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CFTC RIN: 3038-AE01 Publication ID: Spring 2015 
Title: Block Trading for Futures and Options on Futures Contracts and Centralized Market Trading on Designated Contract Markets 
Abstract:

Staff is recommending that the Commission propose new and amended rules concerning trading both on and off the centralized market of a designated contract market (DCM). The proposed rules would limit block trading to a specified percentage of Average Daily Volume of futures and of options on futures contracts listed by a DCM. The proposed rules also establish specific requirements for centralized market trading on a DCM. Finally, the proposed rules correct cross-references in the Commission's existing regulations and acceptable practices.

 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Other Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 38.500   
Legal Authority: 7 U.S.C. 7    CEA sec 5    7 U.S.C. 2(h)    CEA sec 2(h)    7 U.S.C. 12(a)(5)    CEA sec 8(a)(5)    Pub. L. 111-203, Dodd Frank    124 Stat 1376 (2010)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  06/00/2015 
Final Action  12/00/2015 
Final Action Effective  02/00/2016 
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 
Related RINs: Related to 3038-AD90 
Agency Contact:
Nancy Markowitz
Deputy Director, Division of Market Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5453
Email: nmarkowitz@cftc.gov

Abigail Knauff
Special Counsel, Division of Market Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5123
Email: aknauff@cftc.gov

Aaron Brodsky
Senior Special Counsel, Division of Market Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5349
Email: abrodsky@cftc.gov