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CFTC RIN: 3038-AE61 Publication ID: Fall 2019 
Title: Position Limits and Position Accountability for Security Futures Products 
Abstract:

The Commission has proposed to amend the position limits and position accountability rules for security futures products ("SFPs") by: (1) increasing the default level of equity security SFP position limits; (2) eliminating other specific position limits and position accountability levels, instead permitting the listing exchange to set specific position limits and position accountability levels for SFPs above the default level where appropriate; and (3) requiring aggregation of positions held by the same person in cash-settled SFPs and physical delivery SFPs that are based on the same underlying security.

 
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: No 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 41   
Legal Authority: Pub. L. 106-554, secs. 206, 251, and 252    7 U.S.C. 1a    7 U.S.C. 2    7 U.S.C. 6f and 6j    7 U.S.C. 7a-2    7 U.S.C.12a   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  07/31/2018  83 FR 36799   
NPRM Comment Period End  10/01/2018 
Final Rule  11/00/2019 
Final Rule Effective  12/00/2019 
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 
Agency Contact:
Dana Brown
Attorney-Advisor, Division of Market Oversight,
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW.,
Washington , DC 20581
Phone:202 418-5093
Email: dbrown@cftc.gov

Thomas Leahy
Associate Director, Division of Market Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5278
Fax:202 418-5527
Email: tleahy@cftc.gov