COMMODITY FUTURES TRADING COMMISSION 

17 CFR Ch. 1 

Regulatory Flexibility Agenda 

AGENCY: Commodity Futures Trading Commission. 

ACTION: Semiannual regulatory agenda. 

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

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

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

entities and others on the agenda. 

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

Commission, 1155 21st Street NW., Washington, DC 20581, (202) 418-5084, swarfield@cftc.gov. 

SUPPLEMENTARY INFORMATION: The Regulatory Flexibility Act, 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 

 

1The Commission published its definition of small entity to be used in connection with rulemaking proceedings on 

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

items contained in this regulatory flexibility agenda. See 5 U.S.C. 602(a)(1). Moreover, the Commission has 
this regard, section 602(d) of the RFA, 5 U.S.C. 602(d), provides: “Nothing in [section 602] precludes an 

agency from considering or acting on any matter not included in a regulatory flexibility agenda or requires 

an agency to consider or act on any matter listed in such agenda.” 

 The Commission’s fall 2012 regulatory flexibility agenda is set forth below. 

Issued in Washington, DC on November 13, 2012, by the Commission. 

NAME: Sauntia S. Warfield, 

Assistant Secretary of the Commission. 

 

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

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

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

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

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

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

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

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

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

the near future. 
The 83 Regulatory Agendas

Commodity Futures Trading Commission - PreRule

Title

Regulation 

Identifier 

Number

Systems Testing and Monitoring Regime for Market Participants 3038-AD52

Commodity Futures Trading Commission - Proposed Rule

Title

Regulation 

Identifier 

Number

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

Annual Stress Test 3038-AD73

Part 190 Bankruptcy Rules 3038-AD79

Position Limits for Futures and Swaps Under Part 150 3038-AD82

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

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

Application of Interpretation Regarding Guarantees of Swaps 3038-AD93

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

Commodity-Based ETFs 3038-AD95

Commodity Futures Trading Commission - Final Rule

Title

Regulation 

Identifier 

Number

Regulation of Market Co-Location Services 3038-AC92

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

Volcker Rule (Section 619) 3038-AD05

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

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

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

Broker Bankruptcy 3038-AD28

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

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

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

Exemption for Swaps Between Certain Affiliated Entities 3038-AD47

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

Cross-Border Application of Certain Swap Requirements 3038-AD57

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

Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Further Measures To Protect the

Identities of Parties To Swap Transactions 3038-AD68

Process To Make a Swap Available To Trade 3038-AD69

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

Systemically Important Derivatives Clearing Organizations 3038-AD81

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

Parties to Block Trades 3038-AD84

Exemptive Order Regarding Compliance With Certain Swap Regulations 3038-AD85

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

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

Core Principle 9 for Designated Contract Markets 3038-AD90

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

Order Exempting, Pursuant to Authority in Section 4(c) of the Commodity Exchange Act, Certain Transactions Between Entities Described in Section

201(f) of the Federal Power Act 3038-AD94

Antidisruptive Practices Authority 3038-AD96

Proposed Order and Request for Comment on a Petition From Certain Independent System Operators and Regional Transmission Organizations To

Exempt Specified Transactions 3038-AD97

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

Commodity Futures Trading Commission - Completed Action

Title

Regulation 

Identifier 

Number

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

Contracts To Qualify as Non-Narrow-Based Indices 3038-AB75
Investment of Customer Funds 3038-AC79

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

Registration of Swap Dealers and Major Swap Participants 3038-AC95

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

Bankruptcy Provisions 3038-AC99

Investment Adviser Reporting (Section 406) 3038-AD03

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

Real Time Public Reporting of Swaps Transactions 3038-AD08

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

End-User Clearing Exception 3038-AD10

Position Limits for Derivatives 3038-AD16

New Registration Requirements for Foreign Boards of Trade 3038-AD19

Swap Data Recordkeeping and Reporting Requirements 3038-AD22

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

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

Reporting and Recordkeeping for Post-Enactment Swaps 3038-AD29

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

General Regulations and Derivatives Clearing Organizations 3038-AD32

Information Management Requirements for Derivatives Clearing Organizations 3038-AD33

Financial Resources Requirements for Derivatives Clearing Organizations 3038-AD34

Risk Management Requirements for Derivatives Clearing Organizations 3038-AD35

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

MSP 3038-AD38

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

Introducing Brokers 3038-AD39

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

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

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

Major Swap Participants 3038-AD42

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

Swap Participants 3038-AD43

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

Participants 3038-AD44

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

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

Recordkeeping and Reporting: Pre-enactment and Transitional Swaps 3038-AD48

Conforming Rules on Commodity Pool Operator and Commodity Trading Advisor Regulations 3038-AD49

Conforming Rules on Registration of Intermediaries 3038-AD50

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

Conforming Rules To Adapt Regulations To Incorporate Swaps 3038-AD53

Clearing Member Risk Management 3038-AD55

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

Swap Transaction Compliance Implementation Schedules 3038-AD59

Swap Transaction Compliance and Implementation Schedule; Clearing Requirement Under Section 2(h) of the CEA 3038-AD60

Commodity Options Rulemaking 3038-AD62

Retail Commodity Transactions Under Commodity Exchange Act 3038-AD64

Revised Financial Reporting Rules and Reports of Accountants 3038-AD65

Identification of Traders and Trading Algorithms 3038-AD72

Qualified Financial Contracts Recordkeeping 3038-AD74

Adjustment of Civil Penalties for Inflation 3038-AD76

Enhancements to the Regulatory Structure for the Protection of Customer Segregated Funds Under Section 4d of the CEA and Part 30 Secured Funds 3038-AD77

Swap Data Repositories: Interpretative Statement Regarding the Confidentiality and Indemnification Provisions of Section 21(d) of the Commodity

Exchange Act 3038-AD83

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

 View Related Documents

Title: Systems Testing and Monitoring Regime for Market Participants

Abstract: The Commission is considering developing a concept release on principles-based risk controls and system safeguards in automated trading

environments such as exchange electronic trading platforms, automated trading systems, and other market participants.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: PreRule

Major: No Unfunded Mandates: No

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

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

Legal Deadline: None
Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

ANPRM 12/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Sebastian Pujol-Schott 

Associate Director, Division of Market Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5641 

E-Mail: sschott@cftc.gov

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

 View Related Documents

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

Abstract: Staff is considering recommending rules to the Commission to ensure that any exchange that offers co-location services to market participants offers

the services in a way that allows equal access to co-location by all market participants that choose to use the service, and that co-location services are priced at

a fair, equitable and reasonable manner. In this context, the new rulemaking will only address latency requirements through a re-proposal of certain provisions of

the co-location NPRM, 3038-AC92.

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

Major: No Unfunded Mandates: No

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

Legal Authority: 7 USC 1 et seq

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 03/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Swati Shah 

Attorney Advisor, Division of Market Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5042 

E-Mail: sshah@cftc.gov

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

 View Related Documents

Title: Annual Stress Test

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

Consumer Protection Act which requires certain financial companies to conduct annual stress tests pursuant to regulations prescribed by their respective primary

financial regulatory agencies. Specifically, the recommendation would require registrants and registered entities supervised by the Commodity Futures Trading
Commission with total consolidated assets of more than $10 billion to conduct an annual stress test as prescribed by this proposed rule. In addition to the annual

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

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

Major: Undetermined Unfunded Mandates: No

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

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 03/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Frank Fisanich 

Chief Counsel, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5949 

E-Mail: ffisanich@cftc.gov

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

 View Related Documents

Title: Part 190 Bankruptcy Rules

Abstract: The agency is considering proposing 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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 03/00/2013 

NPRM Comment Period End 06/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Laura Astrada 

Associate Chief Counsel, Division of Clearing and Risk

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-7622 

E-Mail: lastrada@cftc.gov
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD82

 View Related Documents

Title: Position Limits for Futures and Swaps Under Part 150

Abstract: Staff is considering recommending amendments to the Commission regulations that would: policy for aggregation under part 150; modify the guidance

on and acceptable practices for a designated contract market (DCM) in complying with core principle 5 (Position Limitations or Accountability) and establish such

guidance for a swap execution facility (SEF) that is a trading facility in complying with core principle 6 (Position Limits or Accountability); expand exemptions for

bona fide hedging transactions under rule 1.3(z) and conform associated reporting rules under part 19; and establish aggregate position limits on physical

commodity futures, swaps and certain contracts traded on a foreign board of trade.

