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CFTC RIN: 3038-AE40 Publication ID: Fall 2021 
Title: Exempt Swap Execution Facilities 

The Commission would propose new part 47 regulations which would establish standards and procedures for exempting from swap execution facility registration those facilities which are subject to comparable, comprehensive supervision and regulation on a consolidated basis by an appropriate governmental authority in the facility’s home country.

Agency: Commodity Futures Trading Commission(CFTC)  Priority: Other Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: No  Unfunded Mandates: No 
CFR Citation: 17 CFR 47   
Legal Authority: 7 U.S.C. 7b-3    7 U.S.C.12a   
Legal Deadline:  None
Action Date FR Cite
NPRM  12/00/2021 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of international interest.
RIN Data Printed in the FR: No 
Related RINs: Related to 3038-AE65 
Agency Contact:
Roger Smith
Associate Chief Counsel, Division of Market Oversight
Commodity Futures Trading Commission
525 West Monroe Street, Suite 1100,
Chicago, IL 60661
Phone:202 418-5344