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CFTC RIN: 3038-AF23 Publication ID: Fall 2022 
Title: System Safeguards Program and Testing Requirements for Certain Commission Registrants 
Abstract:

The Commodity Futures Trading Commission (Commission) expects to propose a rule requiring certain Commission registrants to establish and maintain a program of system safeguards and risk analysis with respect to its operations and automated systems to ensure such systems are reliable, secure, and have adequate scalable capacity. Registrants’ programs should include areas such as: information security, capacity and performance planning, systems operations, systems development and quality assurance, and physical security. 

 
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: Undetermined  Unfunded Mandates: Undetermined 
CFR Citation: 17 CFR 1    17 CFR 23    17 CFR 4   
Legal Authority: 7 U.S.C. 64s(j)    7 U.S.C 6f(c)    7 U.S.C. 6m    7 U.S.C 6n   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  03/00/2023 
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:
Pamela M. Geraghty
Deputy Director, Market Participants Division
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5634
Email: pgeraghty@cftc.gov