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<REGINFO_RIN_DATA xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" RUN_DATE="2026-04-06-04:00" xsi:noNamespaceSchemaLocation="https://www.reginfo.gov/public/xml/REGINFO_XML_Ver10262011.xsd">
    <RIN_INFO>
        <RIN>3038-AE09</RIN>
        <PUBLICATION>
            <PUBLICATION_ID>201410</PUBLICATION_ID>
            <PUBLICATION_TITLE>The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions</PUBLICATION_TITLE>
        </PUBLICATION>
        <AGENCY>
            <CODE>3038</CODE>
            <NAME>Commodity Futures Trading Commission</NAME>
            <ACRONYM>CFTC</ACRONYM>
        </AGENCY>
        <RULE_TITLE>Membership in a Registered Futures Association</RULE_TITLE>
        <ABSTRACT><![CDATA[The staff is considering recommending that the Commission amend its regulations to require that all persons registered with the Commission as introducing brokers ("IBs"), commodity pool operators ("CPOs"), and commodity trading advisors ("CTAs") become and remain members of at least one registered futures association ("RFA").  The staff believes that such a rule is necessary or appropriate to ensure comprehensive and effective market oversight and to level the regulatory playing field for all registered intermediaries, in light of changes to the Commodity Exchange Act that were set forth in the Dodd-Frank Wall Street Reform and Consumer Protection Act.]]></ABSTRACT>
        <PRIORITY_CATEGORY>Substantive, Nonsignificant</PRIORITY_CATEGORY>
        <RIN_STATUS>Previously Published in The Unified Agenda</RIN_STATUS>
        <RULE_STAGE>Final Rule Stage</RULE_STAGE>
        <MAJOR>Undetermined</MAJOR>
        <UNFUNDED_MANDATE_LIST>
            <UNFUNDED_MANDATE>No</UNFUNDED_MANDATE>
        </UNFUNDED_MANDATE_LIST>
        <CFR_LIST>
            <CFR>Not Yet Determined</CFR>
        </CFR_LIST>
        <LEGAL_AUTHORITY_LIST>
            <LEGAL_AUTHORITY>Not Yet Determined</LEGAL_AUTHORITY>
        </LEGAL_AUTHORITY_LIST>
        <LEGAL_DLINE_LIST/>
        <RPLAN_ENTRY>No</RPLAN_ENTRY>
        <TIMETABLE_LIST>
            <TIMETABLE>
                <TTBL_ACTION>NPRM</TTBL_ACTION>
                <TTBL_DATE>11/08/2013</TTBL_DATE>
                <FR_CITATION>78 FR 67078</FR_CITATION>
            </TIMETABLE>
            <TIMETABLE>
                <TTBL_ACTION>NPRM Comment Period End</TTBL_ACTION>
                <TTBL_DATE>01/17/2014</TTBL_DATE>
            </TIMETABLE>
            <TIMETABLE>
                <TTBL_ACTION>Final Action</TTBL_ACTION>
                <TTBL_DATE>01/00/2015</TTBL_DATE>
            </TIMETABLE>
        </TIMETABLE_LIST>
        <RFA_REQUIRED>Undetermined</RFA_REQUIRED>
        <GOVT_LEVEL_LIST>
            <GOVT_LEVEL>None</GOVT_LEVEL>
        </GOVT_LEVEL_LIST>
        <FEDERALISM>No</FEDERALISM>
        <ENERGY_AFFECTED>No</ENERGY_AFFECTED>
        <PRINT_PAPER>No</PRINT_PAPER>
        <INTERNATIONAL_INTEREST>No</INTERNATIONAL_INTEREST>
        <AGENCY_CONTACT_LIST>
            <CONTACT>
                <FIRST_NAME>Frank</FIRST_NAME>
                <LAST_NAME>Fisanich</LAST_NAME>
                <TITLE>Chief Counsel, Market Participants Division</TITLE>
                <AGENCY>
                    <CODE>3038</CODE>
                    <NAME>Commodity Futures Trading Commission</NAME>
                    <ACRONYM>CFTC</ACRONYM>
                </AGENCY>
                <PHONE>202 418-5949</PHONE>
                <EMAIL>ffisanich@cftc.gov</EMAIL>
                <MAILING_ADDRESS>
                    <STREET_ADDRESS>Three Lafayette Centre, 1155 21st Street NW,</STREET_ADDRESS>
                    <CITY>Washington</CITY>
                    <STATE>DC</STATE>
                    <ZIP>20581</ZIP>
                </MAILING_ADDRESS>
            </CONTACT>
        </AGENCY_CONTACT_LIST>
    </RIN_INFO>
</REGINFO_RIN_DATA>
