3038-AF29 202310 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3038 Commodity Futures Trading Commission CFTC Conflicts of Interest and Governance Requirements for Swap Execution Facilities

Staff expects to recommend that the Commission issue a notice of proposed rulemaking to amend SEF Core Principles 12 and 15 in part 37 of the Commission’s regulations, to better align with existing requirements for DCMs.  Staff expects that the proposed rulemaking will also amend DCM Core Principles 15 and 16 in part 38 of the Commission’s regulations, to codify previously published Acceptable Practices, to provide regulatory certainty and to reflect industry best-practice standards.

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Proposed Rule Stage Undetermined Undetermined 17 CFR 1 and 37 7 U.S.C. 12(a)(5) 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. 6c 7 U.S.C. 6d 7 U.S.C. 6e 7 U.S.C. 6f 7 U.S.C. 6g 7 U.S.C. 6h 7 U.S.C. 6i 7 U.S.C. 6k 7 U.S.C. 6l 7 U.S.C. 6m 7 U.S.C. 6n 7 U.S.C. 6o 7 U.S.C. 6p 7 U.S.C. 6r 7 U.S.C. 6s 7 U.S.C. 7 7 U.S.C. 7a-1 7 U.S.C. 7a-2 7 U.S.C. 7b 7 U.S.C. 7b-3 7 U.S.C. 8 7 U.S.C. 9 7 U.S.C. 10a 7 U.S.C. 12 7 U.S.C. 12c 7 U.S.C. 13a 7 U.S.C. 13a-1 7 U.S.C. 16 7 U.S.C. 16a 7 U.S.C. 19 7 U.S.C. 21 7 U.S.C. 23 7 U.S.C. 24 No NPRM 11/00/2023 Undetermined Undetermined Undetermined Undetermined No No Swati Shah Associate Director, Division of Market Oversight 3038 Commodity Futures Trading Commission CFTC 202 418-5042 sshah@cftc.gov Three Lafayette Centre, 1155 21st Street NW, Washington DC 20581