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CFTC RIN: 3038-AD90 Publication ID: Fall 2015 
Title: Core Principle 9 for Designated Contract Markets 
Abstract:

Staff is considering recommending that the Commission finalize regulations implementing Core Principle 9 of section 5(d) of the Commodity Exchange Act.

 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Other Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Yes  Unfunded Mandates: No 
CFR Citation: 17 CFR 38   
Legal Authority: 7 U.S.C. 2(h)    7 U.S.C. 7   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  12/22/2010  75 FR 80572   
NPRM Comment Period End  02/22/2011 
NPRM Comment Period Extended  03/18/2011  76 FR 14825   
NPRM Comment Period Extended End  04/18/2011 
Comment Period Extended  05/04/2011  76 FR 25274   
Comment Period Extended End  06/03/2011 
Second NPRM  09/00/2016 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Related RINs: Split from 3038-AD09 
Agency Contact:
Nancy Markowitz
Deputy Director, Division of Market Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5453
Email: nmarkowitz@cftc.gov

Aaron Brodsky
Senior Special Counsel, Division of Market Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5349
Email: abrodsky@cftc.gov

Abigail Knauff
Special Counsel, Division of Market Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5123
Email: aknauff@cftc.gov