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CFTC RIN: 3038-AF29 Publication ID: Spring 2024 
Title: Conflicts of Interest and Governance Requirements for Swap Execution Facilities 
Abstract:

The Commission has issued a notice of proposed rulemaking (NPRM) to adopt new rules and amendments to existing rules related to SEF Core Principles 2, 12 and 15 in part 37 of the Commission’s regulations, to better align with existing requirements for DCMs.  The NPRM also proposes to adopt new rules related to 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: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
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  03/19/2024  89 FR 19646   
NPRM Comment Period End  04/22/2024 
NPRM Comment Period Extended  04/25/2024  89 FR 31669   
NPRM Comment Period Extension End  05/13/2024 
Final Rule  09/00/2024 
Final Rule Effective  11/00/2024 
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:
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