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CFTC RIN: 3038-AD32 Publication ID: Spring 2011 
Title: ●General Regulations and Derivatives Clearing Organizations 
Abstract: Proposed amendments to part 39 of the Commission's regulations would establish the regulatory standards for compliance with Derivatives Clearing Organization (DCO) Core Principles A (Compliance), H (Rule Enforcement), N (Antitrust Considerations), and R (Legal Risk), as well as DCO chief compliance officer requirements set forth in section 5b of the Commodity Exchange Act. The proposed amendments to part 39 also would revise procedures for DCO applications, clarify procedures for the transfer of a DCO registration, add requirements for approval of DCO rules establishing a portfolio margining program for customer accounts carried by a futures commission merchant that is also registered as a securities broker-dealer, and make certain technical amendments. Proposed amendments to part 1 would update the definitions of "clearing member" and "clearing organization." 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Other Significant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: No  Unfunded Mandates: No 
CFR Citation: 17 CFR 1 and 39   
Legal Authority: sec 5b of the Commodity Exchange Act    7 USC 7a-1    sec 8a(5) of the Commodity Exchange Act    7 USC 12a(5)   
Legal Deadline:
Action Source Description Date
Final  Statutory    07/15/2011 
Timetable:
Action Date FR Cite
NPRM  12/13/2010  75 FR 77576   
NPRM Comment Period End  02/11/2011    
Final Action  07/00/2011    
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: Previously reported as 3038-AC98 
Agency Contact:
Phyllis P. Dietz
Deputy Director, Division of Clearing and Risk
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW.,
Washington, DC 20581
Phone:202 418-5449
Fax:202 418-5536
Email: pdietz@cftc.gov