership and Control Reports, Forms 102/102S, 40/40S, and 71

Abstract: The Commission finalized rules and related forms to enhance its identification of futures and swap market

participants, and require the electronic submission of trader identification and market participant data on amended Forms 102

and 40, and on new Form 71. The new and amended forms require the reporting of certain trading accounts active on reporting

markets that are designated contract markets or swap execution facilities. Among other information, the forms enhance the

collection of ownership and control information with respect to position-based special accounts, and introduce a new reporting

regime with respect to trading accounts that meet specified volume-based reporting levels.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 15; 17 CFR 17; 17 CFR 18; 17 CFR 20 (To search for a specific CFR, visit the Code of Federal

Regulations ) 

Legal Authority: 7 USC 4a; 7 USC 4c(b); 7 USC 4g; 7 USC 4i; 7 USC 8a(5)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 07/26/2012 77 FR 43968

NPRM Comment Period End 09/24/2012 

Final Action 11/18/2013 78 FR 69178

20

Regulations.gov Friday, May 23, 2014 Unified Agenda
Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Mark Schlegel

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washinton, DC 20581

Washinton , DC 20581 

Phone: 202 418-5055 

E-Mail: mschlegel@cftc.gov

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

 View Related Documents

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

Derivatives Clearing Organizations

Abstract: The Commission finalized new amended regulations to require enhanced customer protections, risk management

programs, internal monitoring and controls, capital and liquidity standards, customer disclosures, and auditing and examination

programs for futures commission merchants (FCMs). The regulations also address certain related issues concerning derivatives

clearing organizations (DCOs) and chief compliance officers (CCOs).

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1 and 3; 17 CFR 22; 17 CFR 30; 17 CFR 140 (To search for a specific CFR, visit the Code of Federal

Regulations ) 

Legal Authority: 7 USC 6d; 7 USC 6(b); 7 USC 6(f)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 11/14/2012 77 FR 67866

NPRM Comment Period End 01/14/2013 

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

NPRM Comment Period End 02/15/2013 

Final Action 11/14/2013 78 FR 68506

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Thomas J. Smith 

Chief Accountant and Deputy Director, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5495 

FAX: 202 418-5536

E-Mail: tsmith@cftc.gov

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

 View Related Documents

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

Abstract: The Commission finalized regulations to clarify certain responsibilities of a swap dealer or major swap participant

regarding its employees who solicit, accept or effect swaps in clerical or ministerial capacity.

21

Regulations.gov Friday, May 23, 2014 Unified Agenda
Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

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

Legal Authority: 7 USC 12a(5)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 04/08/2013 78 FR 20848

NPRM Comment Period End 06/07/2013 

Final Action 10/28/2013 78 FR 64173

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Christopher W. Cummings 

Special Counsel, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5450 

FAX: 202 418-5528

E-Mail: ccummings@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE06

 View Related Documents

Title: Derivatives Clearing Organizations and International Standards

Abstract: The Commission finalized requirements for derivatives clearing organizations designated as systemically important,

relating to governance, financial resources, system safeguards, special default rules and procedures for uncovered losses or

shortfalls, risk management, additional disclosure requirements, efficiency, and recovery and wind-down procedures. These

additional requirements, which are added to subpart C of part 39 of the Commission's regulations, are consistent with The

Principles for Financial Market Infrastructures published by The Committee on Payment and Settlement Systems and the Board

of the International Organization of Securities Commissions.

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

Major: Yes Unfunded Mandates: No

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

Legal Authority: 7 USC 7a-1(c)(2)(A)(i); 7 USC 12a(5)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 08/16/2013 78 FR 50259

NPRM Comment Period End 09/16/2013 

Final Action 12/02/2013 78 FR 72476

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AD92

Agency Contact: Laura Astrada

Associate Chief Counsel, Division of Clearing and Risk

Commodity Futures Trading Commission

Three Lafayette Center, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

22

Regulations.gov Friday, May 23, 2014 Unified Agenda
Phone: 202 418-7622 

E-Mail: lastrada@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AE13

 View Related Documents

Title: Treatment of Certain CDOs Backed Primarily by TruPS With Regard to Prohibitions and Restrictions on Certain Interests

in, and Relationships with, Hedge Funds and Private Equity Funds

Abstract: The OCC, Board, FDIC, CFTC and SEC (individually, an "Agency," and collectively, "the Agencies") each adopted a

common interim final rule that would permit banking entities to retain investments in certain pooled investment vehicles that

invested their offering proceeds primarily in certain securities issued by community banking organizations of the type

grandfathered under section 171 of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"). The

interim final rule is a companion rule to the final rules adopted by the Agencies to implement section 13 of the Bank Holding

Company Act of 1956 ("BHC Act"), which was added by section 619 of the Dodd-Frank Act.

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

Major: Yes Unfunded Mandates: No

CFR Citation: 17 CFR 75.16 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 12 USC 1851

Legal Deadline: None

Timetable:

Action Date FR Cite

Interim Final Rule 01/31/2014 79 FR 5223

Interim Final Rule Comment Period End 03/31/2014 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Related RINs: Related to 3038-AD05 Related Agencies: Common: OCC;

Common: FRS;Common:

FDIC;

Common: SEC

Agency Contact: Erik Remmler

Deputy Director, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Center, 1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-7630 

E-Mail: eremmler@cftc.gov

Agency Contact: Paul Schlichting

Assistant General Counsel, Office of the General Counsel

Commodity Futures Trading Commission

1155 21st Street, NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5884 

E-Mail: pschlichting@cftc.gov

23

Regulations.gov Friday, May 23, 2014 Unified Agenda