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CFTC RIN: 3038-AE73 Publication ID: Spring 2019 
Title: Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations 
Abstract:

The Commodity Futures Trading Commission ("Commission") is proposing to amend its regulations governing the minimum standards for a self-regulatory organization’s (SRO) financial surveillance examination program of futures commission merchants (FCMs). The proposed amendments would revise the scope of a third-party expert’s evaluation of the SRO’s financial surveillance program to cover only the examination standards used by SRO staff in conducting FCM examinations. The proposed amendments also would revise the minimum timeframes between when an SRO must engage a third-party expert to evaluate its FCM examination standards.

 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Other Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: Undetermined 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 1   
Legal Authority: 7 U.S.C. 6c, 6f, 7, 12a and 21 (2012)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  07/03/2018  83 FR 31078   
NPRM Comment Period End  09/04/2018 
Final Rule  05/00/2019 
Final Rule Effective  06/00/2019 
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:
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

Joshua Beale
Associate Director, Market Participants Division
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5446
Email: jbeale@cftc.gov

Jennifer Bauer
Special Counsel, Division of Swap Intermediary Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5472
Fax:202 418-5528
Email: jbauer@cftc.gov