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

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 151 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: CEA section 4a(a); CEA section 4a(a)(7)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 01/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

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-AD88

 View Related Documents

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

Abstract: The staff is considering recommending that the Commission proposes to adopt new regulations and amend existing regulations to require enhanced

customer protections, risk management programs, internal monitoring and controls, capital and liquidity standards, customer disclosures, and auditing and

examination programs for futures commission merchants (FCMs). The proposal also addresses certain related issues concerning derivatives clearing

organizations (DCOs) and chief compliance officers (CCOs). The proposed rules will afford greater assurances to market participants that: customer segregated

funds and secured amounts are protected; customers are provided with appropriate notice of the risks of futures trading and of the FCMs with which they may

choose to do business; FCMs are monitoring and managing risks in a robust manner; the capital and liquidity of FCMs are sufficient to safeguard their continued

operations; and the auditing and examination programs of the Commission and the self-regulatory organizations (SROs) are monitoring the activities of FCMs in

a prudent and thorough manner.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

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

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 11/14/2012 77 FR 67866 

NPRM Comment Period End 01/14/2013 
Final Action 03/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Thomas J. Smith 

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

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5495 

FAX: 202 418-5536

E-Mail: tsmith@cftc.gov

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

 View Related Documents

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

Abstract: Staff is considering recommending to the Commission proposed liquidity standards for financial resources maintained by derivatives clearing

organizations designated as systemically important.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

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

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 03/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Robert B. Wasserman 

Chief Counsel, Division of Clearing and Risk

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5092 

FAX: 202 418-5528

E-Mail: rwasserman@cftc.gov

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

 View Related Documents

Title: Application of Interpretation Regarding Guarantees of Swaps

Abstract: The Commission staff is recommending the Commission address certain regulatory matters arising from its interpretation that the term "swap" includes

a guarantee of such swap.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

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

Legal Authority: Not Yet Determined

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:
Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 12/00/2012 

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: The staff of the Commodity Futures Trading Commission (CFTC or Commission) is recommending the Commission consider comment on a proposal

to exempt the trading and clearing of options and futures on the shares, and any index measuring the implied volatility of such shares or options on such shares

(collectively, Shares), of commodity-based exchange traded funds (ETFs or Commodity-Based ETFs) that hold or maintain direct exposure to gold, silver,

palladium, or platinum, or any combination thereof (Precious Metal Commodity-Based ETFs) from the provisions of the Commodity Exchange Act (CEA or Act)

and the Commission's regulations thereunder to the extent necessary to permit: (1) The options on Shares of Precious Metal Commodity-Based ETFs to be

traded on national securities exchanges; (2) the futures on Shares of Precious Metal Commodity-Based ETFs to be traded on designated contract markets

registered with the Securities and Exchange Commission (SEC) as limited purpose national securities exchanges; and (3) both the options and the futures on

Shares of Precious Metal Commodity-Based ETFs to be cleared through the Options Clearing Corporation (OCC), or any other any other registered derivative

clearing organization (DCO), acting in its capacity as a registered securities clearing agency. The exemptive relief would be proposed in conjunction with an

exemptive proposal by the SEC pursuant to the new product approval process provided by section 717 of the Dodd Frank Wall Street Reform and Consumer

Protection Act (Dodd-Frank Act). The Commission is requesting comment on all aspects of the proposal.

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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 01/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Agency Contact: Graham McCall 

Attorney-Advisor, Division of Market Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-6150 

E-Mail: gmccall@cftc.gov

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

 View Related Documents

Title: Regulation of Market Co-Location Services

Abstract: The Commission proposed regulations to ensure that any exchange that offers co-location services offers the services in a way that allows equal

access to co-location by all market participants that choose to use the service, and that co-location services are priced in a fair, equitable, and reasonable

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

Major: No Unfunded Mandates: No

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

Legal Authority: 7 USC 1 et seq

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 06/11/2010 75 FR 33198 

NPRM Comment Period End 07/12/2010 

Final Action 03/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Swati Shah 

Attorney Advisor, Division of Market Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5042 

E-Mail: sshah@cftc.gov

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

 View Related Documents

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

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

Wall Street Transparency and Accountability Act of 2010.

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

Major: No Unfunded Mandates: No

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

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

Legal Deadline: 

Action Source Description Date

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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

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 09/20/2012 77 FR 58176 

Final Action 03/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 3038-AD54

Agency Contact: John C. Lawton 

Deputy Director, Division of Clearing and Risk

Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5480 

FAX: 202 418-5528

E-Mail: jlawton@cftc.gov

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

 View Related Documents

Title: Volcker Rule (Section 619)

Abstract: The Commission proposed requirements to implement section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which

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

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

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

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

Legal Deadline: 

Action Source Description Date

Other Statutory or other specified deadline 07/21/2012 

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 02/14/2012 77 FR 8332 

NPRM Comment Period End 04/16/2012 

Final Action 01/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Steven Seitz 

Counsel, Office of General Counsel

Commodity Futures Trading Commission

1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5615 

E-Mail: sseitz@cftc.gov

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

 View Related Documents

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

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

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

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

by requiring financial institutions and creditors that are regulated by either or both of the Agencies to develop and implement written identity theft programs to

detect, prevent, and mitigate identity theft in connection with the opening of certain accounts or certain existing accounts.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

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

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:
Risks:

Timetable:

Action Date FR Cite

NPRM 03/06/2012 77 FR 13450 

NPRM Comment Period End 05/07/2012 

Final Action 03/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related Agencies: Joint : SEC

Agency Contact: Dhavel Patel 

Counsel, Office of General Counsel

Commodity Futures Trading Commission

1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5125 

E-Mail: dpatel@cftc.gov

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

 View Related Documents

Title: Core Principles and Other Requirements for Swap Execution Facilities

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

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

new CEA section 1a(50); and (ii) creating registration and core principle requirements for SEFs under section 733 of the Dodd-Frank Act, which added new CEA section 5h.

The Commission's proposed rules implement the registration process for each applicant seeking registration as a SEF as well as the fifteen core principles and other

requirements that each applicant must comply with as a condition of obtaining and maintaining its registration. The proposal if adopted would also replace current part 37 of the

Commission's regulations, at present addressing rules for Derivatives Transaction Execution Facilities, with rules to implement the amendments to the CEA relevant to SEFs.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Yes Unfunded Mandates: No

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

Legal Authority: 7 USC 1a and 2; 7 USC 5 and 6; 7 USC 6a to 6p; 7 USC 7 and 7a-2; 7 USC 7b-3 and 12a; 7 USC 23 and 24 as amended by title VII and VIII of the DoddFrank Wall Street Reform and Consumer Protection Act; PL 111-203, 124 Stat 1376 (2010)

Legal Deadline: 

Action Source Description Date

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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 01/07/2011 76 FR 1214 

NPRM Comment Period End 03/08/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 12/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

RIN Information

URL: http://www.cftc.gov/LawRegulation/DoddFrankAct/Rulemakings/DF_13_SEFRules/index.htm

Public Comment

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

Agency Contact: Amir Zaidi 

Attorney-Advisor, Division of Market Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-6770 

FAX: 202 418-5507

E-Mail: azaidi@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 Margining Account in a Commodity

Broker Bankruptcy

Abstract: The Commission proposed rules for uncleared swaps transactions between a swap dealer or major swap participant and a counterparty that would

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

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

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

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

Legal Deadline: 

Action Source Description Date

Other Statutory Statutory timeframe for mandatory rulemaking where no other deadline is specified 07/21/2011 

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

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 01/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Robert B. Wasserman 

Chief Counsel, Division of Clearing and Risk

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5092 

FAX: 202 418-5528

E-Mail: rwasserman@cftc.gov

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

 View Related Documents

Title: Forms 40 and 102; Ownership and Control Report

Abstract: The Commission proposed rules to refresh the content and automation of the CFTC Form 40 and 102 to fulfill current market surveillance information

needs including swaps, and to eliminate inefficiencies and costs related to paper based submissions. The proposed rulemaking added data fields to Forms 40

and 102 to collect ownership and control reports (i.e., OCR) for certain trading accounts.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

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

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 07/26/2012 77 FR 43968 

NPRM Comment Period End 09/24/2012 

Final Action 01/00/2013 
Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Sebastian Pujol-Schott 

Associate Director, Division of Market Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5641 

E-Mail: sschott@cftc.gov

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

 View Related Documents

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

Abstract: The Commission proposed rules to implement the following sections of the Dodd-Frank Wall Street Reform and Consumer Protection Act, insofar as

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

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

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

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

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

Legal Deadline: 

Action Source Description Date

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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 01/06/2011 76 FR 722 

