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CFTC RIN: 3038-AE59 Publication ID: Fall 2023 
Title: Risk Management for Swap Dealers and Futures Commission Merchants; Amendments 
Abstract:

The Commission issued an advance notice of proposed rulemaking (ANPRM) on 07/18/2023 for certain risk management regulations for futures commission merchants, swap dealers, and major swap participants. The ANPRM posed questions and solicited feedback on potential updates to Commission regulations meant to clarify certain requirements and improve regulatory outcomes.  The ANPRM Comment Period ends on 09/18/2023.  Staff will review comments and consider further potential action, including staff guidance or recommending that the Commission issue a notice of proposed rulemaking (NPRM) for certain risk management regulations for futures commission merchants, swap dealers, and major swap participants.

 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: No  Unfunded Mandates: No 
CFR Citation: 17 CFR 1    17 CFR 23   
Legal Authority: 7 U.S.C. 64s(j)    7 U.S.C. 6f(c)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
ANPRM  07/18/2023  88 FR 45826   
ANPRM Comment Period End  09/18/2023 
NPRM  02/00/2024 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Amanda L. Olear
Director, Market Participants Division
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5283
Email: aolear@cftc.gov

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