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CFTC RIN: 3038-AF29 Publication ID: Spring 2022 
Title: ●Conflicts of Interest and Governance Requirements for Swap Execution Facilities 
Abstract:

In 2010 and 2011, the Commission proposed requirements to implement the following sections of the Dodd-Frank Wall Street Reform and Consumer Protection Act, insofar as they pertain to conflicts of interest for DCOs, DCMs and SEFs: section 726 (Rulemaking on Conflict of Interest); sections 725(c) and (d) (DCO Core Principles and Conflicts of Interest); section 735(b) (DCM Core Principles); and section 733 (SEF Core Principles). The Commission did not adopt these requirements. The Commission will issue a new notice of proposed rulemaking, which will: (1) apply to SEFs; and (2) take into account market and industry developments since the publication of the previous notices of proposed rulemaking. The proposed rulemaking will amend SEF Core Principle 12 in part 37 of the Commission’s regulations.

 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: Undetermined 
CFR Citation: 17 CFR 1 and 37   
Legal Authority: 7 U.S.C. 12(a)(5)    7 U.S.C. 1a    7 U.S.C. 2    7 U.S.C. 5    7 U.S.C. 6    7 U.S.C. 6a    7 U.S.C. 6b    7 U.S.C. 6c    7 U.S.C. 6d    7 U.S.C. 6e    7 U.S.C. 6f    7 U.S.C. 6g    7 U.S.C. 6h    7 U.S.C. 6i    7 U.S.C. 6k    7 U.S.C. 6l    7 U.S.C. 6m    7 U.S.C. 6n    7 U.S.C. 6o    7 U.S.C. 6p    7 U.S.C. 6r    7 U.S.C. 6s    7 U.S.C. 7    7 U.S.C. 7a-1    7 U.S.C. 7a-2    7 U.S.C. 7b    7 U.S.C. 7b-3    7 U.S.C. 8    7 U.S.C. 9    7 U.S.C. 10a    7 U.S.C. 12    7 U.S.C. 12c    7 U.S.C. 13a    7 U.S.C. 13a-1    7 U.S.C. 16    7 U.S.C. 16a    7 U.S.C. 19    7 U.S.C. 21    7 U.S.C. 23    7 U.S.C. 24   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  01/00/2023 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Rachel F. Berdansky
Deputy Director, Division of Market Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5641
Fax:202 418-5429
Email: rberdansky@cftc.gov