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CFTC RIN: 3038-AD82 Publication ID: Fall 2016 
Title: Aggregation of Positions 

The Commission proposed amendments to the aggregation provisions of part 150 of the Commission's regulations on November 15, 2013, that are substantially similar to the proposed amendments to part 151 in a May 30, 2012, NPRM.  In an Order dated September 28, 2012, the District Court for the District of Columbia vacated part 151 of the Commission's regulations, rendering the May 30, 2012, NPRM moot. The Commission issued, on September 23, 2015, a Supplemental Notice of Proposed Rulemaking modifying the aggregation provisions of part 150 to address when aggregation is required on the basis of ownership of a greater than 50 percent interest in another entity.

Agency: Commodity Futures Trading Commission(CFTC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: No  Unfunded Mandates: No 
CFR Citation: 17 CFR 150   
Legal Authority: CEA secs. 4(a), 4(c), and 8(a)(5)   
Legal Deadline:  None
Action Date FR Cite
NPRM  05/30/2012  77 FR 31767   
NPRM Comment Period End  06/29/2012 
Second NPRM  11/15/2013  78 FR 68946   
Second NPRM Comment Period End  01/14/2014 
NPRM Comment Period Reopened  01/14/2014  79 FR 2394   
NPRM Comment Period Reopened End  02/10/2014 
NPRM Comment Period Reopened  05/29/2014  79 FR 30762   
NPRM Comment Period Reopened End  07/03/2014 
NPRM Comment Period Extended  07/03/2014  79 FR 37973   
NPRM Comment Period Extended End  08/04/2014 
NPRM Comment Period Reopened  12/04/2014  79 FR 71973   
NPRM Comment Period Reopened End  01/22/2015 
NPRM Comment Period Reopened  02/25/2015  80 FR 10022   
NPRM Comment Period Reopened; Corrections  03/25/2015  80 FR 15699   
NPRM Comment Period Reopened End  03/28/2015 
NPRM Comment Period Reopened; Corrections End  03/30/2015 
Supplemental NPRM  09/29/2015  80 FR 58365   
Supplemental NPRM Comment Period End  11/13/2015  80 FR 58365   
Final Action  11/00/2016 
Final Action Effective  12/00/2016 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Small Entities Affected: No  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Related RINs: Related to 3038-AD99 
Agency Contact:
Stephen Sherrod
Senior Economist, Division of Market Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street, NW.,
Washington, DC 20581
Phone:202 418-5452