NPRM Comment Period End 03/07/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 03/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AD01

Agency Contact: Alicia Lewis 

Special Counsel, Division of Clearing and Risk

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5862 

E-Mail: alewis@cftc.gov

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

 View Related Documents

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

Abstract: The Commission proposed rules to implement the following sections of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Act),

insofar as they pertain to conflicts of interest: Section 726 (Rulemaking on Conflict of Interest); sections 725(c) and (d) (DCO Core Principles and Conflicts of

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

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

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

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

Legal Deadline: 

Action Source Description Date

Other Statutory 01/14/2011 
Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 10/18/2010 75 FR 63732 

NPRM Comment Period End 11/17/2010 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 03/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AD01

Agency Contact: Alicia Lewis 

Special Counsel, Division of Clearing and Risk

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5862 

E-Mail: alewis@cftc.gov

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

 View Related Documents

Title: Exemption for Swaps Between Certain Affiliated Entities

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

conditions.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 39.6 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 111-203, sec 723(a), Dodd-Frank Wall Street Reform and Consumer Protection Act; 7 USC 12a(5)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 08/21/2012 77 FR 50425 

NPRM Comment Period End 09/20/2012 

Final Action 12/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Erik Remmler 

Associate Director, Division of Clearing and Risk

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-7630 

E-Mail: eremmler@cftc.gov

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

Title: Capital Requirements for Swap Dealers and Major Swap Participants

Abstract: The Commission proposed capital requirements for swap dealers and major swap participants that are not banks, as required by section 731 of the

Wall Street Transparency and Accountability Act of 2010.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 1; 17 CFR 23; 17 CFR 140 (To search for a specific CFR, visit the Code of Federal Regulations ) 

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 05/12/2011 76 FR 27802 

NPRM Comment Period End 07/11/2011 

Final Action 03/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Thomas J. Smith 

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

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5495 

FAX: 202 418-5536

E-Mail: tsmith@cftc.gov

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

 View Related Documents

Title: Cross-Border Application of Certain Swap Requirements

Abstract: Section 2(i) of the Commodity Exchange Act, which was enacted by section 722(d) of the Dodd-Frank Wall Street Reform and Consumer Protection

(Dodd-Frank Act) provides that the swap-related provisions of the Dodd-Frank Act shall not apply to activities outside the United States unless those activities

"have a direct and significant connection with activities in, or effect on, commerce of the United States," or contravene rules or regulations that the CFTC may

promulgate to prevent evasion. The CFTC proposed guidance to clarify under what circumstances, certain foreign swap-related activities would meet that

standard.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

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

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

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

Final Action 12/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of international interest.
Agency Contact: Carlene Kim 

Assistant General Counsel, Office of the General Counsel

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5613 

E-Mail: ckim@cftc.gov

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

 View Related Documents

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

Abstract: The Commodity Futures Trading Commission (Commission or CFTC) proposed regulations that would clarify the rights and responsibilities of swap

dealers (SDs), major swap participants (MSPs) and other Commission registrants with respect to their association with a person who is also an associated

person of another SD, MSP, or other Commission registrant. The proposed regulations would expressly obligate each SD, MSP or other registrant to supervise

the associated person and subject each of them to joint and several responsibility for the activities of the associated person with respect to their common

customers.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 3; 17 CFR 23 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1a; 7 USC 2; 7 USC 6 to 6c; 7 USC 6p; 7 USC 6s; 7 USC 9 and 9a; 7 USC 13b to 13c; 7 USC 16a; 7 USC 18; 7 USC 19; 7 USC

21, as amended by the Dodd-Frank Act

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 06/15/2012 77 FR 35892 

NPRM Comment Period End 08/14/2012 

Final Action 03/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Israel Goodman 

Attorney-Advisor, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-6715 

E-Mail: igoodman@cftc.gov

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

 View Related Documents

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

Identities of Parties To Swap Transactions

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

Wall Street Reform and Consumer Protection Act. Specifically, in accordance with section 727 of the Dodd-Frank Act, the Commission proposed regulations that

would define the criteria for grouping swaps into separate swap categories and would establish methodologies for setting appropriate minimum block sizes for

each swap category. In addition, the Commission proposed further measures under part 43 of the Commission's regulations to prevent the public disclosure of

the identities, business transactions, and market positions of swap market participants.

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

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 43 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 111-203; sec 727; Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: None

Regulatory Plan:

Statement of Need:
Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 03/15/2012 77 FR 15460 

NPRM Comment Period End 05/14/2012 

Final Action 12/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: John Dunfee 

Attorney-Advisor, Office of General Counsel

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5396 

E-Mail: jdunfee@cftc.gov

Agency Contact: George Pullen 

Economist, Division of Market Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-6709 

E-Mail: gpullen@cftc.gov

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

 View Related Documents

Title: Process To Make a Swap Available To Trade

Abstract: The Commission issued a further notice of proposed rulemaking seeking comment on proposed rules that would establish 1) A filing process under

part 40 of the Commission's regulations for a designated contract market (DCM) or swap execution facility (SEF) to notify the Commission that it has determined

that a swap is "available to trade"; 2) factors that a DCM or SEF must consider to make an "available to trade" determination; and 3) the meaning and

parameters of "economically equivalent swap."

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

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 37; 17 CFR 38 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: Sec 2(h)(8) of the Commodity Exchange Act (as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 12/14/2011 76 FR 77728 

NPRM Comment Period End 02/13/2012 

Final Action 12/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Nhan H. Nguyen 

Attorney Advisor, Division of Market Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5932 

E-Mail: nnguyen@cftc.gov
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD75

 View Related Documents

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

Abstract: The Commodity Futures Trading Commission proposed amendments to its regulations regarding requirements applicable to investment companies

registered under the Investment Company Act of 1940 whose advisors will be subject to registration as commodity pool operators due to changes that the

Commission is adopting.

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

Major: No Unfunded Mandates: No

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

Legal Authority: 7 USC 6n

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 02/24/2012 77 FR 11345 

NPRM Comment Period End 04/24/2012 

Final Action 12/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Amanda Olear 

Special Counsel, Division of Swap Intermediary Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5283 

E-Mail: aolear@cftc.gov

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

 View Related Documents

Title: Systemically Important Derivatives Clearing Organizations

Abstract: The Commission is considering finalizing portions of the following proposals related to cover 2 and 2 hour recovery time for Systemically Important

DCOs: 3038-AD33 (75 FR 78185), 3038-AD34 (75 FR 63113) and 3038-AD35 (76 FR 3698).

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

Major: Undetermined Unfunded Mandates: No

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

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 10/14/2010 75 FR 63113 

NPRM 01/20/2011 76 FR 3698 

Final Action 03/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 3038-AC98; Related to 3038-AD34; Related to
3038-AD35

Agency Contact: Laura Astrada 

Associate Chief Counsel, Division of Clearing and Risk

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-7622 

E-Mail: lastrada@cftc.gov

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

 View Related Documents

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

Parties to Block Trades

Abstract: The Commission issued a notice of proposed rulemaking to add certain provisions to part 43 of the Commission's regulations pertaining to block

trades in swap contracts. The provisions would: (i) Prohibit the aggregation of orders for different trading accounts in order to satisfy the minimum block size or

cap size requirements, except for orders aggregated by certain commodity trading advisors (CTAs), investment advisers and foreign persons, if such person has

more than $25,000,000 in total assets under management (AUM); (ii) provide that parties to a block trade must individually qualify as eligible contract participants

(ECPs), except where a designated contract market allows certain CTAs, investment advisers and foreign persons to transact block trades for customers who are

not ECPs, if such CTA, investment adviser or foreign person has more than $25,000,000 in total AUM; and (iii) require that persons transacting block trades on

behalf of customers must receive prior written instruction or consent from the customer to do so.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 43.6 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: Dodd-Frank sec 727, adding CEA secs 2(a)(13)(ii)-(iii)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 06/27/2012 77 FR 38229 

NPRM Comment Period End 07/27/2012 

Final Action 12/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Agency Contact: Laurie Gussow 

Attorney-Advisor, Division of Market Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-7623 

E-Mail: lgussow@cftc.gov

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

 View Related Documents

Title: Exemptive Order Regarding Compliance With Certain Swap Regulations

Abstract: The Commission issued a notice of Proposed Exemptive Order (and Request for Comment) under which the Commodity Futures Trading Commission

