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CFTC RIN: 3038-AF28 Publication ID: Fall 2023 
Title: Part 40 - Provisions Common to Registered Entities 

The Commission has proposed revisions to amend, clarify, and improve certain part 40 provisions for registered entities to file new or amended products and rules with the Commission; and clarify and improve current dormancy regulations.

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: Undetermined 
CFR Citation: 17 CFR 40   
Legal Authority: 7 U.S.C. 12a(5)    7 U.S.C. 7a-2    7 U.S.C. 1a    7 U.S.C. 2    7 U.S.C. 5    7 U.S.C. 7    7 U.S.C. 6   
Legal Deadline:  None
Action Date FR Cite
NPRM  09/06/2023  88 FR 61432   
NPRM Comment Period End  11/06/2023 
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 Kaplan Reicher
Senior Special Counsel to the Director, Division of Market Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-6233