Regulatory Flexibility Agenda, 58113-58115 [2018-24166]
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Vol. 83
Friday,
No. 222
November 16, 2018
Part XXI
Commodity Futures Trading Commission
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Semiannual Regulatory Agenda
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58114
Federal Register / Vol. 83, No. 222 / Friday, November 16, 2018 / Unified Agenda
17 CFR Ch. I
Regulatory Flexibility Agenda
Commodity Futures Trading
Commission.
AGENCY:
ACTION:
The
Regulatory Flexibility Act (RFA), 5
U.S.C. 601, et seq., includes a
requirement that each agency publish
semiannually in the Federal Register a
regulatory flexibility agenda. Such
agendas are to contain the following
elements, as specified in 5 U.S.C. 602(a):
(1) A brief description of the subject
area of any rule that the agency expects
to propose or promulgate, which is
likely to have a significant economic
impact on a substantial number of small
entities;
(2) A summary of the nature of any
such rule under consideration for each
subject area listed in the agenda, the
objectives and legal basis for the
issuance of the rule, and an approximate
schedule for completing action on any
rule for which the agency has issued a
general notice of proposed rulemaking;
and
(3) The name and telephone number
of an agency official knowledgeable
about the items listed in the agenda.
Accordingly, the Commission has
prepared an agenda of rulemakings that
SUPPLEMENTARY INFORMATION:
COMMODITY FUTURES TRADING
COMMISSION
Semiannual regulatory agenda.
The Commodity Futures
Trading Commission (Commission), in
accordance with the requirements of the
Regulatory Flexibility Act, is publishing
a semiannual agenda of rulemakings
that the Commission expects to propose
or promulgate over the next year. The
Commission welcomes comments from
small entities and others on the agenda.
SUMMARY:
FOR FURTHER INFORMATION CONTACT:
Christopher J. Kirkpatrick, Secretary of
the Commission, (202) 418–5964,
ckirkpatrick@cftc.gov, Commodity
Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581.
it presently expects may be considered
during the course of the next year.
Subject to a determination for each rule,
it is possible as a general matter that
some of these rules may have some
impact on small entities.1 The
Commission notes also that, under the
RFA, it is not precluded from
considering or acting on a matter not
included in the regulatory flexibility
agenda, nor is it required to consider or
act on any matter that is listed in the
agenda. See 5 U.S.C. 602(d).
The Commission’s Fall 2018
regulatory flexibility agenda is included
in the Unified Agenda of Federal
Regulatory and Deregulatory Actions.
The complete Unified Agenda will be
available online at www.reginfo.gov in a
format that offers users enhanced ability
to obtain information from the Agenda
database.
Issued in Washington, DC, on July 26,
2018, by the Commission.
Christopher J. Kirkpatrick,
Secretary of the Commission.
COMMODITY FUTURES TRADING COMMISSION—PROPOSED RULE STAGE
Regulation
Identifier No.
Sequence No.
Title
432 ....................
Regulation Automated Trading ........................................................................................................................
3038–AD52
COMMODITY FUTURES TRADING COMMISSION—COMPLETED ACTIONS
Title
433 ....................
Indemnification Rulemaking .............................................................................................................................
COMMODITY FUTURES TRADING
COMMISSION (CFTC)
Proposed Rule Stage
432. Regulation Automated Trading
amozie on DSK3GDR082PROD with PROPOSALS 21
Regulation
Identifier No.
Sequence No.
E.O. 13771 Designation: Independent
agency.
Legal Authority: 7 U.S.C. 1a(23), 7
U.S.C. 6c(a); 7 U.S.C. 7(d); and 7 U.S.C.
12(a)(5)
Abstract: On November 7, 2016, the
Commodity Futures Trading
Commission (‘‘Commission’’) approved
a supplemental notice of proposed
rulemaking for Regulation AT
(‘‘Supplemental NPRM’’). The
Supplemental NPRM modifies certain
1 The Commission published its definition of a
‘‘small entity’’ for purposes of rulemaking
proceedings at 47 FR 18618 (April 30, 1982).