(Commission) would grant, pursuant to section 4(c) of the Commodity Exchange Act (CEA), temporary exemptive relief in order to allow non-U.S. swap dealers

and non-U.S. major swap participants to delay compliance with certain entity-level requirements of the CEA (and Commission regulations promulgated

thereunder), subject to specified conditions. Additionally, with respect to transaction-level requirements of the CEA (and Commission regulations promulgated

thereunder), the relief would allow non-U.S. swap dealers and non-U.S. major swap participants, as well as foreign branches of U.S. swap dealers and major

swap participants, to comply only with those requirements as may be required in the home jurisdiction of such non-U.S. swap dealers and non-U.S. major swap

participants (or in the case of foreign branches of a U.S. swap dealer or U.S. major swap participant, the foreign location of the branch) for swaps with non-U.S.

counterparties. This relief would become effective concurrently with the date upon which swap dealers and major swap participants must first apply for registration

and expire 12 months following the publication of this proposed order in the Federal Register. Finally, U.S. swap dealers and U.S. major swap participants may

delay compliance with certain entity-level requirements of the CEA (and Commission regulations promulgated thereunder) from the date upon which swap

dealers and major swap participants must apply for registration until January 1, 2013.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 07/12/2012 77 FR 41110 

NPRM Comment Period End 08/13/2012 

Final Action 12/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Agency Contact: Carlene Kim 

Assistant General Counsel, Office of the General Counsel

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5613 

E-Mail: ckim@cftc.gov

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

 View Related Documents

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

Abstract: The Commodity Futures Trading Commission has proposed new rules to require certain credit default swaps (CDS) and interest rate swaps to be

cleared by registered clearing organizations (DCOs).

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

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 50 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 2(h)

Legal Deadline: 

Action Source Description Date

Other Statutory Statutory timeframe for mandatory rulemaking where no other deadline is specified 07/21/2011 

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 08/07/2012 77 FR 47170 

NPRM Comment Period End 09/06/2012 

Final Action 12/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Sarah E. Josephson 

Associate Director, Division of Clearing and Risk

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5684 

E-Mail: sjosephson@cftc.gov

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

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

Abstract: The Commodity Futures Trading Commission is considering finalizing regulations to establish a schedule to phase in compliance with the trade

execution requirement. The schedule will provide additional time for compliance with this requirement. This proposed rule will be finalized in 3038-AD69.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 37.12; 17 CFR 38.11 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 111-203, sec 712(f), Dodd-Frank Wall Street Reform and Consumer Protection Act; 7 USC 12a(5)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 09/20/2011 76 FR 58186 

NPRM Comment Period End 11/04/2011 

Final Action 12/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: David P. Van Wagner 

Chief Counsel, Division of Market Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5481 

FAX: 202 418-5527

E-Mail: dvanwagner@cftc.gov

Agency Contact: Nhan H. Nguyen 

Attorney Advisor, Division of Market Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5932 

E-Mail: nnguyen@cftc.gov

Agency Contact: Roger Smith 

Attorney-Advisor, Division of Market Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5344 

E-Mail: rsmith@cftc.gov

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

 View Related Documents

Title: Core Principle 9 for Designated Contract Markets

Abstract: On June 19, 2012, the Commission published final rules implementing regulations for 22 of the 23 core principles applicable to DCMs. In light of the

comments regarding the proposed rules implementing Core Principle 9, the Commission determined not to finalize those rules along with rules implementing the

other core principles in order to provide the Commission with additional time to consider the available alternatives. On June 5, 2012, the Commission held a

public roundtable to discuss the proposed regulations implementing Core Principle 9. This rulemaking will finalize the proposed regulations implementing Core

Principle 9.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Yes Unfunded Mandates: No

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

Legal Authority: 17 CFR 38.500

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:
Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 12/22/2010 75 FR 80572 

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

Comment Period Extended 05/04/2011 76 FR 25274 

Final Action 12/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Nancy Markowitz 

Assistant 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 

Attorney-Advisor, Division of Market Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5349 

E-Mail: abrodsky@cftc.gov

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

 View Related Documents

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

Abstract: The Commission proposed certain conforming amendments to recordkeeping provisions of regulations 1.31 and 1.35(a) to integrate these regulations

more fully with the new framework created by the Dodd-Frank Act. Under the proposal various market participants would be required to record under 1.35(a)

certain oral and written communications and to keep those records pursuant to regulation 1.31.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Yes Unfunded Mandates: No

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

Legal Authority: PL-111-203; 7 USC 1 et seq

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 06/07/2011 76 FR 33066 

NPRM Comment Period End 08/08/2011 

Final Action 12/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Katherine Driscoll 

Associate Director, Division of Swap Dealer Intermediary Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5544 

E-Mail: kdriscoll@cftc.gov

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

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

of the Federal Power Act

Abstract: The Commodity Futures Trading Commission is exempting certain transactions between entities described in section 201(f) of the Federal Power Act,

and/or other electric utility cooperatives, from the provisions of the Commodity Exchange Act and the Commission's regulations, subject to certain anti-fraud, antimanipulation, and record inspection conditions. Authority for this exemption is found in section 4(c) of the CEA.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final 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)(6)(C)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 08/23/2012 77 FR 50998 

NPRM Comment Period End 09/24/2012 

Final Action 02/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Agency Contact: Graham McCall 

Attorney-Advisor, Division of Market Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-6150 

E-Mail: gmccall@cftc.gov

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

 View Related Documents

Title: Antidisruptive Practices Authority

Abstract: The Commodity Futures Trading Commission (the Commission or CFTC) is considering issuing this interpretive guidance and policy statement

(interpretive statement) to provide guidance on section 747 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act), which

prohibits certain disruptive trading, practices, or conduct as set forth in new section 4c(a)(5) of the Commodity Exchange Act (the CEA). This interpretive

statement will provide market participants and the public with guidance on the scope and application of the statutory prohibitions set forth in CEA section

4c(a)(5).

Priority: Other Significant Agenda Stage of Rulemaking: 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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Final Action 12/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Steven Seitz 

Counsel, Office of General Counsel

Commodity Futures Trading Commission

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

Phone: 202 418-5615 

E-Mail: sseitz@cftc.gov

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

 View Related Documents

Title: Proposed Order and Request for Comment on a Petition From Certain Independent System Operators and Regional Transmission Organizations To

Exempt Specified Transactions

Abstract: Proposed relief from the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) swaps provisions for certain electricityrelated transactions entered into on markets administered by regional transmission organizations (RTOs) or independent system operators (ISOs).

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final 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)(6)(A); 7 USC 6(c)(6)(B)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

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

Comment Period End 09/27/2012 

Final Action 02/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: 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-AD98

 View Related Documents

Title: Clearing Exemption for Certain Swaps Entered Into by Cooperatives

Abstract: The proposed regulation would allow cooperatives meeting certain conditions to elect not to submit for clearing certain swaps that such cooperatives

would otherwise be required to clear in accordance with section 2(h)(1) of the CEA.

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

Major: No Unfunded Mandates: No

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

Legal Authority: 7 USC 6(c)(6)(A); 7 USC 6(c)(6)(B)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 07/17/2012 77 FR 41940 

NPRM Comment Period End 08/16/2012 

Final Action 12/00/2012 
Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Agency Contact: Erik Remmler 

Associate Director, Division of Clearing and Risk

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-7630 

E-Mail: eremmler@cftc.gov

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

 View Related Documents

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

Contracts To Qualify as Non-Narrow-Based Indices

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

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

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

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

Major: No Unfunded Mandates: No

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

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

Legal Deadline: 

Action Source Description Date

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

2000. 12/21/2001 

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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Withdrawn 03/23/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 3038-AB78

Agency Contact: Julian E. Hammar 

Assistant General Counsel, Office of General Counsel

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5118 

FAX: 202 418-5524

E-Mail: jhammar@cftc.gov

Agency Contact: Thomas M. Leahy Jr.

Associate Director for Product Review, Division of Market Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5278 

FAX: 202 418-5527

E-Mail: tleahy@cftc.gov

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

 View Related Documents

Title: Investment of Customer Funds

Abstract: The Commodity Futures Trading Commission issued a final rulemaking which revised the scope and character of permitted investments. This

rulemaking complies with the requirements of Dodd-Frank that directs agencies to renew their regulations and remove any references to or reliance on credit

ratings.
Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

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

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

ANPRM 05/22/2009 74 FR 23962 

ANPRM Comment Period End 07/21/2009 

NPRM 11/03/2010 75 FR 67642 

NPRM Comment Period End 12/03/2010 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 12/19/2011 76 FR 78776 

Final Action Effective 02/17/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Jon DeBord 

Attorney-Advisor, Division of Clearing and Risk

Commodity Futures Trading Commission

1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5478 

E-Mail: jdebord@cftc.gov

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

 View Related Documents

Title: Acknowledgment Letters for Customer Funds and Secured Amount Funds

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

depository holding its segregated customer funds or funds of foreign futures or foreign options customers. The staff of the Commission recommends that this

proposal be merged with other amendments being proposed in response to the Commission's public roundtable discussion on additional customer collateral

protection (see RIN 3038-AD88).

