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CFTC RIN: 3038-AF33 Publication ID: Spring 2024 
Title: Amendments to Swap Dealer Capital and Financial Reporting Requirements 
Abstract:

The Commodity Futures Trading Commission (Commission) proposed to amend 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: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
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
Timetable:
Action Date FR Cite
NPRM  01/16/2024  89 FR 2554   
NPRM Comment Period End  02/13/2024 
Final Rule  07/00/2024 
Final Rule Effective  08/00/2024 
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:
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
Email: jbeale@cftc.gov