[Federal Register Volume 83, Number 222 (Friday, November 16, 2018)]
[Proposed Rules]
[Pages 58114-58115]
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





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Semiannual Regulatory Agenda

  Federal Register / Vol. 83 , No. 222 / Friday, November 16, 2018 / 
Unified Agenda  

[[Page 58114]]


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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 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
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                                                           Regulation
       Sequence No.                    Title             Identifier No.
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432.......................  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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433.......................  Indemnification Rulemaking         3038-AE44
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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:

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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  .......................
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  .......................
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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: [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:

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               Action                    Date            FR Cite
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Final Rule..........................   06/12/18  83 FR 27410
Final Rule Effective................   08/13/18  .......................
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    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