Agency Rule List - Fall 2018


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 Regulation Automated Trading 3038-AD52
CFTC Proposed Rule Stage Amendments to Part 37 to Update Requirements for Swap Execution Facilities 3038-AE25
CFTC Proposed Rule Stage Part 45 Swap Data Plan 3038-AE31
CFTC Proposed Rule Stage Part 49 Verifications Rulemaking 3038-AE32
CFTC Proposed Rule Stage Definitions and Clearing Requirement 3038-AE33
CFTC Proposed Rule Stage Exempt Swap Execution Facilities 3038-AE40
CFTC Proposed Rule Stage Amendments to Required Disclosure of Material Information Concerning a Swap 3038-AE43
CFTC Proposed Rule Stage Risk Management for Swap Dealers and Futures Commission Merchants; Amendments 3038-AE59
CFTC Proposed Rule Stage Part 43 Swap Data Plan 3038-AE60
CFTC Proposed Rule Stage Position Limits and Position Accountability for Security Futures Products 3038-AE61
CFTC Proposed Rule Stage Amendments to Provisions Common to Registered Entities 3038-AE63
CFTC Proposed Rule Stage Exemption From Derivatives Clearing Organization Registration 3038-AE65
CFTC Proposed Rule Stage Derivatives Clearing Organization General Provisions and Core Principles 3038-AE66
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 Amendments to Regulations Governing Futures Commission Merchants, Swap Dealers, Introducing Brokers and Retail Foreign Exchange Dealers 3038-AE75
CFTC Proposed Rule Stage Codification of Relief for Commodity Pool Operators and Commodity Trading Advisors; Technical Corrections 3038-AE76
CFTC Proposed 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 Proposed Rule Stage Segregation of Assets Held as Collateral in Uncleared Swap Transactions; Amendments 3038-AE78
CFTC Final Rule Stage Capital Requirements for Swap Dealers and Major Swap Participants 3038-AD54
CFTC Final Rule Stage Position Limits for Commodity Derivatives Contracts 3038-AD99
CFTC Final Rule Stage Amendment to Commission Regulation 3.10(c): Exemption From Registration for Certain Foreign Persons 3038-AE46
CFTC Final Rule Stage Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments 3038-AE56
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 Swap Dealer Registration De minimis Exception; Amendments 3038-AE68
CFTC Final Rule Stage Annual Adjustment of Civil Monetary Penalties for Inflation--2019 3038-AE69
CFTC Final Rule Stage Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants 3038-AE71
CFTC Final Rule Stage Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds (Volcker Rule) 3038-AE72
CFTC Final Rule Stage Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations 3038-AE73