3038-AE56 201804 Unified Agenda of Federal Regulatory and Deregulatory Actions 3038 Commodity Futures Trading Commission CFTC Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments

The Commodity Futures Trading Commission (Commission) is proposing to amend its regulations regarding certain duties of chief compliance officers of swap dealers, major swap participants (MSPs), and futures commission merchants (collectively, Registrants); and certain requirements for preparing and furnishing to the Commission an annual report containing an assessment of the Registrant’s compliance activities.

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No Independent agency 17 CFR 3 7 U.S.C. 1a and 2 7 U.S.C. 6a to 6b-1 7 U.S.C. 6c to 6i 7 U.S.C. 6k 7 U.S.C. 6m to 6p 7 U.S.C. 6s 7 U.S.C. 8 to 9a 7 U.S.C. 12 and 12a 7 U.S.C. 13b and 13cc 7 U.S.C. 16a 7 U.S.C. 18 7 U.S.C. 19 7 U.S.C. 21 7 U.S.C. 23 No NPRM 05/08/2017 82 FR 21330 NPRM Comment Period End 07/07/2017 Final Rule 05/00/2018 Final Action Effective 07/00/2018 No None No No No Erik Remmler Dep Director, Registration and Compliance Branch Division of Swap Dealer and Intermediary Oversight 3038 Commodity Futures Trading Commission CFTC 202 418-7630 eremmler@cftc.gov Three Lafayette Centre, 1155 21st Street NW, Washington DC 20581 Pamela Geraghty M. Deputy Director, Market Participants Division 3038 Commodity Futures Trading Commission CFTC 202 418-5634 pgeraghty@cftc.gov Three Lafayette Centre, 1155 21st Street NW, Washington DC 20581 Fern Simmons B. Associate Director, Market Participants Division 3038 Commodity Futures Trading Commission CFTC 202 418-5901 fsimmons@cftc.gov Three Lafayette Centre, 1155 21st Street NW, Washington DC 20581