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CFTC RIN: 3038-AE30 Publication ID: Spring 2015 
Title: ●Amendments to Existing System Safeguards Testing Requirements for Designated Contract Markets and Swap Data Repositories 
Abstract:

Staff is preparing a Notice of Proposed Rulemaking to amend the system safeguards testing requirements in part 38 for DCMs and part 49 for SDRs. The amendment would require DCMs and SDRs to conduct five major types of system safeguards testing and assessment, as often as indicated by adequate risk analysis and at least at specified minimum intervals, and would require that some types of testing be performed by independent contractors. It would also specify the minimum scope required for such testing, require certification of adequate testing frequency, and clarify system safeguards-related document production requirements in accordance with existing document production regulations.

 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 37    17 CFR 38    17 CFR 49   
Legal Authority: Not Yet Determined   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  07/00/2015 
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:
David Steinberg
Associate Director, Division of Market Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5102
Email: dsteinberg@cftc.gov