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CFTC | RIN: 3038-AD52 | Publication ID: Spring 2019 |
Title: Regulation Automated Trading | |
Abstract:
On November 7, 2016, the Commodity Futures Trading Commission ("Commission”) approved a supplemental notice of proposed rulemaking for Regulation AT ("Supplemental NPRM”). The Supplemental NPRM modifies certain rules proposed in the Commission’s December 2015, notice of proposed rulemaking for Regulation AT (the "NPRM”). The Supplemental NPRM was published in the Federal Register on November 25, 2016, with a 90-day comment period closing on January 24, 2017. The Commission subsequently extended the comment period until May 1, 2017. The NPRM and Supplemental NPRM, though a set of proposed regulations collectively referred to as "Regulation AT,” would require registration of certain market participants that engage in proprietary algorithmic trading; impose pre-trade risk control, testing, and certification requirements on market participants, futures commission merchants, and/or designated contract markets; and set forth preservation and access obligations relating to algorithmic trading source code. |
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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: No | Unfunded Mandates: No |
EO 13771 Designation: Independent agency | |
CFR Citation: 17 CFR 1 17 CFR 38 17 CFR 40 17 CFR 170 | |
Legal Authority: 7 U.S.C. 1a(23), 7 U.S.C. 6c(a) 7 U.S.C. 7(d) and 7 U.S.C. 12(a)(5) |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: Yes | Government Levels Affected: None |
Small Entities Affected: Businesses | Federalism: No |
Included in the Regulatory Plan: No | |
RIN Data Printed in the FR: Yes | |
Agency Contact: Marilee Dahlman Special Counsel, Division of Market Oversight Commodity Futures Trading Commission Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581 Phone:202 418-5264 Email: mdahlman@cftc.gov |