Agency Rule List - Spring 2020


Commodity Futures Trading Commission

Agency Agenda Stage of Rulemaking Title RIN
CFTC Prerule Stage Reducing Regulatory Burden: Retrospective Review Under E.O. 13563 3038-AE28
CFTC Proposed Rule Stage Amendments to the Swap Data Recordkeeping and Reporting Requirements (Part 45) 3038-AE31
CFTC Proposed Rule Stage Part 49 Certain Swap Data Repository and Data Reporting Requirements (Verification Rulemaking) 3038-AE32
CFTC Proposed Rule Stage Risk Management for Swap Dealers and Futures Commission Merchants; Amendments 3038-AE59
CFTC Proposed Rule Stage Amendments to the Real-Time Public Reporting Requirements (Part 43) 3038-AE60
CFTC Proposed Rule Stage Bankruptcy Rules 3038-AE67
CFTC Proposed Rule Stage Amendments to Organizational and Reporting Requirements for Commodity Pool Operators; Technical Corrections 3038-AE74
CFTC Proposed Rule Stage Protection of Digital Asset Customer Collateral and Cleared Digital Asset Swaps Customer Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions and Other Commission Regulation 3038-AE95
CFTC Proposed Rule Stage Electronic Trading Risk Principles 3038-AE96
CFTC Proposed Rule Stage Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR 3038-AE98
CFTC Proposed Rule Stage Amendments to the Registration and Compliance Obligations for Commodity Pool Operators of Registered Investment Companies, Business Development Companies, and Exchange Traded Commodity Pools 3038-AE99
CFTC Proposed Rule Stage Position Limits for Commodity Derivatives Contracts 3038-AF00
CFTC Proposed Rule Stage Revisions to Form PF 3038-AF01
CFTC Final Rule Stage Capital Requirements for Swap Dealers and Major Swap Participants 3038-AD54
CFTC Final Rule Stage Definitions and Clearing Requirement 3038-AE33
CFTC Final Rule Stage Revisions to Freedom of Information Act Regulations 3038-AE57
CFTC Final Rule Stage Retail Commodity Transactions Involving Virtual Currency 3038-AE62
CFTC Final Rule Stage Exemption From Derivatives Clearing Organization Registration 3038-AE65
CFTC Final Rule Stage Codification of Relief for Commodity Pool Operators and Commodity Trading Advisors 3038-AE76
CFTC Final Rule Stage Margin Requirements for Uncleared Swaps for SD and MSPs; Excluding European Stability Mechanism From Margin Requirements and Initial Margin Requirements Using the Standardized Table 3038-AE77
CFTC Final Rule Stage Post-Trade Name Give-Up on Swap Execution Facilities 3038-AE79
CFTC Final Rule Stage Cross-Border Application of the Registration Thresholds and Certain Business Conduct Standards Applicable to Swap Dealers and Major Swap Participants 3038-AE84
CFTC Final Rule Stage Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants 3038-AE85
CFTC Final Rule Stage Registration With Alternative Compliance for Non-U.S. Derivatives Clearing Organizations 3038-AE87
CFTC Final Rule Stage Customer Margin Rules Relating to Security Futures 3038-AE88
CFTC Final Rule Stage Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants 3038-AE89
CFTC Final Rule Stage Privacy of Consumer Financial Information 3038-AE91
CFTC Final Rule Stage Exemption From the Swap Clearing Requirement for Certain Affiliated Entities--Alternative Compliance Frameworks for Anti-Evasionary Measures 3038-AE92
CFTC Final Rule Stage Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds 3038-AE93
CFTC Final Rule Stage Swap Execution Facility Requirements and Real-Time Reporting Requirements 3038-AE94
CFTC Final Rule Stage Annual Adjustment of Civil Monetary Penalties for Inflation--2021 3038-AE97