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CFTC RIN: 3038-AC07 Publication ID: Spring 2009 
Title: Execution of Off-Centralized Market Transactions: Regulation 1.38 and Guidance on Core Principle 9 
Abstract: Since the Commission originally promulgated regulation 1.38, the Commodity Futures Modernization Act of 2000 (CFMA) was signed into law. The CFMA, among other things, specifically expanded the allowable transactions that could be executed off the centralized market. In light of its further experience with administering the CFMA, the Commission is amending regulation 1.38, which applies to trading off the centralized market, and providing, additional guidance on block trading rules that are consistent with Core Principle 9. 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: No  Unfunded Mandates: No 
CFR Citation: 17 CFR 1    17 CFR 38   
Legal Authority: 7 USC 7   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  07/01/2004  69 FR 39880   
NPRM Comment Period End  08/30/2004    
Second NPRM  09/18/2008  73 FR 54097   
Second NPRM Comment Period End  11/17/2008    
NPRM Comment Period Extended  01/05/2009  74 FR 67453   
Final Action  09/00/2009    
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Small Entities Affected: No  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Riva Spear-Adriance
Senior Special Counsel, Division of Market Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5494
Email: radriance@cftc.gov

Gabrielle A. Sudik
Special Counsel, Division of Market Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW.,
Washington, DC 20581
Phone:202 418-5171
Fax:202 418-5507
Email: gsudik@cftc.gov