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    <RIN_INFO>
        <RIN>3038-AE75</RIN>
        <PUBLICATION>
            <PUBLICATION_ID>201910</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>Amendments to Regulations Governing Futures Commission Merchants, Introducing Brokers and Retail Foreign Exchange Dealers</RULE_TITLE>
        <ABSTRACT><![CDATA[<!DOCTYPE html>
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<p>The Commodity Futures Trading Commission ("Commission") is proposing several amendments to existing regulations for futures commission merchants ("FCMs&rdquo;), introducing brokers ("IBs&rdquo;), and retail foreign exchange dealers ("RFEDs&rdquo;).&nbsp; The proposed amendments would revise the required scope of a certified public accountant&rsquo;s audit of an FCM to include certain schedules of segregated funds for customers trading cleared swap transactions. The proposed amendments also would address the process by which a customer may use a single wire transfer to margin positions in futures, foreign futures, and cleared swap accounts with an FCM.&nbsp; The proposal also would revise the process by which FCMs, IBs, and RFEDs give notice to the Commission of bulk transfers of customer accounts. The Commission is also proposing to amend its regulations that require FCM depositories to provide the Commission direct, read-only access to customer account information, to reduce FCM notification requirements applicable to Securities and Exchange Commission actions, and to amend certain record maintenance regulations to bring these regulations up to date with current practice and technology.</p>
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        <PRIORITY_CATEGORY>Other Significant</PRIORITY_CATEGORY>
        <RIN_STATUS>Previously Published in The Unified Agenda</RIN_STATUS>
        <RULE_STAGE>Proposed Rule Stage</RULE_STAGE>
        <MAJOR>No</MAJOR>
        <UNFUNDED_MANDATE_LIST>
            <UNFUNDED_MANDATE>No</UNFUNDED_MANDATE>
        </UNFUNDED_MANDATE_LIST>
        <EO_13771_DESIGNATION>Independent agency</EO_13771_DESIGNATION>
        <CFR_LIST>
            <CFR>Not Yet Determined</CFR>
        </CFR_LIST>
        <LEGAL_AUTHORITY_LIST>
            <LEGAL_AUTHORITY>7 U.S.C. 1a, 2, 5, 6, 6a, 6b, 6c, 6d, 6e, 6f, 6g, 6h, 6i, 6k, 6l, 12a, and 19</LEGAL_AUTHORITY>
            <LEGAL_AUTHORITY>7 U.S.C. 2</LEGAL_AUTHORITY>
            <LEGAL_AUTHORITY>7 U.S.C. 5</LEGAL_AUTHORITY>
            <LEGAL_AUTHORITY>7 U.S.C. 6</LEGAL_AUTHORITY>
            <LEGAL_AUTHORITY>7 U.S.C. 6a to 6i</LEGAL_AUTHORITY>
            <LEGAL_AUTHORITY>7 U.S.C. 6k and 6l</LEGAL_AUTHORITY>
            <LEGAL_AUTHORITY>7 U.S.C. 12a and 19</LEGAL_AUTHORITY>
        </LEGAL_AUTHORITY_LIST>
        <LEGAL_DLINE_LIST/>
        <RPLAN_ENTRY>No</RPLAN_ENTRY>
        <TIMETABLE_LIST>
            <TIMETABLE>
                <TTBL_ACTION>NPRM</TTBL_ACTION>
                <TTBL_DATE>03/00/2020</TTBL_DATE>
            </TIMETABLE>
        </TIMETABLE_LIST>
        <RFA_REQUIRED>Undetermined</RFA_REQUIRED>
        <GOVT_LEVEL_LIST>
            <GOVT_LEVEL>Undetermined</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>Thomas</FIRST_NAME>
                <LAST_NAME>Smith</LAST_NAME>
                <MIDDLE_NAME>J.</MIDDLE_NAME>
                <TITLE>Acting Director, Market Participants Division</TITLE>
                <AGENCY>
                    <CODE>3038</CODE>
                    <NAME>Commodity Futures Trading Commission</NAME>
                    <ACRONYM>CFTC</ACRONYM>
                </AGENCY>
                <PHONE>202 418-5495</PHONE>
                <EMAIL>tsmith@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>
            <CONTACT>
                <FIRST_NAME>Mark</FIRST_NAME>
                <LAST_NAME>Bretscher</LAST_NAME>
                <TITLE>Special Counsel, Division of Swap Intermediary Oversight</TITLE>
                <AGENCY>
                    <CODE>3038</CODE>
                    <NAME>Commodity Futures Trading Commission</NAME>
                    <ACRONYM>CFTC</ACRONYM>
                </AGENCY>
                <PHONE>312 596-0529</PHONE>
                <EMAIL>mbretscher@cftc.gov</EMAIL>
                <MAILING_ADDRESS>
                    <STREET_ADDRESS>525 W. Monroe Street, Suite 1100,</STREET_ADDRESS>
                    <CITY>Chicago</CITY>
                    <STATE>IL</STATE>
                    <ZIP>60661</ZIP>
                </MAILING_ADDRESS>
            </CONTACT>
            <CONTACT>
                <FIRST_NAME>Lawrence</FIRST_NAME>
                <LAST_NAME>Eckert</LAST_NAME>
                <MIDDLE_NAME>T.</MIDDLE_NAME>
                <TITLE>Special Counsel, Division of Swap Intermediary Oversight</TITLE>
                <AGENCY>
                    <CODE>3038</CODE>
                    <NAME>Commodity Futures Trading Commission</NAME>
                    <ACRONYM>CFTC</ACRONYM>
                </AGENCY>
                <PHONE>646 746-9704</PHONE>
                <EMAIL>leckert@cftc.gov</EMAIL>
                <MAILING_ADDRESS>
                    <STREET_ADDRESS>140 Broadway,</STREET_ADDRESS>
                    <CITY>New York</CITY>
                    <STATE>NY</STATE>
                    <ZIP>10005</ZIP>
                </MAILING_ADDRESS>
            </CONTACT>
        </AGENCY_CONTACT_LIST>
    </RIN_INFO>
</REGINFO_RIN_DATA>
