United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2016_register executive 2016-11-23 article Part II Proposed Rules D09002ee1c7f328ac D09002ee1c7f3299b United States Commodity Futures Trading Commission originator org United States Government Agency or Subagency On December 17, 2015, the Commodity Futures Trading Commission ("CFTC" or "Commission") published in the Federal Register a notice of proposed rulemaking ("NPRM") proposing a series of risk controls, transparency measures, and other safeguards to enhance the safety and soundness of automated trading on all designated contract markets ("DCMs") (collectively, "Regulation Automated Trading" or "Regulation AT"). Through this supplemental notice of proposed rulemaking for Regulation AT ("Supplemental NPRM"), the Commission is proposing to modify certain rules set forth in the NPRM. Any new or amended rules proposed in this Supplemental NPRM reflect only those areas where the Commission believes that additional notice and comment may be appropriate before enacting final rules. Procedurally, this Supplemental NPRM is not a replacement or withdrawal of rules proposed in the NPRM. Unless specifically amended herein, all regulatory text proposed in the NPRM remains under active consideration for adoption as final rules. The Commission welcomes public comment on all aspects of the Supplemental NPRM. 81 FR 85334 https://www.govinfo.gov/app/details/FR-2016-11-25/2016-27250 2016-27250 fr25no16-34 RIN 3038-AD52 6351-01-P https://www.govinfo.gov/app/details/FR-2016-11-25/2016-27250 https://www.govinfo.gov/content/pkg/FR-2016-11-25/html/2016-27250.htm https://www.govinfo.gov/content/pkg/FR-2016-11-25/pdf/2016-27250.pdf Commodity Futures Commodity Pool Operators Commodity Trading Advisors Definitions Designated Contract Markets Floor Brokers Futures Commission Merchants Introducing Brokers Major Swap Participants Reporting and Recordkeeping Requirements Swap Dealers 66 p. 85334 85399 81 FR 85334 Title 17 Part 170 17 CFR Part 170 Title 17 Part 1 17 CFR Part 1 Title 17 Part 38 17 CFR Part 38 Title 17 Part 40 17 CFR Part 40 RIN 3038-AD52 Regulation Automated Trading; Federal Register Vol. 81, Issue PRORULE 2016-27250 II COMMODITY FUTURES TRADING COMMISSION 2017-01-24 6351-01-P 2016-27250 Supplemental notice of proposed rulemaking.

On December 17, 2015, the Commodity Futures Trading Commission ("CFTC" or "Commission") published in the Federal Register a notice of proposed rulemaking ("NPRM") proposing a series of risk controls, transparency measures, and other safeguards to enhance the safety and soundness of automated trading on all designated contract markets ("DCMs") (collectively, "Regulation Automated Trading" or "Regulation AT"). Through this supplemental notice of proposed rulemaking for Regulation AT ("Supplemental NPRM"), the Commission is proposing to modify certain rules set forth in the NPRM. Any new or amended rules proposed in this Supplemental NPRM reflect only those areas where the Commission believes that additional notice and comment may be appropriate before enacting final rules. Procedurally, this Supplemental NPRM is not a replacement or withdrawal of rules proposed in the NPRM. Unless specifically amended herein, all regulatory text proposed in the NPRM remains under active consideration for adoption as final rules. The Commission welcomes public comment on all aspects of the Supplemental NPRM.

Comments must be received on or before January 24, 2017. Sebastian Pujol Schott, Associate Director, Division of Market Oversight, sps@cftc.gov or 202-418-5641; Marilee Dahlman, Special Counsel, Division of Market Oversight, mdahlman@cftc.gov or 202-418-5264; Joseph Otchin, Special Counsel, Division of Market Oversight, jotchin@cftc.gov or 202-418-5623; Andrew Ridenour, Special Counsel, Division of Market Oversight, aridenour@cftc.gov or 202-418-5438; Brian Robinson, Special Counsel, Division of Market Oversight, brobinson@CFTC.gov or 202-418-5385; Michael Penick, Economist, Office of the Chief Economist, mpenick@cftc.gov or 202-418-5279; Richard Haynes, Economist, Office of the Chief Economist, rhaynes@cftc.gov or 202-418-5063; Carlin Metzger, Trial Attorney, Division of Enforcement, cmetzger@cftc.gov or 312-596- 0536; or John Dunfee, Assistant General Counsel, Office of General Counsel, jdunfee@cftc.gov or 202-418-5396. Commodity Futures Commodity Pool Operators Commodity Trading Advisors Definitions Designated Contract Markets Floor Brokers Futures Commission Merchants Introducing Brokers Major Swap Participants Reporting and Recordkeeping Requirements Swap Dealers Regulation Automated Trading , aridenour@cftc.gov brobinson@CFTC.gov cmetzger@cftc.gov jdunfee@cftc.gov jotchin@cftc.gov mdahlman@cftc.gov mpenick@cftc.gov rhaynes@cftc.gov sps@cftc.gov CFTC.gov http://comments.cftc.gov http://mobile.reuters.com/article/idUSKCN0XB27K http://modernmarketsinitiative.org/wp-content/uploads/2016/08/16.08.10-Automated-Trading-Letter-to-SEC.pdf http://modernmarketsinitiative.org/wp-content/uploads/2016/08/20160802-ESG-RN-Letter-to-CFTC-re-Reg-AT2.pdf http://t.reuters.com/article/topNews/idUSKCN0YP281 http://thediplomat.com/2015/11/us-china-talk-intellectual-property-market-access-at-trade-dialogue/ http://thehill.com/policy/cybersecurity/279752-criminal-investigation-open-in-fdic-data-breach http://www.bbc.com/news/technology-37798762 http://www.businessinsider.com/bart-chilton-government-cant-be-trusted-to-collect-source-code-2016-11 http://www.cftc.gov http://www.cftc.gov/idc/groups/public/@newsroom/documents/file/transcript061016.pdf http://www.cftc.gov/PressRoom/Events/opaevent_cftcstaff061016 http://www.cftc.gov/PressRoom/SpeechesTestimony/giancarlostatement061016 http://www.cftc.gov/PressRoom/SpeechesTestimony/opagiancarlo-11 http://www.cftc.gov/PressRoom/SpeechesTestimony/opagiancarlo-17 http://www.cmegroup.com/confluence/display/EPICSANDBOX/Mass+Quotes http://www.healthcareitnews.com/blog/oig-finds-opm-still-struggling-security http://www.housingwire.com/articles/38402-occ-reveals-major-information-security-breach-involving-former-employee http://www.regulations.gov http://www.wsj.com/articles/china-banking-regulator-considering-source-code-rules-1423805889 https://www.ft.com/content/137f81bc-944f-11e5-b190-291e94b77c8f https://www.sec.gov/divisions/marketreg/faq-15c-5-risk-management-controls-bd.htm Vol. 81, no. 227 Office of the Federal Register, National Archives and Records Administration 2016-11-25 continuing daily deposited born digital 306 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2016-11-25 P0b002ee192a26a7d 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr25no16 https://www.govinfo.gov/app/details/FR-2016-11-25 https://www.govinfo.gov/content/pkg/FR-2016-11-25/pdf/FR-2016-11-25.pdf https://www.govinfo.gov/content/pkg/FR-2016-11-25/xml/FR-2016-11-25.xml fdlp 85105 85399 DGPO 2016-11-23 2024-06-01 FR-2016-11-25 machine generated eng FR FR-2016-11-25 81 227