3038-AF42 202504 Unified Agenda of Federal Regulatory and Deregulatory Actions 3038 Commodity Futures Trading Commission CFTC Affiliations Requirements

On June 28, 2023, Commission staff of the Divisions of Market Oversight, Clearing and Risk, and Market Participants issued a request for comment on potential issues that may arise if a designated contract market (DCM), derivatives clearing organization (DCO) or swap execution facility (SEF) is affiliated with an intermediary, such as a futures commission merchant (FCM), or other market participant, such as a trading entity. Staff expects to recommend that the Commission issue a notice of proposed rulemaking (NPRM) to adopt new rules and amendments addressing issues relating to when a DCM, DCO, or SEF is affiliated with an intermediary or other market participant.

]]> Economically Significant Previously Published in The Unified Agenda Proposed Rule Stage Undetermined No Regulatory 17 CFR parts 37, 38, 39 7 U.S.C. 7(d)(1)(d), 7a-1(c), 7b-3(f) 7 U.S.C. 12a(5) No NPRM 12/00/2025 Undetermined Undetermined No No No No Liliya Bozhanova Associate Director, Market Participants Division 3038 Commodity Futures Trading Commission CFTC 202 418-6232 lbozhanova@cftc.gov Three Lafayette Centre, 1155 21st Street NW, Washington DC 20581 Marilee Dahlman Special Counsel, Division of Market Oversight 3038 Commodity Futures Trading Commission CFTC 202 418-5264 mdahlman@cftc.gov Three Lafayette Centre, 1155 21st Street NW, Washington DC 20581 Gavin Young Special Counsel, Division of Clearing and Risk 3038 Commodity Futures Trading Commission CFTC 202 418-5976 gyoung@cftc.gov Three Lafayette Centre, 1155 21st Street NW, Washington DC 20581