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

Major: No Unfunded Mandates: No

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

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

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 02/20/2009 74 FR 7838 

NPRM Comment Period End 03/23/2009 

Reproposal 08/09/2010 75 FR 47738 

NPRM Comment Period End 09/08/2010 

Merged With 3038-AD88 09/10/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No
Related RINs: Previously Reported as 3038-AC72; Merge with 3038-AD88

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-AC95

 View Related Documents

Title: Registration of Swap Dealers and Major Swap Participants

Abstract: The Commodity Futures Trading Commission (Commission or CFTC) adopted regulations under the Commodity Exchange Act (CEA) that establish

the process for the registration of swap dealers (SDs) and major swap participants (MSPs, and collectively with SDs, Swaps Entities) and that require Swaps

Entities to become and remain members of a registered futures association. The Commission also adopted regulations that define an "associated person" of an

SD or MSP as a natural person and that implement the prohibition on a Swaps Entity permitting an associated person who is statutorily disqualified from

registration from effecting or being involved in effecting swaps on behalf of the Swaps Entity. The Commission adopted these regulations in accordance with

section 4s of the CEA, which was recently added to the CEA by the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1, 3, 23, and 170 (To search for a specific CFR, visit the Code of Federal Regulations ) 

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

Legal Deadline: 

Action Source Description Date

Other Statutory Or other specified deadline 07/21/2011 

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 11/23/2010 75 FR 71379 

NPRM Comment Period End 01/24/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 01/20/2012 77 FR 2613 

Technical Correction 01/25/2012 77 FR 3590 

Final Action Effective 03/19/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Barbara Stern Gold 

Associate Director, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-6700 

FAX: 202 418-5528

E-Mail: bgold@cftc.gov

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

 View Related Documents

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

Bankruptcy Provisions

Abstract: The final regulation has promulgated rules governing the protection of customer property (including but not limited to segregation) for cleared swaps,

and appropriate conforming changes to the Commission's Bankruptcy Rules.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

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

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

Action Source Description Date

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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

ANPRM 12/02/2010 75 FR 75162 

ANPRM Comment Period End 01/18/2011 

Public Roundtable 06/03/2011 76 FR 31518 

NPRM 06/09/2011 76 FR 33818 

NPRM Comment Period End 08/08/2011 

Final Action 02/07/2012 77 FR 6336 

Final Action Effective 04/09/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 3038-AD28

Agency Contact: Robert B. Wasserman 

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-AD03

 View Related Documents

Title: Investment Adviser Reporting (Section 406)

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

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

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

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

CFR Citation: 17 CFR 4.5 (c)(2)(iii); 17 CFR 4.5(c)(5); 17 CFR 4.7(a)(3)(ix); 17 CFR 4.7(a)(3)(x); 17 CFR 4.7(a)(3)(x); 17 CFR 4.13(a)(3)(ii)(B)(1); 17 CFR

4.13(a)(3)(ii)(B)(2); 17 CFR 4.13(b)(1)(ii); 17 CFR 4.13(b)(4); 17 CFR 4.13(b)(5); 17 CFR 4.13(e); 17 CFR 4.14(a)(8)(i)(D); 17 CFR 4.14(a)(8)(iii)(D); 17 CFR

4.14(a)(8)(iii)(E); 17 CFR 4.24(b)(5); 17 CFR 4.34(b)(4); 17 CFR 4.27; 17 CFR 145.5(d)(1)(viii); 17 CFR 145.5(h); 17 CFR 147.3(b)(4)(i)(H); 17 CFR 147.3(b)(8)

(To search for a specific CFR, visit the Code of Federal Regulations ) 

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

Legal Deadline: 

Action Source Description Date

Other Statutory or other specified deadline 07/21/2011 

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 02/11/2011 76 FR 8068 

NPRM Comment Period End 04/12/2011 

Final Action 11/16/2011 76 FR 71128 

Final Action Effective 03/31/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

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

Agency Contact: Kevin Walek 

Assistant Director, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5463 

E-Mail: kwalek@cftc.gov

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

 View Related Documents

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

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

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

eligible contract participant).

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

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

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

Legal Deadline: 

Action Source Description Date

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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

ANPRM 08/13/2010 75 FR 51429 

ANPRM Comment Period End 09/20/2010 

NPRM 12/21/2010 75 FR 80174 

NPRM Comment Period End 02/22/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Joint Public Roundtable 06/06/2011 76 FR 34667 

Final Action 05/23/2012 77 FR 60596 

Correction 07/05/2012 77 FR 39626 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related Agencies: Joint : SEC

Agency Contact: Jeffrey P. Burns 

Assistant General Counsel, Office of the General Counsel

Commodity Futures Trading Commission

1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5101 

E-Mail: jburns@cftc.gov

Agency Contact: Mark Fajfar 

Assistant General Counsel, Office of General Counsel

Commodity Futures Trading Commission

1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-6636 

E-Mail: mfajfar@cftc.gov

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

 View Related Documents

Title: Real Time Public Reporting of Swaps Transactions

Abstract: The Commission finalized the proposed rules relating to reporting in real time of specific swaps transaction and pricing data mandated by section 727

of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

CFR Citation: 17 CFR 43 (To search for a specific CFR, visit the Code of Federal Regulations ) 

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

Legal Deadline: 

Action Source Description Date

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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Public Meeting 09/14/2010 75 FR 55575 

NPRM 12/07/2010 75 FR 76140 

NPRM Comment Period End 02/07/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 01/09/2012 77 FR 1182 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Thomas M. Leahy Jr.

Associate Director for Product Review, Division of Market Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5278 

FAX: 202 418-5527

E-Mail: tleahy@cftc.gov

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

 View Related Documents

Title: Core Principles and Other Requirements for Designated Contract Markets

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

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

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

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

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

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

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

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

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

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

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

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

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

Legal Deadline: 

Action Source Description Date

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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 12/22/2010 75 FR 80571 

NPRM Comment Period End 02/22/2011 
NPRM Comment Period Extended 05/04/2011 76 FR 25274 

NPRM Comment Period Extended End 06/03/2011 

Final Action 06/19/2012 77 FR 36612 

Final Action Effective 08/20/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

RIN Information

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

Public Comment

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

Agency Contact: Nancy Markowitz 

Assistant Deputy Director, Division of Market Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5453 

E-Mail: nmarkowitz@cftc.gov

Agency Contact: Nadia Zakir 

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5720 

E-Mail: nzakir@cftc.gov

Agency Contact: Aaron Brodsky 

Attorney-Advisor, Division of Market Oversight

Commodity Futures Trading Commission

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-AD10

 View Related Documents

Title: End-User Clearing Exception

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

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

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

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

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

"commercial risk" in this context.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 39.6 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 111-203, sec 721(b), 723(a), Dodd-Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: 

Action Source Description Date

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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 12/23/2010 75 FR 80747 

NPRM Comment Period End 02/22/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 07/19/2012 77 FR 41940 

Final Rule Effective 09/17/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Eileen Donovan 

Associate Director, Division of Clearing and Risk

Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5096 

E-Mail: edonovan@cftc.gov

Agency Contact: Erik Remmler 

Associate Director, Division of Clearing and Risk

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-7630 

E-Mail: eremmler@cftc.gov

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

 View Related Documents

Title: Position Limits for Derivatives

Abstract: The Commission finalized proposed rules to impose position limits, on an aggregate basis, on futures and swaps relating to exempt in order to: (a)

Diminish, eliminate, or prevent excessive speculation; (b) deter and prevent market manipulation, squeezes, and corners; (c) ensure sufficient market liquidity for

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

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

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

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

Legal Deadline: 

Action Source Description Date

Other Statutory 01/17/2011 

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 01/26/2011 76 FR 4752 

NPRM Comment Period End 03/28/2011 

IFRM/Final Rule 11/18/2011 76 FR 71626 

Interim Final Rule Comment Period End 01/17/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

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-AD19

 View Related Documents

Title: New Registration Requirements for Foreign Boards of Trade

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

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

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

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

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

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

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

Legal Deadline: None
Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 11/19/2010 75 FR 70974 

NPRM Comment Period End 01/18/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 12/23/2011 76 FR 80674 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Duane C. Andresen 

Senior Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5492 

FAX: 202 418-5527

E-Mail: dandresen@cftc.gov

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

 View Related Documents

Title: Swap Data Recordkeeping and Reporting Requirements

Abstract: The Commission adopted rules to implement swap data recordkeeping and reporting requirements added by Dodd-Frank.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

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

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

Legal Deadline: 

Action Source Description Date

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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Public Meeting 09/14/2010 75 FR 55575 

Public Meeting 11/19/2010 

NPRM 12/08/2010 75 FR 76574 

NPRM Comment Period End 02/07/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 01/13/2012 77 FR 2136 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: David Taylor 

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5488 

E-Mail: dtaylor@cftc.gov
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD24

 View Related Documents

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

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

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

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

Major: No Unfunded Mandates: No

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

Legal Authority: 7 USC 4r

Legal Deadline: 

Action Source Description Date

Other Statutory 10/19/2010 

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Interim Final Rule 10/14/2010 75 FR 63080 

Interim Final Rule Comment Period End 11/15/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Agency Contact: David Taylor 

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5488 

E-Mail: dtaylor@cftc.gov

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

 View Related Documents

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

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

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

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

abusive conduct.