Pursuant to that definition, the Commission is not
required to list—but nonetheless does—many of the
items contained in this regulatory flexibility
agenda. See also 5 U.S.C. 602(a)(1). Moreover, for
certain items listed in this agenda, the Commission
VerDate Sep<11>2014
20:48 Nov 15, 2018
Jkt 247001
rules proposed in the Commission’s
December 2015, notice of proposed
rulemaking for Regulation AT. The
Supplemental NPRM was published in
the Federal Register on November 25,
2016, with a 90-day comment period
closing on January 24, 2017. The
Commission subsequently extended the
comment period until May 1, 2017.
Timetable:
Action
Date
ANPRM ...............
ANPRM Comment
Period End.
09/12/13
12/11/13
FR Cite
78 FR 56542
has previously certified, under section 605 of the
RFA, 5 U.S.C. 605, that those items will not have
a significant economic impact on a substantial
number of small entities. For these reasons, the
listing of a rule in this regulatory flexibility agenda
should not be taken as a determination that the rule,
when proposed or promulgated, will in fact require
a regulatory flexibility analysis. Rather, the
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Action
ANPRM Comment
Period Extended.
ANPRM Comment
Period Extended End.
NPRM ..................
NPRM Comment
Period End.
NPRM Comment
Period Reopened.
NPRM Comment
Period Reopened End.
Supplemental
NPRM.
Date
01/24/14
3038–AE44
FR Cite
79 FR 4104
02/14/14
12/17/15
03/16/16
80 FR 78824
06/10/16
81 FR 36484
06/24/16
11/25/16
81 FR 85334
Commission has chosen to publish an agenda that
includes significant and other substantive rules,
regardless of their potential impact on small
entities, to provide the public with broader notice
of new or revised regulations the Commission may
consider and to enhance the public’s opportunity to
participate in the rulemaking process.
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Federal Register / Vol. 83, No. 222 / Friday, November 16, 2018 / Unified Agenda
Action
Date
Supplemental
NPRM Comment Period
End.
Supplemental
NPRM Comment Period Extended.
Supplemental
NPRM Comment Period Extended End.
NPRM ..................
COMMODITY FUTURES TRADING
COMMISSION (CFTC)
FR Cite
01/24/17
01/26/17
Completed Actions
82 FR 8502
05/01/17
06/00/19
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Regulatory Flexibility Analysis
Required: Yes.
Agency Contact: 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.
RIN: 3038–AD52
VerDate Sep<11>2014
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Jkt 247001
433. Indemnification Rulemaking
E.O. 13771 Designation: Independent
agency.
Legal Authority: 7 U.S.C. 12a and 24a
Abstract: The FAST Act repealed CEA
section 21(d)(2), added to the CEA by
Dodd-Frank section 728, which
provided that domestic and foreign
regulators that are otherwise eligible to,
and that do, request data from an SDR
(collectively, Regulators) agree to
indemnify the SDR and the CFTC for
expenses resulting from litigation
relating to the information provided.
When considered in light of the CFTC’s
current regulations addressing
Regulators’ access to SDR data, the
removal of the indemnification
requirement presented a number of
issues, primarily related to the scope of
Regulators’ access to SDR data, and
maintaining the confidentiality of such
data consistent with CEA section 8. The
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58115
Commission addressed these issues in a
final rule that, among other things,
revise the current approach to
Regulators’ access to SDRs’ swap data
and sets forth more information
regarding the confidentiality agreement
that is required by CEA section 21(d).
Completed:
Action
Final Rule ............
Final Rule Effective.
Date
06/12/18
08/13/18
FR Cite
83 FR 27410
Regulatory Flexibility Analysis
Required: Yes.
Agency Contact: Daniel J. Bucsa,
Phone: 202 418–5435, Email: dbucsa@
cftc.gov.
David E. Aron, Phone: 202 418–6621,
Email: daron@cftc.gov.
Owen Kopon, Phone: 202 418–5360,
Email: okopon@cftc.gov.
RIN: 3038–AE44.
