Jonathan L. Marcus, the general counsel for the CFTC, submitted a letter to the OMB on the Commission’s fifth status update on “Phase One” of the CFTC’s Plan for Retrospective Review of Agency Regulations. The update provides a summary of all the CFTC’s final rules issued since the last status update in January 2013. These final rules establish a comprehensive regulatory framework for the registration and operation of SEFs and DCMs, requiring joint identity theft prevention programs and detailing the process that adjudications will take. The following final rules were addressed:
- Final Rule Regarding Core Principles and other Requirements for Swap Execution Facilities (78 FR 33476)
- Final Rule Regarding Procedures to Establish Appropriate Minimum Block Sizes for Large Off-Facility Swaps and Block Trades (78 FR 32866)
- Final Rule and Guidelines Regarding Identity Theft Red Flags (78 FR 23638)
- Final Rule Regarding the Delegation of Authority to Disclose Confidential Information to a Contract Market, Registered Futures Association or Self-Regulatory Organization (78 FR 21522)
- Final Rule Regarding Clearing Exemption for Swaps between Certain Affiliated Entities (78 FR 21750)
- Final Rules Regarding Dual and Multiple Associations of Persons Associated with Swap Dealers, Major Swap Participants and other Commission Registrants (78 FR 20788)
- Final Rule Regarding Proceedings before the CFTC (78 FR 12933)
See: CFTC Status Report.