<?xml version="1.0" encoding="UTF-8" standalone="yes"?>
<REGINFO_RIN_DATA xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" RUN_DATE="2026-04-19-04:00" xsi:noNamespaceSchemaLocation="https://www.reginfo.gov/public/xml/REGINFO_XML_Ver10262011.xsd">
    <RIN_INFO>
        <RIN>3038-AF11</RIN>
        <PUBLICATION>
            <PUBLICATION_ID>202310</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>Revisions to Supplemental Standards of Ethical Conduct for Employees of the Commodity Futures Trading Commission</RULE_TITLE>
        <ABSTRACT><![CDATA[<!DOCTYPE html>
<html>
<head>
</head>
<body>
<p>The Commodity Futures Trading Commission (Commission), after obtaining the concurrence of the OGE, proposes to issue a notice of proposed rulemaking for employees of the Commission.&nbsp; In order to effectuate this interagency concurrence, the Commission would submit a final version of its proposed supplemental ethics regulations to OGE.&nbsp; After OGE had approved them, the regulations would be put into seriatim review. &nbsp;The proposed changes would affect regulations in both title 5 and title 17.&nbsp; First, the Commission is proposing to amend its supplemental standards of ethical conduct at 5 CFR part 5101. This proposal would also add 5 CFR 5101.104 requiring employees to file a written notice of disqualification in certain situations, prescribe new rules at 5 CFR 5101.105 authorizing waivers from the Commission&rsquo;s supplemental standards of ethical conduct, and set forth ethics official designations at proposed paragraph 5 CFR 5101.106.&nbsp; Second, the Commission is proposing to amend its conduct regulation in 17 CFR 140.735 subpart C for which the Commission has authority to issue under 5 CFR 2635.403(a). The provisions at 17 CFR 140.735 subpart C would continue to apply to the conduct of Commission employees. This proposal would combine 17 CFR 140.735-2 (Prohibited transactions) with 17 CFR 140.735-2a (Prohibited interests) and delete 17 CFR 140.735-4, Receipt and disposition of foreign gifts and decorations, in its entirety because the substance of the regulation is contained within the Foreign Gifts and Decorations Act.</p>
</body>
</html>]]></ABSTRACT>
        <PRIORITY_CATEGORY>Substantive, Nonsignificant</PRIORITY_CATEGORY>
        <RIN_STATUS>Previously Published in The Unified Agenda</RIN_STATUS>
        <RULE_STAGE>Proposed Rule Stage</RULE_STAGE>
        <MAJOR>Undetermined</MAJOR>
        <UNFUNDED_MANDATE_LIST>
            <UNFUNDED_MANDATE>No</UNFUNDED_MANDATE>
        </UNFUNDED_MANDATE_LIST>
        <CFR_LIST>
            <CFR>5 CFR 5101</CFR>
            <CFR>17 CFR 140.735</CFR>
        </CFR_LIST>
        <LEGAL_AUTHORITY_LIST>
            <LEGAL_AUTHORITY>5 U.S.C. 13122</LEGAL_AUTHORITY>
            <LEGAL_AUTHORITY>5 U.S.C. 7301</LEGAL_AUTHORITY>
        </LEGAL_AUTHORITY_LIST>
        <LEGAL_DLINE_LIST/>
        <RPLAN_ENTRY>No</RPLAN_ENTRY>
        <TIMETABLE_LIST>
            <TIMETABLE>
                <TTBL_ACTION>NPRM</TTBL_ACTION>
                <TTBL_DATE>12/00/2023</TTBL_DATE>
            </TIMETABLE>
        </TIMETABLE_LIST>
        <RFA_REQUIRED>No</RFA_REQUIRED>
        <GOVT_LEVEL_LIST>
            <GOVT_LEVEL>None</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>Frank</FIRST_NAME>
                <LAST_NAME>Walsh</LAST_NAME>
                <TITLE>Alternate Designated Agency Ethics Official, Office of the General Counsel</TITLE>
                <AGENCY>
                    <CODE>3038</CODE>
                    <NAME>Commodity Futures Trading Commission</NAME>
                    <ACRONYM>CFTC</ACRONYM>
                </AGENCY>
                <PHONE>202 418-6250</PHONE>
                <EMAIL>fwalsh@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>
        </AGENCY_CONTACT_LIST>
    </RIN_INFO>
</REGINFO_RIN_DATA>