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

Major: Yes Unfunded Mandates: No

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

Legal Authority: 7 USC 6s and 12a

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 12/22/2010 75 FR 80638 

NPRM Comment Period End 02/22/2011 

Final Action 02/17/2012 77 FR 9734 

Final Action Effective 04/17/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No
Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Phyllis J. Cela 

Deputy Director and Chief Counsel, Division of Enforcement

Commodity Futures Trading Commission

1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5374 

E-Mail: pcela@cftc.gov

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

 View Related Documents

Title: Reporting and Recordkeeping for Post-Enactment Swaps

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

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

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

that statute. The interim final rule alerted counterparties that these swaps may be subject to reporting rules and ensured the preservation of data relating to those

swaps pending implementation of further rules."

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

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

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Interim Final Rule 12/17/2010 75 FR 78892 

Interim Final Rule Comment Period End 01/18/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: David Taylor 

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5488 

E-Mail: dtaylor@cftc.gov

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

 View Related Documents

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

Abstract: The Commission has adopted regulations which rescind an exemption from registration as a commodity pool operator; rescind exemptions from the

certification requirement for annual reports for certain commodity pools; modify criteria for claiming exclusion from the definition of "commodity pool operator;"

require the annual filing of notices claiming exemptive relief under several sections of the Commission's regulations; and expand the prescribed risk disclosures

for commodity pool operators and commodity trading advisors to address swap transactions. The Commission also has adopted new data collections for

commodity pool operators and commodity trading advisors that are consistent with a data collection required under the Dodd-Frank Act for entities registered with

the Commission and the Securities and Exchange Commission.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

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

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:
Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 02/11/2011 76 FR 7976 

NPRM Comment Period End 04/12/2011 

Final Action 02/24/2012 77 FR 11252 

Correction 03/26/2012 77 FR 17328 

Final Action Effective 04/25/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Kevin Walek 

Assistant Director, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5463 

E-Mail: kwalek@cftc.gov

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

 View Related Documents

Title: General Regulations and Derivatives Clearing Organizations

Abstract: Amendments to part 39 of the Commission's regulations establish the regulatory standards for compliance with Derivatives Clearing Organization

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

requirements set forth in section 5b of the Commodity Exchange Act. The amendments to part 39 also revise procedures for DCO applications, clarify procedures

for the transfer of a DCO registration, add requirements for approval of DCO rules establishing a portfolio margining program for customer accounts carried by a

futures commission merchant that is also registered as a securities broker-dealer, and make certain technical amendments. Amendments to part 1 update the

definitions of "clearing member" and "clearing organization."

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

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

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 12/13/2010 75 FR 77576 

NPRM Comment Period End 02/11/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 11/08/2011 76 FR 69334 

Final Action Effective 01/09/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC98

Agency Contact: Phyllis P. Dietz 

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: 202 418-5449 

FAX: 202 418-5536

E-Mail: pdietz@cftc.gov
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD33

 View Related Documents

Title: Information Management Requirements for Derivatives Clearing Organizations

Abstract: Amended part 39 of the Commission's regulations establishes the regulatory standards for compliance with DCO Core Principles J (Reporting), K

(Recordkeeping), L (Public Information), and M (Information Sharing). Additionally, the Commission made technical amendments to parts 1 and 21 in connection

with the proposed regulations. The Commission also delegated to the Director of the Division of Clearing and Risk the Commission's authority to perform certain

functions in connection with the proposed regulations.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

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

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 12/15/2010 75 FR 78185 

NPRM Comment Period End 02/14/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 11/08/2011 76 FR 69334 

Final Action Effective 01/09/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC98

Agency Contact: Phyllis P. Dietz 

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: 202 418-5449 

FAX: 202 418-5536

E-Mail: pdietz@cftc.gov

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

 View Related Documents

Title: Financial Resources Requirements for Derivatives Clearing Organizations

Abstract: Regulation 39.11 establishes financial resources requirements for derivatives clearing organizations, for the purpose of ensuring that they maintain

sufficient financial resources to enable them to perform their functions in compliance with the Commodity Exchange Act. The Commission also adopted

amendments to part 140 that delegate certain authority under part 39 to the Director of the Division of Clearing and Risk.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

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

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 10/14/2010 75 FR 63113 
NPRM Comment Period End 12/13/2010 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 11/08/2011 76 FR 69334 

Final Action Effective 01/09/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC98

Agency Contact: Phyllis P. Dietz 

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: 202 418-5449 

FAX: 202 418-5536

E-Mail: pdietz@cftc.gov

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

 View Related Documents

Title: Risk Management Requirements for Derivatives Clearing Organizations

Abstract: Regulations establish the regulatory standards for compliance with derivatives clearing organization (DCO) Core Principles C (Participant and Product

Eligibility), D (Risk Management), E (Settlement Procedures), F (Treatment of Funds), G (Default Rules and Procedures), and I (System Safeguards). The

Commission also replaced the part 39 appendix A, Application Guidance and Compliance with Core Principles, with an application form for entities seeking to

register as DCOs.

Priority: Other Significant 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: sec 5b of the Commodity Exchange Act; 7 USC 7a-1; sec 8a(5) of the Commodity Exchange Act; 7 USC 12a(5)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 01/20/2011 76 FR 3698 

NPRM Comment Period End 03/21/2011 

Final Action 11/08/2011 76 FR 69334 

Final Action Effective 01/09/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC98

Agency Contact: Phyllis P. Dietz 

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: 202 418-5449 

FAX: 202 418-5536

E-Mail: pdietz@cftc.gov

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

 View Related Documents

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

MSP

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

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

each futures commission merchant, swap dealer, and major swap participant to designate a chief compliance officer. The rules also prescribe qualifications and
duties of the chief compliance officer. Finally, the rules require that the chief compliance officer prepare, certify, and furnish to the Commission an annual report

containing an assessment of the registrant's compliance activities.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

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

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

Legal Deadline: 

Action Source Description Date

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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 11/19/2010 75 FR 70881 

NPRM Comment Period End 01/18/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 04/03/2012 77 FR 20128 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC96

Agency Contact: Frank Fisanich 

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-AD39

 View Related Documents

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

Brokers

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

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

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

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

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

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

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

Legal Deadline: 

Action Source Description Date

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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 11/17/2010 75 FR 70152 

NPRM Comment Period End 01/18/2011 

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

NPRM Comment Period Extended End 06/03/2011 
Final Action 04/03/2012 77 FR 20128 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC96

Agency Contact: Frank Fisanich 

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-AD40

 View Related Documents

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

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

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

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

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

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

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

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

Legal Deadline: 

Action Source Description Date

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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 11/23/2010 75 FR 71391 

NPRM Comment Period End 01/24/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 04/03/2012 77 FR 20128 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC96

Agency Contact: Frank Fisanich 

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-AD41

 View Related Documents

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

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

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

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

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

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

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

swap dealers and major swap participants must comply to maintain registration as a swap dealer or major swap participant.
Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

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

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

Legal Deadline: 

Action Source Description Date

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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 11/23/2010 75 FR 71397 

NPRM Comment Period End 01/24/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 04/03/2012 77 FR 20128 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC96

Agency Contact: Frank Fisanich 

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-AD42

 View Related Documents

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

Major Swap Participants

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

title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Section 731 of the Dodd-Frank Act added a new section 4s(i) to

