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CFTC RIN: 3038-AE75 Publication ID: Fall 2018 
Title: ●Amendments to Regulations Governing Futures Commission Merchants, Swap Dealers, Introducing Brokers and Retail Foreign Exchange Dealers 
Abstract:

The Commodity Futures Trading Commission ("Commission") is proposing to amend certain regulations impacting futures commission merchants (FCMs) swap dealers, introducing brokers and retail foreign exchange dealers. The amendments would revise the duties of public accountants in performing audits of FCMs, codify regulatory relief regarding the receipt of customer funds by FCMs, revise certain regulatory notices required of FCMs, codify regulatory relief regarding the holding of customer funds by FCMs for foreign futures and foreign options transactions, and revise certain procedures regarding the bulk transfers of customer accounts. The Commission is also proposing to amend its regulations that require depositories used by FCMs to hold customer funds to provide the Commission with direct, read-only access to customer account information.

 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Other Significant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: Undetermined 
EO 13771 Designation: Independent agency 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: Not Yet Determined   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  10/00/2018 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Thomas J. Smith
Deputy Director, Market Participants Division
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5495
Email: tsmith@cftc.gov

Mark Bretscher
Special Counsel, Division of Swap Intermediary Oversight
Commodity Futures Trading Commission
525 W. Monroe Street, Suite 1100,
Chicago, IL 60661
Phone:312 596-0529
Email: mbretscher@cftc.gov

Lawrence T. Eckert
Special Counsel, Division of Swap Intermediary Oversight
Commodity Futures Trading Commission
140 Broadway,
New York, NY 10005
Phone:646 746-9704
Email: leckert@cftc.gov