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CFTC RIN: 3038-AE66 Publication ID: Fall 2019 
Title: Derivatives Clearing Organization General Provisions and Core Principles  

The Commodity Futures Trading Commission has proposed amendments to part 39 of its regulations to clarify certain existing regulations applicable to derivatives clearing organizations. The proposed amendments to part 39 would, among other things, address certain risk management and reporting obligations, clarify the meaning of certain provisions, simplify processes for registration and reporting, and codify existing staff relief and guidance. In addition, the Commission is proposing technical amendments to certain provisions of part 1 and certain delegation provisions under part 140.

Agency: Commodity Futures Trading Commission(CFTC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: No  Unfunded Mandates: No 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 1    17 CFR 39    17 CFR 140   
Legal Authority: 7 U.S.C. 1(c)(2)    7 U.S.C. 2(a)(12)    7 U.S.C. 12a    7 U.S.C. 13(c)    7 U.S.C. 13(d)    7 U.S.C. 13(e)    7 U.S.C. 16(b)   
Legal Deadline:  None
Action Date FR Cite
NPRM  05/16/2019  84 FR 22226   
NPRM Comment Period End  07/15/2019 
NPRM Comment Period Extended  07/05/2019  84 FR 32104   
NPRM Comment Period Extended End  09/13/2019 
Final Rule  01/00/2020 
Final Rule Effective  02/00/2020 
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:
Eileen A. Donovan
Deputy Director, Division of Clearing and Risk
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5096