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

and accurate confirmation, processing, netting, documentation, and valuation of swaps. The final rule sets forth parameters for the inclusion of an orderly

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

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

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

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

Legal Deadline: 

Action Source Description Date

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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 02/08/2011 76 FR 6708 

NPRM Comment Period End 04/11/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 09/11/2012 77 FR 55904 

Final Action Effective 11/13/2012 
Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC96

Agency Contact: Frank Fisanich 

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-AD43

 View Related Documents

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

Participants

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

title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Section 731 of the Dodd-Frank Act added a new section 4s(i) to

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

and accurate confirmation, processing, netting, documentation, and valuation of swaps. The final rules establish requirements for swap confirmation, portfolio

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

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

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

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

Legal Deadline: 

Action Source Description Date

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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 12/28/2010 75 FR 81519 

NPRM Comment Period End 02/28/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 09/11/2012 77 FR 55904 

Final Action Effective 11/13/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC96

Agency Contact: Frank Fisanich 

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-AD44

 View Related Documents

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

Participants

Abstract: The Commodity Futures Trading Commission (Commission or CFTC) has adopted regulations to implement new statutory provisions enacted by title

VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Section 731 of the Dodd-Frank Act added new sections 4s(f) and (g)

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

major swap participants. The regulations establish regulatory standards for compliance with these new sections of the CEA.
Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

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

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

Legal Deadline: 

Action Source Description Date

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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 12/09/2010 75 FR 76666 

NPRM Comment Period End 02/07/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 04/03/2012 77 FR 20128 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC96

Agency Contact: Frank Fisanich 

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-AD45

 View Related Documents

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

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

title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Section 731 of the Dodd-Frank Act added a new section 4s(i) to

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

and accurate confirmation, processing, netting, documentation, and valuation of swaps. The final rules establish requirements for swap trading relationship

documentation for swap dealers and major swap participants.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

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

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

Legal Deadline: 

Action Source Description Date

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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 02/08/2011 76 FR 6715 

NPRM Comment Period End 04/11/2011 

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

NPRM Comment Period Extended End 06/03/2011 

NPRM Further Notice 09/20/2011 76 FR 58176 

Final Action 09/11/2012 77 FR 55904 

Final Action Effective 11/13/2012 
Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 3038-AC96

Agency Contact: Frank Fisanich 

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-AD46

 View Related Documents

Title: Further Product Definitions Relating to Swaps and Security Based Swaps

Abstract: The CFTC and SEC, in consultation with the Board of Governors of the Federal Reserve System, jointly further defined the terms: 1) "Swap,"

"security-based swap," and "security-based swap agreement"; 2) prescribe regulations regarding mixed swaps; and 3) adopt regulations governing books and

records with respect to security-based swap agreements.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

CFR Citation: 17 CFR 1.3; 17 CFR 1.6 to 1.9 (To search for a specific CFR, visit the Code of Federal Regulations ) 

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

Legal Deadline: 

Action Source Description Date

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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

ANPRM 08/13/2010 75 FR 51429 

ANPRM Comment Period End 09/20/2010 

NPRM 05/23/2011 76 FR 29818 

NPRM Comment Period End 07/22/2011 

Final Action 08/13/2012 77 FR 48207 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

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

Agency Contact: Julian E. Hammar 

Assistant General Counsel, Office of General Counsel

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5118 

FAX: 202 418-5524

E-Mail: jhammar@cftc.gov

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

 View Related Documents

Title: Recordkeeping and Reporting: Pre-enactment and Transitional Swaps

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

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

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

swaps). The Commission has proposed for comment and is finalizing rules to implement this requirement.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 46 (To search for a specific CFR, visit the Code of Federal Regulations ) 
Legal Authority: sec 2(h) of the Commodity Exchange Act, as amended by the Dodd-Frank Act

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 04/25/2011 76 FR 22833 

NPRM Comment Period End 06/09/2011 

Final Action 06/12/2012 77 FR 35200 

Final Action Effective 08/12/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: David Taylor 

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5488 

E-Mail: dtaylor@cftc.gov

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

 View Related Documents

Title: Conforming Rules on Commodity Pool Operator and Commodity Trading Advisor Regulations

Abstract: The Commodity Futures Trading Commission has amended Part 4 of its regulations, which concerns the operations and activities of commodity pool

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

Street Reform and Consumer Protection Act.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

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

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 03/03/2011 76 FR 11701 

NPRM Comment Period End 05/02/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 09/05/2012 77 FR 54355 

Final Action Effective 11/05/2012 

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

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Barbara Stern Gold 

Associate Director, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-6700 

FAX: 202 418-5528
E-Mail: bgold@cftc.gov

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

 View Related Documents

Title: Conforming Rules on Registration of Intermediaries

Abstract: The Commodity Futures Trading Commission has amended regulations to further implement new statutory provisions enacted by title VII of the DoddFrank Wall Street Reform and Consumer Protection Act regarding registration of intermediaries. Specifically, the Commission adopted: (i) Certain conforming

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

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

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

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

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 03/09/2011 76 FR 12888 

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

NPRM Comment Period End 05/09/2011 

NPRM Comment Period Extended End 06/03/2011 

Final Action 08/28/2012 77 FR 51898 

Final Action Effective 10/29/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Andrew V. Chapin 

Associate Director, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5465 

FAX: 202 418-5536

E-Mail: achapin@cftc.gov

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

 View Related Documents

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

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

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

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

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

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

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:
Timetable:

Action Date FR Cite

NPRM 03/10/2011 76 FR 13101 

NPRM Comment Period End 04/11/2011 

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

NPRM Comment Period Extended End 06/03/2011 

Final Action 04/09/2012 77 FR 21278 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Phyllis P. Dietz 

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: 202 418-5449 

FAX: 202 418-5536

E-Mail: pdietz@cftc.gov

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-AD53

 View Related Documents

Title: Conforming Rules To Adapt Regulations To Incorporate Swaps

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

rules would make a number of conforming changes to the CFTC's regulations to more fully integrate them with the new statutory and regulatory framework.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

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

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

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 06/07/2011 76 FR 33066 

NPRM Comment Period End 08/08/2011 

Final Action 11/02/2012 77 FR 66287 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: John C. Lawton 

Deputy Director, Division of Clearing and 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-AD55

 View Related Documents
Title: Clearing Member Risk Management

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

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

dealers, and major swap participants that are clearing members.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

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

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 08/01/2011 76 FR 45724 

NPRM Comment Period End 09/30/2011 

Final Action 04/09/2012 77 FR 21278 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: John C. Lawton 

Deputy Director, Division of Clearing and 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-AD56

 View Related Documents

Title: Customer Clearing Documentation and Timing of Acceptance for Clearing

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

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

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

clearing members.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

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

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 08/01/2011 76 FR 45730 

Correction 08/05/2011 76 FR 47529 

NPRM Comment Period End 09/30/2011 

Final Action 04/09/2012 77 FR 21278 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

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

Agency Contact: John C. Lawton 

Deputy Director, Division of Clearing and 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-AD59

 View Related Documents

Title: Swap Transaction Compliance Implementation Schedules

Abstract: The CFTC requested further comment in two proposed rulemakings RIN 3038-AD45 (76 FR 6715) and RIN 3038-AC97 (76 FR 23732) establishing a

schedule to phase in compliance. This will be finalized in RIN's 3038-AD45 and 3038-AC97.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

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

Legal Authority: PL 111-203, sec 712(f), Dodd-Frank Wall Street Reform and Consumer Protection Act; 7 USC 12a(5)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM--Further Notice 09/20/2011 76 FR 58176 

Merged With 3038-AD45 and 3038-AC97 11/04/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Merge with 3038-AD45; Merge with 3038-AC97

Agency Contact: Frank Fisanich 

Chief Counsel, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5949 

E-Mail: ffisanich@cftc.gov

Agency Contact: Brian O'Keefe 

Associate Director, Division of Clearing and Risk

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5658 

E-Mail: bokeefe@cftc.gov

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

 View Related Documents

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

Abstract: The CFTC finalized a transaction compliance schedule for the mandatory clearing requirements of section 2(h)(1)(A) of the Commodity Exchange Act.

