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CFTC RIN: 3038-AD52 Publication ID: Fall 2011 
Title: Systems Testing and Monitoring Regime for Market Participants 
Abstract: The Commission is considering proposing rules requiring testing and monitoring of algorithmic trading systems. The proposal is a principles based testing and supervision regime designed to ensure that electronic trading systems are tested and supervised by trained personnel and that appropriate risk controls are in place. 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: No  Unfunded Mandates: No 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 7 USC 6c(a) and 6g    7 USC 7(d) and 7b-3    7 USC 9 and 15    7 USC 12(a)(5)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  12/00/2011    
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 
Agency Contact:
Christopher Russell-Wood
Systems Risk Management, Division of Market Oversight
Commodity Futures Trading Commission
1155 21st Street NW.,
Washington, DC 20581
Phone:202 418-5280
Email: crussell-wood@cftc.gov

Stephen Surina
Industry Economist, Division of Market Oversight
Commodity Futures Trading Commission
1155 21st Street NW.,
Washington, DC 20581
Phone:202 418-5709
Email: ssurina@cftc.gov