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CFTC RIN: 3038-AE43 Publication ID: Fall 2019 
Title: Amendments to Required Disclosure of Material Information Concerning a Swap 

Staff is considering recommending to the Commission proposed rules to amend the Commission’s swap dealer business conduct regulations to streamline the execution process when swap dealers and major swap participants enter into certain swaps pursuant to prime brokerage arrangements or when entering into swaps intended to be cleared contemporaneously with execution. These proposed amendments would codify long-standing no-action letters. Additional amendments suggested pursuant to the Commission’s Project KISS initiative will also be proposed.

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 23.401    17 CFR 23.431   
Legal Authority: 7 U.S.C. 6s   
Legal Deadline:  None
Action Date FR Cite
NPRM  11/00/2019 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Frank Fisanich
Deputy Director, Division of Swap Dealer and Intermediary Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5949