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CFTC RIN: 3038-AE35 Publication ID: Fall 2015 
Title: ●Reporting Lines for Swap Dealers, Major Swap Participants and Futures Commission Merchants 
Abstract:

Staff is considering recommending to the Commission a proposed rule amendment regarding chief compliance officer reporting lines for swap dealers, major swap participants and futures commission merchants. The proposed amendment would clarify and improve the effectiveness of chief compliance officer reporting to senior management.

 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 3   
Legal Authority: Not Yet Determined   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  01/00/2016 
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: Split from 3038-AE18 
Agency Contact:
Erik Remmler
Dep Director, Registration and Compliance Branch Division of Swap Dealer and Intermediary Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-7630
Email: eremmler@cftc.gov

Margo Dey
Special Counsel, Reg and Compliance Branch, Division of Swap Dealer and Intermediary Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street, NW.,
Washington, DC 20581
Phone:202 418-5276
Email: mdey@cftc.gov