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CFTC RIN: 3038-AF11 Publication ID: Fall 2023 
Title: Revisions to Supplemental Standards of Ethical Conduct for Employees of the Commodity Futures Trading Commission 

The Commodity Futures Trading Commission (Commission), after obtaining the concurrence of the OGE, proposes to issue a notice of proposed rulemaking for employees of the Commission.  In order to effectuate this interagency concurrence, the Commission would submit a final version of its proposed supplemental ethics regulations to OGE.  After OGE had approved them, the regulations would be put into seriatim review.  The proposed changes would affect regulations in both title 5 and title 17.  First, the Commission is proposing to amend its supplemental standards of ethical conduct at 5 CFR part 5101. This proposal would also add 5 CFR 5101.104 requiring employees to file a written notice of disqualification in certain situations, prescribe new rules at 5 CFR 5101.105 authorizing waivers from the Commission’s supplemental standards of ethical conduct, and set forth ethics official designations at proposed paragraph 5 CFR 5101.106.  Second, the Commission is proposing to amend its conduct regulation in 17 CFR 140.735 subpart C for which the Commission has authority to issue under 5 CFR 2635.403(a). The provisions at 17 CFR 140.735 subpart C would continue to apply to the conduct of Commission employees. This proposal would combine 17 CFR 140.735-2 (Prohibited transactions) with 17 CFR 140.735-2a (Prohibited interests) and delete 17 CFR 140.735-4, Receipt and disposition of foreign gifts and decorations, in its entirety because the substance of the regulation is contained within the Foreign Gifts and Decorations Act.

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: Undetermined  Unfunded Mandates: No 
CFR Citation: 5 CFR 5101    17 CFR 140.735   
Legal Authority: 5 U.S.C. 13122    5 U.S.C. 7301   
Legal Deadline:  None
Action Date FR Cite
NPRM  12/00/2023 
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:
Frank Walsh
Alternate Designated Agency Ethics Official, Office of the General Counsel
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-6250