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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 Special Counsel, 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