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CFTC RIN: 3038-AD01 Publication ID: Spring 2011 
Title: Governance and Possible Limits on Ownership and Control (DCOs, SEFs, and DCMs) 
Abstract: Rulemaking to implement the following sections of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Act), insofar as they pertain to conflicts of interest, governance and fitness: Section 726 (Rulemaking on Conflict of Interest); sections 725(c) and (d) (DCO Core Principles and Conflicts of Interest); section 735(b) (DCM Core Principles); section 733 (SEF Core Principles); and section 728 (SDR Core Principles). 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Other Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Completed Actions 
Major: No  Unfunded Mandates: No 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: sec 726    sec 725(c) and (d)    sec 735(b)    sec 733 and 728    PL 111-203 (Dodd-Frank)   
Legal Deadline:
Action Source Description Date
Final  Statutory    07/20/2011 
Timetable:
Action Date FR Cite
Withdrawn  02/09/2011    
Additional Information: Staff Roundtable held on 8/20/2010
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-AD36, Related to 3038-AD37 
Agency Contact:
Nancy Schnabel
Special Counsel, Division of Clearing and Intermediary Oversight
Commodity Futures Trading Commission
Three Lafayette Center, 1155 21st Street NW.,
Washington, DC 20581
Phone:202 418-5344
Email: nschnabel@cftc.gov