Data / Federal rules / 2023-28745
Operational Resilience Framework for Futures Commission Merchants, Swap Dealers, and Major Swap Participants
The Commodity Futures Trading Commission published this proposed rule in the Federal Register on January 24, 2024. Comments closed on March 2, 2024.
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What the agency says
The Commodity Futures Trading Commission (CFTC or Commission) is proposing to require that futures commission merchants, swap dealers, and major swap participants establish, document, implement, and maintain an Operational Resilience Framework reasonably designed to identify, monitor, manage, and assess risks relating to information and technology security, third-party relationships, and emergencies or other significant disruptions to normal business operations. The framework would include three components--an information and technology security program, a third-party relationship program, and a business continuity and disaster recovery plan--supported by broad requirements relating to governance, training, testing, and recordkeeping. The proposed rule would also require certain notifications to the Commission and customers or counterparties. The Commission is further proposing guidance relating to the management of risks stemming from third-party relationships.
Key facts
- Document number
- 2023-28745
- Type
- Proposed rule
- Action
- Notice of proposed rulemaking
- Agency
- Commodity Futures Trading Commission
- Published
- January 24, 2024
- Comments due
- March 2, 2024
- Dates
- Comments must be received on or before March 2, 2024.
- Regulation ID (RIN)
- 3038-AF23
- Code of Federal Regulations
- 17 CFR 1; 17 CFR 23
- Topics
- Banks, banking; Brokers; Commodity futures; Consumer protection; Reporting and recordkeeping requirements; Swaps
- Significant
- Yes, under Executive Order 12866
- Pages
- 63
Other documents from the Commodity Futures Trading Commission
| Document | Type | Published |
|---|---|---|
| Further Definition of “Swap”-Inclusions 2026-21377 | Proposed rule | Oct 19 |
| Further Definition of “Swap” To Exclude Casino-Style Gambling Products 2026-21376 | Final rule | Oct 19 |
| Regulation Crypto Asset Transactions and Regulation Crypto Asset Markets 2026-20888 | Proposed rule | Oct 13 |
| Privacy Act Regulations 2026-19290 · significant | Proposed rule | Sep 21 |
| Whistleblower Award Determination 2026-19006 | Final rule | Sep 16 |
| Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps To Account for CAD and MXN Interest Rate Benchmark Transitions 2026-18212 | Final rule | Sep 8 |
| Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date 2026-18104 | Final rule | Sep 3 |
| Swap Execution Facility Order Book Requirement for Permitted Transactions 2026-17416 | Proposed rule | Aug 26 |
Everything from the Commodity Futures Trading Commission · Rules on banks, banking · Rules on brokers · Rules on commodity futures · Published in January 2024
Read from the Federal Register API, last updated 2026-10-23. The document on federalregister.gov is the official record; dates and dockets can change through later corrections. Free to reuse with credit to SpecStream under CC BY 4.0.