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CFTC RIN: 3038-AF07 Publication ID: Fall 2021 
Title: Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps 
Abstract:

The Commodity Futures Trading Commission ("Commission") and Securities and Exchange Commission ("SEC") issued a joint request for comment on potential ways to implement portfolio margining of uncleared swaps and non-cleared security-based swaps in accounts carried by broker-dealers, security-based swap dealers, swap dealers, and futures commission merchants.  The Market Participants Division is considering recommending that the Commission, jointly with the SEC, propose portfolio margin-related amendments to the existing regulatory framework for swaps and security-based swaps.

 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Other Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: Undetermined 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 7 U.S.C. 6(c)    7 U.S.C. 6d    7 U.S.C. 6s(e)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
Request for Comment  11/05/2020  85 FR 70536   
Request for Comment Period End  12/07/2020 
NPRM  04/00/2022 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Thomas J. Smith
Acting Director, Market Participants Division
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5495
Email: tsmith@cftc.gov

Joshua Beale
Associate Director, Market Participants Division
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5446
Email: jbeale@cftc.gov