[Federal Register Volume 81, Number 111 (Thursday, June 9, 2016)]
[Proposed Rules]
[Pages 37408-37409]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-12930]



[[Page 37407]]

Vol. 81

Thursday,

No. 111

June 9, 2016

Part XXII





Commodity Futures Trading Commission





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Semiannual Regulatory Agenda

  Federal Register / Vol. 81 , No. 111 / Thursday, June 9, 2016 / 
Unified Agenda  

[[Page 37408]]


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COMMODITY FUTURES TRADING COMMISSION

17 CFR Ch. I


Regulatory Flexibility Agenda

AGENCY: Commodity Futures Trading Commission.

ACTION: Semiannual regulatory agenda.

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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).
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    \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.
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    The Commission's spring 2016 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 April 5, 2016, by the Commission.
Robert N. Sidman,
Deputy Secretary of the Commission.

         Commodity Futures Trading Commission--Final Rule Stage
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                                                           Regulation
       Sequence No.                    Title             Identifier No.
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289.......................  Regulation Automated               3038-AD52
                             Trading.
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         Commodity Futures Trading Commission--Completed Actions
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                                                           Regulation
       Sequence No.                    Title             Identifier No.
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290.......................  Trade Options.............         3038-AE26
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COMMODITY FUTURES TRADING COMMISSION (CFTC)

Final Rule Stage

289. Regulation Automated Trading

    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 December 17, 2015, the Commission published a notice 
of proposed rulemaking titled Regulation Automated Trading 
(``Regulation AT''). Regulation AT proposes a series of risk controls, 
transparency measures and other safeguards to enhance the regulatory 
regime for automated trading on U.S. designated contract markets. The 
comment period is open through March 16, 2016. Staff will review 
comments and consider next steps for regulatory action in this area, 
including the possibility of a final rulemaking in one or more areas 
discussed in Regulation AT.
    Timetable:

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               Action                    Date            FR Cite
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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  .......................
Final Action........................   08/00/16  .......................
Final Action Effective..............   10/00/16  .......................
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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,

[[Page 37409]]

1155 21st Street NW., Washington, DC 20581, Phone: 202 418-5264, Email: 
[email protected].
    RIN: 3038-AD52

COMMODITY FUTURES TRADING COMMISSION (CFTC)

Completed Actions

290. Trade Options

    Legal Authority: CEA secs 4(c)(b) and 8(a)(5)
    Abstract: The Commission has amended the trade option exemption in 
32.3 of its regulations in the following subject areas: (1) Reporting 
requirements for trade option counterparties that are not swap dealers 
or major swap participants; (2) recordkeeping requirements for trade 
option counterparties that are not swap dealers or major swap 
participants; and (3) certain technical amendments.
    Completed:

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               Reason                    Date            FR Cite
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Final Action........................   03/21/16  81 FR 14966
Final Action Effective..............   03/21/16  .......................
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    Regulatory Flexibility Analysis Required: Yes.
    Agency Contact: David Pepper, Phone: 202 418-5565, Email: 
[email protected].
    RIN: 3038-AE26

[FR Doc. 2016-12930 Filed 6-8-16; 8:45 am]
 BILLING CODE 6351-01-P