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CFTC RIN: 3038-AD36 Publication ID: Spring 2011 
Title: ●Governance Requirements for DCOs, DCMs, & SEFs; Additional Requirements Regarding the Mitigation of Conflicts of Interest 
Abstract: Rulemaking to implement the following sections of the Dodd-Frank Wall Street Reform and Consumer Protection 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); and section 733 (SEF Core Principles). 
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    17 CFR 37 to 40   
Legal Authority: secs 726, 725(c) and (d), 735(b) and 733 of the Act.   
Legal Deadline:
Action Source Description Date
Final  Statutory    07/20/2011 
Timetable:
Action Date FR Cite
NPRM  01/06/2011  76 FR 722   
NPRM Comment Period End  03/07/2011    
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-AD01 
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