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format and for recordkeepers to enter into an 25/pdf/2017-01287.pdf. Federal Register, Vol.
arrangement with a third-party technical 82, No. 15, 01/25/2017, 8369-8391.
consultant with respect to electronically stored
information. Comments are due 03/20/2017. The CFTC Requests Comment on Rules Relating to
proposed rule may be viewed at: the Operations and Activities of Commodity
https://www.gpo.gov/fdsys/pkg/FR-2017-01- Pool Operators and Commodity Trading
19/pdf/2017-01148.pdf. Federal Register, Vol. Advisors and to Monthly Reporting by Futures
82, No. 12, 01/19/2017, 6356-6367. Commission Merchants.
CFTC Issues Proposed Rule on Registration and CFTC has issued a notice to announce it seeks
Review of Exchange Disciplinary, Access comment on the information collection titled
Denial or Other Adverse Actions. Rules Relating to the Operations and Activities
of Commodity Pool Operators and Commodity
CFTC is proposing technical amendments to its Trading Advisors and to Monthly Reporting by
regulations that govern registration and review Futures Commission Merchants. CFTC is also
of exchange disciplinary, access denial or other giving notice that it has sent the collection to
adverse actions. The proposed rule integrates OMB for review. Comments are due
existing advisory guidance and the amendments 02/27/2017. The notice may be viewed at:
to part 9 would also incorporate swap execution https://www.gpo.gov/fdsys/pkg/FR-2017-01-
facilities (SEFs) and update provisions currently 26/pdf/2017-01706.pdf. Federal Register, Vol.
applicable to designated contract markets 82, No. 16, 01/26/2017, 8514.
(DCMs). The proposed rule revises existing
rules to delete numerous cross-references to SEC Finalizes Rule Adjusting Civil Monetary
previously deleted regulations and adds citations Penalties.
to applicable parallel provisions for SEFs and
DCMs. Additionally, the proposed rule The Securities and Exchange Commission
addresses the publication of final disciplinary (SEC) has adopted a final rule to adjust the
and access denial actions taken by the SEFs and maximum amount of civil monetary penalties
DCMs on their exchange Web sites. Comments for inflation. This adjustment will apply to all
are due 03/24/2017. The proposed rule may be penalties imposed after the effective date of this
viewed at: https://www.gpo.gov/fdsys/pkg/FR- final rule for violations that occur after
2017-01-23/pdf/2017-01232.pdf. Federal 11/02/2015. For violations that occurred on or
Register, Vol. 82, No. 13, 01/23/2017, 7738- before 11/02/2015, SEC is reinstating the
7751. penalty amounts in its prior penalty adjustments.
The final rule is effective 01/18/2017. The final
CFTC Issues Notice of Proposed Rulemaking on rule may be viewed at:
Amendments to Swap Data Access Provisions. https://www.gpo.gov/fdsys/pkg/FR-2017-01-
18/pdf/2017-00421.pdf. Federal Register, Vol.
CFTC has proposed amendments to its 82, No. 11, 01/18/2017, 5367-5373.
regulations relating to access to swap data held
by Swap Data Repositories. The proposed SEC Finalizes Rule Updating EDGAR Filer
amendments would implement pertinent Manual.
provisions of the FAST Act and make associated
changes to CFTC’s regulations governing the SEC has issued a final rule adopting revisions to
grant of access to swap data to certain foreign the Electronic Data Gathering, Analysis, and
and domestic authorities by Swap Data Retrieval System (EDGAR) Filer Manual and
Repositories and to certain other regulations related rules to reflect updates to the EDGAR
unrelated to such access. Comments are due system. The updates are being made primarily to
03/27/2017. The proposed rule may be viewed support an upgrade to the passphrase
at: https://www.gpo.gov/fdsys/pkg/FR-2017-01- authentication process; and update the
recommended Internet browser language for all
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