### 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

Flexi bility 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

Tradi ng 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

### 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 i n the rulemaking process.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-AE14Commodity 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 thatthe 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: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 20581Phone: 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 ActLegal 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: NoCFR 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.govCommodity 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.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 DocumentsTitle: 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.govCommodity 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. ShaferAttorney-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

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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

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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 CiteNPRM 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

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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 thephysical 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 05/00/2014Regulatory 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 DocumentsTitle: 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 regulatoryplaying 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: NoRelated 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 PortfolioMargining 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 69178Regulatory 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.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 20581Phone: 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