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CFTC RIN: 3038-AE01 Publication ID: Fall 2016 
Title: Core Principle 9 for Designated Contract Markets 
Abstract:

Staff is recommending that the Commission propose new rules concerning all aspects of centralized market trading on DCMs, block trading in futures and options, and EDRPs. Among other things, the proposed rules would limit block trading to a specified percentage of Average Daily Volume of futures and of options on futures contracts listed by a DCM.

 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Other Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 38.500   
Legal Authority: 7 U.S.C. 7    CEA sec. 5    7 U.S.C. 2(h)    CEA sec. 2(h)    7 U.S.C. 12(a)(5)    CEA sec. 8(a)(5)    Pub. L. 111-203, Dodd-Frank    124 Stat. 1376 (2010)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  06/00/2017 
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-AD90 
Agency Contact:
Nancy Markowitz
Deputy Director, Division of Market Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5453
Email: nmarkowitz@cftc.gov

Abigail Knauff
Special Counsel, Division of Market Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5123
Email: aknauff@cftc.gov

Aaron Brodsky
Senior Special Counsel, Division of Market Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5349
Email: abrodsky@cftc.gov