[FR Doc. 2018–24166 Filed 11–15–18; 8:45 am]
BILLING CODE 6351–01–P
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]]>Agencies
[Federal Register Volume 83, Number 222 (Friday, November 16, 2018)]
[Unknown Section]
[Pages 58113-58115]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-24166]
[[Page 58113]]
Vol. 83
Friday,
No. 222
November 16, 2018
Part XXI
Commodity Futures Trading Commission
-----------------------------------------------------------------------
Semiannual Regulatory Agenda
Federal Register / Vol. 83 , No. 222 / Friday, November 16, 2018 /
Unified Agenda
[[Page 58114]]
-----------------------------------------------------------------------
COMMODITY FUTURES TRADING COMMISSION
17 CFR Ch. I
Regulatory Flexibility Agenda
AGENCY: Commodity Futures Trading Commission.
ACTION: Semiannual regulatory agenda.
-----------------------------------------------------------------------
SUMMARY: The Commodity Futures Trading Commission (Commission), in
accordance with the requirements of the Regulatory Flexibility Act, is
publishing a semiannual agenda of rulemakings that the Commission
expects to propose or promulgate over the next year. The Commission
welcomes comments from small entities and others on the agenda.
FOR FURTHER INFORMATION CONTACT: Christopher J. Kirkpatrick, Secretary
of the Commission, (202) 418-5964, [email protected], Commodity
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street
NW, Washington, DC 20581.
SUPPLEMENTARY INFORMATION: The Regulatory Flexibility Act (RFA), 5
U.S.C. 601, et seq., includes a requirement that each agency publish
semiannually in the Federal Register a regulatory flexibility agenda.
Such agendas are to contain the following elements, as specified in 5
U.S.C. 602(a):
(1) A brief description of the subject area of any rule that the
agency expects to propose or promulgate, which is likely to have a
significant economic impact on a substantial number of small entities;
(2) A summary of the nature of any such rule under consideration
for each subject area listed in the agenda, the objectives and legal
basis for the issuance of the rule, and an approximate schedule for
completing action on any rule for which the agency has issued a general
notice of proposed rulemaking; and
(3) The name and telephone number of an agency official
knowledgeable about the items listed in the agenda.
Accordingly, the Commission has prepared an agenda of rulemakings
that it presently expects may be considered during the course of the
next year. Subject to a determination for each rule, it is possible as
a general matter that some of these rules may have some impact on small
entities.\1\ The Commission notes also that, under the RFA, it is not
precluded from considering or acting on a matter not included in the
regulatory flexibility agenda, nor is it required to consider or act on
any matter that is listed in the agenda. See 5 U.S.C. 602(d).
---------------------------------------------------------------------------
\1\ The Commission published its definition of a ``small
entity'' for purposes of rulemaking proceedings at 47 FR 18618
(April 30, 1982). Pursuant to that definition, the Commission is not
required to list--but nonetheless does--many of the items contained
in this regulatory flexibility agenda. See also 5 U.S.C. 602(a)(1).
Moreover, for certain items listed in this agenda, the Commission
has previously certified, under section 605 of the RFA, 5 U.S.C.
605, that those items will not have a significant economic impact on
a substantial number of small entities. For these reasons, the
listing of a rule in this regulatory flexibility agenda should not
be taken as a determination that the rule, when proposed or
promulgated, will in fact require a regulatory flexibility analysis.
Rather, the Commission has chosen to publish an agenda that includes
significant and other substantive rules, regardless of their
potential impact on small entities, to provide the public with
broader notice of new or revised regulations the Commission may
consider and to enhance the public's opportunity to participate in
the rulemaking process.
---------------------------------------------------------------------------
The Commission's Fall 2018 regulatory flexibility agenda is
included in the Unified Agenda of Federal Regulatory and Deregulatory
Actions. The complete Unified Agenda will be available online at
www.reginfo.gov in a format that offers users enhanced ability to
obtain information from the Agenda database.
Issued in Washington, DC, on July 26, 2018, by the Commission.
Christopher J. Kirkpatrick,
Secretary of the Commission.
Commodity Futures Trading Commission--Proposed Rule Stage
------------------------------------------------------------------------
Regulation
Sequence No. Title Identifier No.
