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CFTC RIN: 3038-AE56 Publication ID: Fall 2017 
Title: ●Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments 
Abstract:

The Commodity Futures Trading Commission (Commission) is proposing to amend its regulations regarding certain duties of chief compliance officers of swap dealers, major swap participants (MSPs), and futures commission merchants (collectively, Registrants); and certain requirements for preparing and furnishing to the Commission an annual report containing an assessment of the Registrant’s compliance activities.

 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 3   
Legal Authority: 7 U.S.C. 1a, 2, 6a, 6b, 6b-1, 6c, 6d, 6e, 6f, 6g, 6h, 6i, 6k, 6m, 6n, 6o, 6p    6s, 8, 9, 9a, 12, 12a, 13b 13c, 16a, 18, 19, 21, 23   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  05/08/2017  82 FR 21330   
NPRM Comment Period End  07/07/2017 
Final Rule  11/00/2017 
Final Action Effective  01/00/2018 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Erik Remmler
Dep Director, Registration and Compliance Branch Division of Swap Dealer and Intermediary Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-7630
Email: eremmler@cftc.gov

Laura Gardy
Deputy Chief of Staff, Office of the Chairman
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5575
Email: lgardy@cftc.gov

Pamela M. Geraghty
Deputy Director, Market Participants Division
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5634
Email: pgeraghty@cftc.gov

Fern B. Simmons
Special Counsel, Division of Swap Dealer and Intermediary Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5901
Email: fsimmons@cftc.gov