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CFTC RIN: 3038-AF33 Publication ID: Fall 2023 
Title: Amendments to Swap Dealer Capital and Financial Reporting Requirements 

The Commodity Futures Trading Commission (Commission) expects to propose amendments to the regulations governing certain capital and financial reporting requirements for Swap Dealers. The amendments are designed to codify certain no-action relief that was issued by Commission staff and to make clarifying corrections to related capital provisions, appendices and forms for financial reporting purposes.  

Agency: Commodity Futures Trading Commission(CFTC)  Priority: Other Significant 
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    17 CFR 23.100-23.105   
Legal Authority: 7 U.S.C. 6s(e)    7 U.S.C 6s(f)   
Legal Deadline:  None
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:
Joshua Beale
Associate Director, Market Participants Division
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5446