Assistant General Counsel, Office of the General Counsel

3038-AE54 201804 Unified Agenda of Federal Regulatory and Deregulatory Actions 3038 Commodity Futures Trading Commission CFTC Cross-Border Application of the Registration Thresholds and External Business Conduct Standards Applicable to Swap Dealers and Major Swap Participants

The Commodity Futures Trading Commission (Commission or CFTC) published for public comment proposed rules and interpretations (Proposed Rule) addressing the cross-border application of certain swap provisions of the Commodity Exchange Act (CEA). Specifically, the proposed rule defines key terms for purposes of applying the CEA’s swap provisions to cross-border transactions and addresses the cross-border application of the registration thresholds and external business conduct standards for swap dealers and major swap participants, including the extent to which they would apply to swap transactions that are arranged, negotiated, or executed using personnel located in the United States. The staff is considering comments received on the notice of proposed rulemaking.

]]> Other Significant Previously Published in The Unified Agenda Final Rule Stage Undetermined No Independent agency 17 CFR 1 17 CFR 23 7 U.S.C. 1a 7 U.S.C. 2 7 U.S.C. 5 7 U.S.C. 6 7 U.S.C. 6a 7 U.S.C. 6b 7 U.S.C. 6b-1 7 U.S.C. 6c to 6i 7 U.S.C. 6k to 6p 7 U.S.C. 6r to 6t 7 U.S.C. 7 7 U.S.C. 7a-1 to 7a-2 7 U.S.C. 7b 7 U.S.C. 7b-3 7 U.S.C. 8 to 10a 7 U.S.C. 12 to 13c 7 U.S.C. 16 to 16a 7 U.S.C. 18 to 19 7 U.S.C. 21 7 U.S.C. 23 7 U.S.C. 24 (2012) No NPRM 10/18/2016 81 FR 71946 NPRM Comment Period End 12/19/2016 Final Action 09/00/2018 Final Action Effective 09/00/2018 No None No No No Paul Schlichting Assistant General Counsel, Office of the General Counsel 3038 Commodity Futures Trading Commission CFTC 202 418-5884 pschlichting@cftc.gov 1155 21st Street NW, Washington DC 20581