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CFTC | RIN: 3038-AF29 | Publication ID: Fall 2023 |
Title: Conflicts of Interest and Governance Requirements for Swap Execution Facilities | |
Abstract:
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. |
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Agency: Commodity Futures Trading Commission(CFTC) | Priority: Substantive, Nonsignificant |
RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Proposed Rule Stage |
Major: Undetermined | Unfunded Mandates: Undetermined |
CFR Citation: 17 CFR 1 and 37 | |
Legal Authority: 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 |
Legal Deadline:
None |
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Timetable:
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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: Swati Shah Special Counsel, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581 Phone:202 418-5042 Email: sshah@cftc.gov |