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CFTC RIN: 3038-AE94 Publication ID: Fall 2020 
Title: Swap Execution Facility Requirements and Real-Time Reporting Requirements 
Abstract:

The Commodity Futures Trading Commission ("Commission") proposed to amend certain parts of its regulations relating to the execution of package transactions on swap execution facilities (SEFs); the execution of block trades on SEFs; and the resolution of error trades on SEFs. These matters are currently the subject of relief in certain no-action letters from Commission staff.

 
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 36    17 CFR 37    17 CFR 43   
Legal Authority: 7 U.S.C. 1a    7 U.S.C. 2 and 2(a)    7 U.S.C. 2a2    7 U.S.C 5    7 U.S.C. 6 and 6c    7 U.S.C. 7    7 U.S.C. 7a-2 and 7b-3    7 U.S.C. 12a and 12a(5)    7 U.S.C. 21 and 24a   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  02/19/2020  85 FR 9407   
NPRM Comment Period End  04/20/2020 
NPRM Comment Period Extended  04/23/2020  85 FR 22690   
NPRM Comment Period Extended End  05/22/2020 
Final Rule  02/00/2021 
Final Rule Effective  04/00/2021 
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:
Roger Smith
Associate Chief Counsel, Division of Market Oversight
Commodity Futures Trading Commission
77 West Jackson Boulevard, Suite 800,
Chicago, IL 60604
Phone:202 418-5344
Email: rsmith@cftc.gov