------------------------------------------------------------------------
432....................... Regulation Automated 3038-AD52
Trading.
------------------------------------------------------------------------
Commodity Futures Trading Commission--Completed Actions
------------------------------------------------------------------------
Regulation
Sequence No. Title Identifier No.
------------------------------------------------------------------------
433....................... Indemnification Rulemaking 3038-AE44
------------------------------------------------------------------------
COMMODITY FUTURES TRADING COMMISSION (CFTC)
Proposed Rule Stage
432. Regulation Automated Trading
E.O. 13771 Designation: Independent agency.
Legal Authority: 7 U.S.C. 1a(23), 7 U.S.C. 6c(a); 7 U.S.C. 7(d);
and 7 U.S.C. 12(a)(5)
Abstract: On November 7, 2016, the Commodity Futures Trading
Commission (``Commission'') approved a supplemental notice of proposed
rulemaking for Regulation AT (``Supplemental NPRM''). The Supplemental
NPRM modifies certain rules proposed in the Commission's December 2015,
notice of proposed rulemaking for Regulation AT. The Supplemental NPRM
was published in the Federal Register on November 25, 2016, with a 90-
day comment period closing on January 24, 2017. The Commission
subsequently extended the comment period until May 1, 2017.
Timetable:
------------------------------------------------------------------------
Action Date FR Cite
------------------------------------------------------------------------
ANPRM............................... 09/12/13 78 FR 56542
ANPRM Comment Period End............ 12/11/13 .......................
ANPRM Comment Period Extended....... 01/24/14 79 FR 4104
ANPRM Comment Period Extended End... 02/14/14 .......................
NPRM................................ 12/17/15 80 FR 78824
NPRM Comment Period End............. 03/16/16 .......................
NPRM Comment Period Reopened........ 06/10/16 81 FR 36484
NPRM Comment Period Reopened End.... 06/24/16 .......................
Supplemental NPRM................... 11/25/16 81 FR 85334
[[Page 58115]]
Supplemental NPRM Comment Period End 01/24/17 .......................
Supplemental NPRM Comment Period 01/26/17 82 FR 8502
Extended.
Supplemental NPRM Comment Period 05/01/17 .......................
Extended End.
NPRM................................ 06/00/19 .......................
------------------------------------------------------------------------
Regulatory Flexibility Analysis Required: Yes.
Agency Contact: 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: [email protected].
RIN: 3038-AD52
COMMODITY FUTURES TRADING COMMISSION (CFTC)
Completed Actions
433. Indemnification Rulemaking
E.O. 13771 Designation: Independent agency.
Legal Authority: 7 U.S.C. 12a and 24a
Abstract: The FAST Act repealed CEA section 21(d)(2), added to the
CEA by Dodd-Frank section 728, which provided that domestic and foreign
regulators that are otherwise eligible to, and that do, request data
from an SDR (collectively, Regulators) agree to indemnify the SDR and
the CFTC for expenses resulting from litigation relating to the
information provided. When considered in light of the CFTC's current
regulations addressing Regulators' access to SDR data, the removal of
the indemnification requirement presented a number of issues, primarily
related to the scope of Regulators' access to SDR data, and maintaining
the confidentiality of such data consistent with CEA section 8. The
Commission addressed these issues in a final rule that, among other
things, revise the current approach to Regulators' access to SDRs' swap
data and sets forth more information regarding the confidentiality
agreement that is required by CEA section 21(d).
Completed:
------------------------------------------------------------------------
Action Date FR Cite
------------------------------------------------------------------------
Final Rule.......................... 06/12/18 83 FR 27410
Final Rule Effective................ 08/13/18 .......................
------------------------------------------------------------------------
Regulatory Flexibility Analysis Required: Yes.
Agency Contact: Daniel J. Bucsa, Phone: 202 418-5435, Email:
[email protected].
David E. Aron, Phone: 202 418-6621, Email: [email protected].
Owen Kopon, Phone: 202 418-5360, Email: [email protected].
RIN: 3038-AE44.
[FR Doc. 2018-24166 Filed 11-15-18; 8:45 am]
BILLING CODE 6351-01-P
