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CFTC RIN: 3038-AD52 Publication ID: Fall 2014 
Title: Concept Release on Risk Controls and System Safeguards for Automated Trading Environments 
Abstract:

On September 12, 2013, the Commission published a Concept Release on Risk Controls and System Safeguards for Automated Trading Environments ("Concept Release").  The Concept Release addressed the evolution from human-centered to automated trading environments and sought comment on a series of pre-trade risk controls, post-trade measures, system safeguards, and other protections.  The comment period closed on December 11, 2013, reopened on January 21, 2014, and extended through February 14, 2014.  Staff is considering comments on the Concept Release and the appropriate next steps for regulatory action in this area.

 
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: 17 CFR 1   
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
ANPRM  09/12/2013  78 FR 56542   
ANPRM Comment Period End  12/11/2013 
ANPRM Comment Period Extended  01/24/2014  79 FR 4104   
ANPRM Extended Comment Period End  02/14/2014 
NPRM  03/00/2015 
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:
Marilee Dahlman
Special Counsel, Division of Market Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5264
Email: mdahlman@cftc.gov