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CFTC RIN: 3038-AF29 Publication ID: Fall 2023 
Title: Conflicts of Interest and Governance Requirements for Swap Execution Facilities 
Abstract:

Staff expects to recommend that the Commission issue a notice of proposed rulemaking to amend SEF Core Principles 12 and 15 in part 37 of the Commission’s regulations, to better align with existing requirements for DCMs.  Staff expects that the proposed rulemaking will also amend DCM Core Principles 15 and 16 in part 38 of the Commission’s regulations, to codify previously published Acceptable Practices, to provide regulatory certainty and to reflect industry best-practice standards.

 
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 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  11/00/2023 
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:
Swati Shah
Associate Director, Division of Market Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5042
Email: sshah@cftc.gov