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CFTC RIN: 3038-AD36 Publication ID: Fall 2019 
Title: Governance Requirements for Designated Contract Markets And Swap Execution Facilities; Additional Requirements Regarding the Mitigation of Conflicts of Interest 
Abstract:

This Agenda entry is being withdrawn as a separate item and merged into the closely related rulemaking activities reported under RIN 3038-AD37. In 2010 and 2011, the Commodity Futures Trading Commission ("Commission”) proposed requirements to implement the following sections of the Dodd-Frank Wall Street Reform and Consumer Protection Act, insofar as they pertain to conflicts of interest, governance, and fitness for derivatives clearing organizations ("DCOs”), designated contract markets ("DCMs”), and swap execution facilities ("SEFs”): section 726 (Rulemaking on Conflict of Interest), sections 725(c) and (d) (DCO Core Principles and Conflicts of Interest), section 735(b) (DCM Core Principles), and section 733 (SEF Core Principles). The Commission did not adopt these requirements. The Commission will issue a new proposed rulemaking, which will: (1) Apply to DCMs and SEFs; and (2) take into account domestic and international market developments since the publication of the original proposed rulemaking. The title of this rule has been updated accordingly, to reflect the focus going forward on DCMs and SEFs.

 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Other Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Completed Actions 
Major: No  Unfunded Mandates: No 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 1    17 CFR 37 to 40   
Legal Authority: Pub. L. 111-203, secs. 725(c), 725(d), 726, 733, and 735(b), Dodd-Frank   
Legal Deadline:
Action Source Description Date
Final  Statutory    07/15/2011 
Timetable:
Action Date FR Cite
NPRM  01/06/2011  76 FR 722   
NPRM Comment Period End  03/07/2011    
NPRM Comment Period Extended  05/04/2011  76 FR 25274   
NPRM Comment Period Extended End  06/03/2011    
Withdrawn  07/26/2019 
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 
Related RINs: Previously reported as 3038-AD01, Related to 3038-AD37 
Agency Contact:
Swati Shah
Special Counsel, Division of Market Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5042
Email: sshah@cftc.gov