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CFTC RIN: 3038-AD18 Publication ID: Spring 2013 
Title: Core Principles and Other Requirements for Swap Execution Facilities 
Abstract: The Commission proposed rules to 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. 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Other Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Completed Actions 
Major: Yes  Unfunded Mandates: No 
CFR Citation: 17 CFR 37   
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 Dodd-Frank Wall Street Reform and Consumer Protection Act    PL 111-203, 124 Stat 1376 (2010)   
Legal Deadline:
Action Source Description Date
Final  Statutory    07/15/2011 
Timetable:
Action Date FR Cite
NPRM  01/07/2011  76 FR 1214   
NPRM Comment Period End  03/08/2011    
NPRM Comment Period Extended  05/04/2011  76 FR 25274   
NPRM Comment Period Extended End  06/03/2011    
Final Action  06/04/2013  78 FR 33476   
Final Action Effective  08/05/2013 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Small Entities Affected: No  Federalism: No 
Included in the Regulatory Plan: 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  
RIN Data Printed in the FR: No 
Agency Contact:
Amir Zaidi
Special Counsel, Division of Market Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW.,
Washington, DC 20581
Phone:202 418-6770
Fax:202 418-5507
Email: azaidi@cftc.gov