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CFTC RIN: 3038-AD39 Publication ID: Spring 2011 
Title: ●Business Conduct Standards--Internal: Implementation of Conflicts of Interest Policies and Procedures by Futures Commission Merchants and Introducing Brokers 
Abstract: The Commodity Futures Trading Commission (Commission or CFTC) is proposing rules to implement new statutory provisions enacted by title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). The proposed regulations establish conflicts of interest requirements for Futures Commission Merchants (FCMs) and Introducing Brokers (IBs) for the purpose of ensuring that such persons implement adequate policies and procedures in compliance with the Commodity Exchange Act(CEA), as amended by the Dodd-Frank Act. 
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: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 1   
Legal Authority: sec 732 of PL 111-203 (Dodd-Frank)   
Legal Deadline:
Action Source Description Date
Final  Statutory    07/15/2011 
Timetable:
Action Date FR Cite
NPRM  11/17/2010  75 FR 70152   
NPRM Comment Period End  01/18/2011    
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-AC96 
Agency Contact:
Frank Fisanich
Chief Counsel, Market Participants Division
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5949
Email: ffisanich@cftc.gov