Agency Rule List - Spring 2024

Commodity Futures Trading Commission

Agency Agenda Stage of Rulemaking Title RIN
CFTC Prerule Stage Reducing Regulatory Burden: Retrospective Review Under Executive Order 13563 3038-AE28
CFTC Prerule Stage Definition of "Small Entity" for Purposes of the Regulatory Flexibility Act 3038-AF20
CFTC Proposed Rule Stage Risk Management for Swap Dealers and Futures Commission Merchants; Amendments 3038-AE59
CFTC Proposed Rule Stage Revisions to Supplemental Standards of Ethical Conduct for Employees of the Commodity Futures Trading Commission 3038-AF11
CFTC Proposed Rule Stage Amendment to the Made Available to Trade Process 3038-AF13
CFTC Proposed Rule Stage Event Contracts Rulemaking 3038-AF14
CFTC Proposed Rule Stage Ownership and Control Reports 3038-AF35
CFTC Proposed Rule Stage Revisions to Business Conduct and Swap Documentation Requirements for Swap Dealers and Major Swap Participants 3038-AF38
CFTC Proposed Rule Stage Affiliations Requirements 3038-AF42
CFTC Final Rule Stage Revision of Certain Provisions to Incorporate Changes in the Commission's Administrative Structure, Remove Superfluous Verbiage, and Correct Inaccurate Text 3038-AF09
CFTC Final Rule Stage Recovery and Wind-down Plans for Derivative Clearing Organizations; Information Necessary for Resolution Planning 3038-AF16
CFTC Final Rule Stage Treatment of Separate Accounts by Futures Commission Merchants 3038-AF21
CFTC Final Rule Stage Privacy Act Regulations 3038-AF22
CFTC Final Rule Stage Operational Resilience Framework for Certain Commission Registrants 3038-AF23
CFTC Final Rule Stage Investment of Customer Funds, Cleared Swap Customer Funds, and 30.7 Customer Funds 3038-AF24
CFTC Final Rule Stage Amendments to Certain Provisions in Part 4 Applicable to Commodity Pool Operators and Commodity Trading Advisors 3038-AF25
CFTC Final Rule Stage Amendments to Appendices to Parts 43 and 45 Adding Supplemental Reporting Fields 3038-AF26
CFTC Final Rule Stage Revisions to Part 17 to Update Format for Market and Large Trader Reporting 3038-AF27
CFTC Final Rule Stage Part 40 - Provisions Common to Registered Entities 3038-AF28
CFTC Final Rule Stage Conflicts of Interest and Governance Requirements for Swap Execution Facilities 3038-AF29
CFTC Final Rule Stage Amendments to Swap Dealer Capital and Financial Reporting Requirements 3038-AF33
CFTC Final Rule Stage Amendments to Part 48 Regulations for FBOTs 3038-AF37
CFTC Final Rule Stage Protection of Clearing Member Funds Held by Derivatives Clearing Organizations 3038-AF39
CFTC Final Rule Stage Commission Guidance Regarding the Listing of Voluntary Carbon Credit Derivative Contracts 3038-AF40
CFTC Final Rule Stage Annual Adjustment of Civil Monetary Penalties for Inflation--2025 3038-AF41