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CFTC RIN: 3038-AE07 Publication ID: Spring 2016 
Title: Allocation of Business Conduct Obligations by Swap Dealers in a Prime Brokerage Arrangement 
Abstract:

Staff is considering whether to recommend to the Commission proposed rules that would permit two registered swap dealers--who have entered into a prime brokerage arrangement with a swap counterparty that is not a swap dealer--to allocate responsibility for compliance with certain business conduct obligations between the two registered swap dealers.

 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
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
Timetable:
Action Date FR Cite
NPRM  05/00/2016 
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-AD25 
Agency Contact:
Frank Fisanich
Chief Counsel, Market Participants Division
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5949
Email: ffisanich@cftc.gov