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CFTC | RIN: 3038-AE25 | Publication ID: Fall 2018 |
Title: Amendments to Part 37 to Update Requirements for Swap Execution Facilities | |
Abstract:
Staff is proposing rule changes to part 37. The proposed part 37 rules would establish flexibility in execution methods and provide a revised interpretation of the trade execution requirement under section 2(h)(8) of the CEA. The proposed rules would also clarify the SEF registration requirement under 5h(a)(1) of the CEA and the impartial access requirement under SEF Core Principle 2. The proposed rules would also amend certain provisions relating to requirements for swap execution facilities. Further, the proposed rules would adopt other conforming changes to other Commission regulations outside of part 37. |
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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: No |
EO 13771 Designation: Independent agency | |
CFR Citation: 17 CFR 37 | |
Legal Authority: 7 U.S.C. 7(b)(3) |
Legal Deadline:
None |
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Timetable:
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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 | |
Agency Contact: David P. Van Wagner Chief Counsel, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581 Phone:202 418-5481 Email: dvanwagner@cftc.gov Nhan H. Nguyen Special Counsel, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581 Phone:202 418-5932 Email: nnguyen@cftc.gov Roger Smith Associate Chief Counsel, Division of Market Oversight Commodity Futures Trading Commission 77 West Jackson Boulevard, Suite 800, Chicago, IL 60604 Phone:202 418-5344 Email: rsmith@cftc.gov |