dockets: CFTC-2026-1686

Regulatory dockets from Regulations.gov — containers for related documents and comments in a rulemaking proceeding.

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id agency_id title docket_type last_modified object_id rin dkabstract category subtype keywords program short_title effective_date organization attrs_raw attr_source
CFTC-2026-1686 CFTC Conflicts and Affiliations Rulemaking 2026-09-25T15:43:54Z 0b000064b9407ab7 3038-AF76 The Commodity Futures Trading Commission (“CFTC” or “Commission”) is proposing new rules and amendments to its existing regulations for futures commission merchants (“FCMs”), swap execution facilities (“SEFs”), designated contract markets (“DCMs”), and derivatives clearing organizations (“DCOs”) (the “Proposal”). The Proposal addresses requirements relating to financial oversight of FCMs by self-regulatory organizations (“SROs”) and designated self-regulatory organizations (“DSROs”), as well as disclosure requirements by FCMs regarding affiliate relationships that an FCM has with a SEF, DCM, or DCO. For SEFs, DCMs, and DCOs, the Proposal would also establish requirements, including conflicts of interest rules, to address those registered entities' relationships with certain affiliates, such as FCM affiliates and affiliated principal trading firms. The Proposal includes guidance regarding the implementation of safeguards to protect the impartiality of SEFs, DCMs, and DCOs, including where applicable in their role as SROs or performing SRO functions with respect to certain affiliates. The guidance addresses the sharing of resources including staffing, technology, and office space, and limitations on the sharing of non-public information.               {"displayProperties": [], "keywords": null, "modifyDate": "2026-09-25T15:43:54Z", "dkAbstract": "The Commodity Futures Trading Commission (\u201cCFTC\u201d or \u201cCommission\u201d) is proposing new rules and amendments to its existing regulations for futures commission merchants (\u201cFCMs\u201d), swap execution facilities (\u201cSEFs\u201d), designated contract markets (\u201cDCMs\u201d), and derivatives clearing organizations (\u201cDCOs\u201d) (the \u201cProposal\u201d). The Proposal addresses requirements relating to financial oversight of FCMs by self-regulatory organizations (\u201cSROs\u201d) and designated self-regulatory organizations (\u201cDSROs\u201d), as well as disclosure requirements by FCMs regarding affiliate relationships that an FCM has with a SEF, DCM, or DCO. For SEFs, DCMs, and DCOs, the Proposal would also establish requirements, including conflicts of interest rules, to address those registered entities' relationships with certain affiliates, such as FCM affiliates and affiliated principal trading firms. The Proposal includes guidance regarding the implementation of safeguards to protect the impartiality of SEFs, DCMs, and DCOs, including where applicable in their role as SROs or performing SRO functions with respect to certain affiliates. The guidance addresses the sharing of resources including staffing, technology, and office space, and limitations on the sharing of non-public information.", "agencyId": "CFTC", "program": null, "shortTitle": null, "subType2": null, "title": "Conflicts and Affiliations", "generic": null, "field1": null, "docketType": "Rulemaking", "petitionNbr": null, "rin": "3038-AF76", "organization": null, "legacyId": null, "subType": null, "category": null, "field2": null, "effectiveDate": null, "objectId": "0b000064b9407ab7"} single_get

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