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CFTC RIN: 3038-AF42 Publication ID: Spring 2024 
Title: ●Affiliations Requirements 
Abstract:

On June 28, 2023, Commission staff of the Divisions of Market Oversight, Clearing and Risk, and Market Participants issued a request for comment on potential issues that may arise if a designated contract market (DCM), derivatives clearing organization (DCO) or swap execution facility (SEF) is affiliated with an intermediary, such as a futures commission merchant (FCM), or other market participant, such as a trading entity. Staff expects to recommend that the Commission issue a notice of proposed rulemaking (NPRM) to adopt new rules and amendments addressing issues relating to when a DCM, DCO, or SEF is affiliated with an intermediary or other market participant.

 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR parts 37, 38, 39     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 7 U.S.C. 7(d)(1)(d), 7a-1(c), 7b-3(f)    7 U.S.C. 12a(5)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  09/00/2024 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
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

Marilee Dahlman
Special Counsel, Division of Market Oversight
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5264
Email: mdahlman@cftc.gov

Robert Wasserman
Chief Counsel, Division of Clearing and Risk
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5092
Email: rwasserman@cftc.gov