Agency Rule List - Fall 2022


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 Risk Management for Swap Dealers and Futures Commission Merchants; Amendments 3038-AE59
CFTC Prerule Stage Definition of "Small Entity" for Purposes of the Regulatory Flexibility Act 3038-AF20
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 Reporting and Information Requirements for Derivatives Clearing Organizations 3038-AF12
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 Recovery and Wind-down Plans for Systemically Important Derivative Clearing Organizations and Subpart C Derivatives Clearing Organizations; Information Necessary for Resolution Planning 3038-AF16
CFTC Proposed Rule Stage Treatment of Separate Accounts by Futures Commission Merchants 3038-AF21
CFTC Proposed Rule Stage Revision of Certain Rules of the Commodity Futures Trading Commission implementing the Privacy Act of 1974, Remove Superfluous Verbiage, and Correct Inaccurate Text 3038-AF22
CFTC Proposed Rule Stage System Safeguards Program and Testing Requirements for Certain Commission Registrants 3038-AF23
CFTC Proposed Rule Stage Investment of Customer Funds, Cleared Swap Customer Funds, and 30.7 Customer Funds 3038-AF24
CFTC Proposed Rule Stage Amendments to Certain Provisions in Part 4 Applicable to Commodity Pool Operators and Commodity Trading Advisors 3038-AF25
CFTC Proposed Rule Stage Amendments to Appendices to Parts 43 and 45 Adding Supplemental Reporting Fields 3038-AF26
CFTC Proposed Rule Stage Revision to Part 17 to Update Format for Market and Large Trader Reporting 3038-AF27
CFTC Proposed Rule Stage Part 40 – Provisions Common to Registered Entities 3038-AF28
CFTC Proposed Rule Stage Conflicts of Interest and Governance Requirements for Swap Execution Facilities 3038-AF29
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 Governance Requirements for Derivatives Clearing Organizations 3038-AF15
CFTC Final Rule Stage Annual Adjustment of Civil Monetary Penalties for Inflation--2023 3038-AF19
CFTC Final Rule Stage Amendments to Form PF to Amend Reporting Requirements for All Filers and Large Hedge Fund Advisers 3038-AF31