The Commission is considering finalizing a compliance schedule for the trade execution requirements of section 2(h)(8)(A) of the CEA.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

CFR Citation: 17 CFR 37; 17 CFR 38; 17 CFR 39 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 111-203, sec 712(f), Dodd-Frank Wall Street Reform and Consumer Protection Act; 7 USC 12a(5)

Legal Deadline: None

Regulatory Plan:

Statement of Need:
Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 09/20/2011 76 FR 58186 

NPRM Comment Period End 11/04/2011 

Final Action 07/30/2012 77 FR 44441 

Final Action Effective 09/28/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Brian O'Keefe 

Associate Director, Division of Clearing and Risk

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5658 

E-Mail: bokeefe@cftc.gov

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

 View Related Documents

Title: Commodity Options Rulemaking

Abstract: The Commission proposed and requested comment on, among other things, rules to allow the commodity options. The Commodity Exchange Act

definition of swap, added by the Dodd-Frank Wall Street Reform and Consumer Protection Act, generally included options.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 3; 17 CFR 32; 17 CFR 33 (To search for a specific CFR, visit the Code of Federal Regulations ) 

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

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

ANPRM 09/28/2010 75 FR 59666 

ANPRM Comment Period End 10/28/2010 

NPRM 02/03/2011 76 FR 6095 

NPRM Comment Period End 04/04/2011 

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

NPRM Comment Period Extended End 06/30/2011 

Final Action 04/27/2012 77 FR 25320 

Final Action Effective 06/26/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Split From 3038-AD21

Agency Contact: Donald H. Heitman 

Senior Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5041 

FAX: 202 418-5507

E-Mail: dheitman@cftc.gov
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD64

 View Related Documents

Title: Retail Commodity Transactions Under Commodity Exchange Act

Abstract: The Commission issued an interpretation of the term "actual delivery" as set forth in section 2(c)(2)(D)(ii)(III)(aa) of the CEA pursuant to section 742(a)

of the Dodd-Frank Wall Street Reform and Consumer Protection Act to provide guidance on how the Commission intends to assess whether retail transactions

result in actual delivery within the meaning of the statute. The Commission requested comment on whether this interpretation accurately construes the statutory

language.

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

Major: Undetermined Unfunded Mandates: No

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

Legal Authority: Sec 742 of PL 111-203 (Dodd-Frank)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Interpretation 12/14/2011 76 FR 77670 

Interpretation Comment Period End 02/13/2012 

Withdrawn-No Further Action Required 02/13/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Rosemary Hollinger 

Regional Counsel, Division of Enforcement

Commodity Futures Trading Commission

525 W. Monroe Street, Chicago, IL 60661

Chicago , IL 60661 

Phone: 312 595-0838 

E-Mail: rhollinger@cftc.gov

Agency Contact: Martin B. White 

Attorney, Office of General Counsel

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5120 

FAX: 202 418-5524

E-Mail: mwhite@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD65

 View Related Documents

Title: Revised Financial Reporting Rules and Reports of Accountants

Abstract: Staff is considering recommending possible amendments to the Commission's regulations that prescribe financial reporting rules and reports of

accountants.

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

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1.10; 17 CFR 1.16; 17 CFR 5.12 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1 et seq

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite
Withdrawn 10/18/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Mark Bretscher 

Special Counsel, Division of Swap Intermediary Oversight

Commodity Futures Trading Commission

525 W. Monroe Street, Suite 1100, Chicago, IL 60661

Chicago , IL 60661 

Phone: 312 596-0529 

E-Mail: mbretscher@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD72

 View Related Documents

Title: Identification of Traders and Trading Algorithms

Abstract: The Commission staff is considering recommending the Commission consider a notice of proposed rulemaking (NPRM) that would provide for the

identification of traders and trading algorithms active on designated contract markets and swap execution facilities.

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

Major: Undetermined Unfunded Mandates: No

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

Legal Authority: sec 4g of the CEA

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Withdrawn 10/26/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Eric Seinsheimer 

Attorney-Advisor, Division of Market Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-6620 

E-Mail: eseinshimer@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD74

 View Related Documents

Title: Qualified Financial Contracts Recordkeeping

Abstract: Section 210(c)(8)(H) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Act) provides that, within 24 months of the enactment

of the Act, the CFTC (Commission), OCC, Board, FDIC, SEC, and FHFA (the Agencies) must jointly prescribe regulations that require financial companies to

maintain such records with respect to qualified financial contracts (as defined in section 210(c)(8)(D) of the Act) that the Agencies determine to be necessary or

appropriate to assist the FDIC as receiver for a covered financial company to exercise its rights and fulfill its obligations under sections 210(c)(8), (9), and (10) of

the Act. Further, section 210(c)(8)(H)(iii) of the Act requires the Chairperson of the FSOC to prescribe the regulations, in consultation with the FDIC, in the

absence of action by the Agencies. Because more than 24 months has elapsed since the enactment of the Act without the promulgation of such regulations, the

Commission is withdrawing this item from the Unified Agenda

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

Major: Undetermined Unfunded Mandates: No

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

Legal Authority: Sec 210(c)(8)(H) of the Dodd–Frank Wall Street Reform and Consumer Protection Act

Legal Deadline: None

Regulatory Plan:

Statement of Need:
Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Withdrawn 10/01/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related Agencies: Joint : SEC; Joint : FHFA; Joint : FDIC

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-AD76

 View Related Documents

Title: Adjustment of Civil Penalties for Inflation

Abstract: The Commission is considering amending its rule that governs the maximum amount of civil monetary penalties, to adjust for inflation. This rule sets

forth the maximum, inflation-adjusted dollar amount for civil monetary penalties assessable for violations of the CEA and/or Commission rules and orders

thereunder. The rule, as amended, implements the Federal Civil Penalties Inflation Adjustment Act of 1990, as amended by the Debt Collection Improvement Act

of 1996.

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

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 143.8 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 9; 7 USC 9a; 7 USC 12a(5); 7 USC 13(a); 7 USC 13a-1(d); 7 USC 15; 31 USC 3701 to 3719; 28 USC 2461 note

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Final Action 10/25/2012 77 FR 65100 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Edward Riccobene 

Chief, Policy and Review

Commodity Futures Trading Commission

Division of Enforcement, 1155 21st Street NW., Washington, DC 20581

Washington , DC 20581 

Phone: 202 418-5327 

E-Mail: ericcobene@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD77

 View Related Documents

Title: Enhancements to the Regulatory Structure for the Protection of Customer Segregated Funds Under Section 4d of the CEA and Part 30 Secured Funds

Abstract: The staff of the Division of Swap Intermediary Oversight held a public roundtable to get public input on the protections afforded customer funds

required to be segregated by FCMs under section 4d of the Commodity Exchange Act, and funds required to be set aside by FCMs in part 30 secured accounts.

The staff recommended the roundtable discussions be merged with other amendments proposed in RIN 3038-AD88.

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

CFR Citation: 17 CFR 1.12; 17 CFR 1.20; 17 CFR 1.23; 17 CFR 1.32; 17 CFR 30.7 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1 et seq

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Merged With 3038-AD88 10/01/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Merge with 3038-AD88

Agency Contact: Amanda Olear 

Special Counsel, Division of Swap Intermediary Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5283 

E-Mail: aolear@cftc.gov

Agency Contact: Jennifer C.P. Bauer 

Special Counsel, Division of Swap Intermediary Oversight

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5472 

FAX: 202 418-5528

E-Mail: jbauer@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AD83

 View Related Documents

Title: Swap Data Repositories: Interpretative Statement Regarding the Confidentiality and Indemnification Provisions of Section 21(d) of the Commodity

Exchange Act

Abstract: The Commodity Futures Trading Commission issued an interpretative statement (Statement) to provide guidance regarding the applicability of the

confidentiality and indemnification provisions set forth in new section 21(d) of the Commodity Exchange Act (CEA) added by section 728 of the Dodd-Frank Wall

Street Reform and Consumer Protection Act. The proposed Statement clarifies that the provisions of CEA section 21(d) should not operate to inhibit or prevent

foreign regulatory authorities from accessing data in which they have an independent and sufficient regulatory interest.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: No

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

Legal Authority: 7 USC 12a and 24a 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

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Proposed Interpretative Statement 05/07/2012 77 FR 26709 

Proposed Interpretative Statement Comment Period 06/06/2012 

Final Action 10/25/2012 77 FR 65177 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No
Agency Contact: Jacqueline Mesa 

Director, Office of International Affairs

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5386 

E-Mail: jmesa@cftc.gov

Agency Contact: Mauricio Melara 

Special Counsel, Office of International Affairs

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-5719 

FAX: 202 418-5507

E-Mail: mmelara@cftc.gov

Agency Contact: Adedayo Banwo 

Counsel, Office of General Counsel

Commodity Futures Trading Commission

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

Washington , DC 20581 

Phone: 202 418-6249