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Federal Register/Vol. 85, No. 136/Wednesday, July 15, 2020

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Federal Register/Vol. 85, No. 136/Wednesday, July 15, 2020 Federal Register / Vol. 85, No. 136 / Wednesday, July 15, 2020 / Proposed Rules 42755 (o) Alternative Methods of Compliance COMMODITY FUTURES TRADING trading firms designated as automated (AMOCs) COMMISSION traders (‘‘AT Persons’’); (ii) futures (1) The Manager, Seattle ACO Branch, commission merchants (‘‘FCMs’’); and FAA, has the authority to approve AMOCs 17 CFR Parts 1, 38, 40, and 170 (iii) designated contract markets 1 for this AD, if requested using the procedures RIN 3038–AD52 (‘‘DCMs’’). In response to the found in 14 CFR 39.19. In accordance with Regulation AT NPRM, the Commission 14 CFR 39.19, send your request to your Regulation Automated Trading; received 54 comment letters from principal inspector or local Flight Standards Withdrawal exchanges, industry trade associations, District Office, as appropriate. If sending public interest organizations, and information directly to the manager of the AGENCY: Commodity Futures Trading others. The views expressed in the certification office, send it to the attention of Commission. comment letters included, among other the person identified in paragraph (p)(1) of ACTION: Proposed rule; withdrawal. things, (i) opposition to the proposed this AD. Information may be emailed to: 9- three-level risk control framework; (ii) SUMMARY: On December 17, 2015, the [email protected]. Commodity Futures Trading opposition to identification and (2) Before using any approved AMOC, Commission (‘‘CFTC’’ or the registration of AT Persons; (iii) notify your appropriate principal inspector, ‘‘Commission’’) published a notice of opposition to provisions relating to or lacking a principal inspector, the manager proposed rulemaking, Regulation source code preservation and of the local flight standards district office/ Automated Trading (‘‘Regulation AT accessibility to the Commission without certificate holding district office. NPRM’’). On November 25, 2016, the a subpoena; and (iv) opposition to (3) An AMOC that provides an acceptable Commission issued a supplemental prescriptive, one-sized fits all rules. On level of safety may be used for any repair, notice of proposed rulemaking to June 10, 2016, Commission staff held a modification, or alteration required by this public roundtable to discuss elements of AD if it is approved by The Boeing Company modify certain rules in the Regulation AT NPRM (‘‘Supplemental Regulation the Regulation AT NRPM. In connection Organization Designation Authorization with the roundtable, the Commission (ODA) that has been authorized by the AT NPRM’’). In light of feedback the Commission received in response to the reopened the Regulation AT NPRM Manager, Seattle ACO Branch, FAA, to make comment period and received 19 those findings. To be approved, the repair Regulation AT NPRM and Supplemental Regulation AT NPRM (together, the additional comment letters, all of which method, modification deviation, or alteration also expressed concern with Regulation deviation must meet the certification basis of ‘‘Regulation AT NPRMs’’), the Commission has determined to AT. the airplane, and the approval must On November 25, 2016, following the withdraw the Regulation AT NPRMs specifically refer to this AD. conclusion of the reopened comment and reject certain policy approaches (4) AMOCs approved previously for AD period, the Commission issued the relating to the regulation of automated 2019–02–03 are approved as AMOCs for the Supplemental Regulation AT NPRM.2 trading contained therein. corresponding provisions of paragraph (g) of The Supplemental Regulation AT this AD. DATES: The Commodity Futures Trading NPRM proposed a revised framework Commission is withdrawing proposed (p) Related Information with pre-trade risk controls at two levels rules published on December 17, 2015 (1) For more information about this AD, (instead of the initially proposed three (80 FR 78824) and November 25, 2016 levels) in the life-cycle of an order, contact Tak Kobayashi, Aerospace Engineer, (81 FR 85334) as of July 15, 2020. Propulsion Section, FAA, Seattle ACO including: (1) The AT Person or the ADDRESSES: Comments previously FCM; and (2) the DCM. In addition, the Branch, 2200 South 216th St., Des Moines, submitted in response to the Regulation WA 98198; phone and fax: 206–231–3553; Supplemental Regulation AT NPRM AT NPRMs remain on file at the proposed some modifications to the risk email: [email protected]. Commodity Futures Trading (2) For service information identified in control framework, trading firm Commission, Three Lafayette Centre, registration criteria, reporting this AD, contact Boeing Commercial 1155 21st Street NW, Washington, DC Airplanes, Attention: Contractual & Data requirements, source code provisions, 20581 and may also be accessed via the Services (C&DS), 2600 Westminster Blvd., and compliance options for trading CFTC Comments Portal: https:// MC 110–SK57, Seal Beach, CA 90740–5600; firms that use third-party algorithmic comments.cftc.gov. telephone 562–797–1717; internet https:// trading systems. The Commission www.myboeingfleet.com. You may view this FOR FURTHER INFORMATION CONTACT: received 27 comment letters during the referenced service information at the FAA, Marilee Dahlman, Special Counsel, comment period for the Supplemental Airworthiness Products Section, Operational Division of Market Oversight, Regulation AT NPRM. Commenters Safety Branch, 2200 South 216th St., Des [email protected] or 202–418–5264; asserted, among other things, that (i) the Moines, WA. For information on the Joseph Otchin, Special Counsel, proposed rules were overly prescriptive availability of this material at the FAA, call Division of Market Oversight, jotchin@ and, if the Commission was intent on 206–231–3195. cftc.gov or 202–418–5623; Esen Onur, proceeding with a rulemaking, should be principles-based; (ii) the proposed Issued on July 7, 2020. [email protected] or 202–418–6146, Office of the Chief Economist; in each case at rules could result in redundant or Lance T. Gant, the Commodity Futures Trading overlapping risk controls; and (iii) the Director, Compliance & Airworthiness Commission, Three Lafayette Centre, benefits of the proposed rules were not Division, Aircraft Certification Service. 1155 21st Street NW, Washington, DC commensurate with the costs. [FR Doc. 2020–15127 Filed 7–14–20; 8:45 am] 20581. The Commission had proposed the BILLING CODE 4910–13–P Regulation AT NPRM and Supplemental SUPPLEMENTARY INFORMATION: On Regulation AT NPRM based on certain December 17, 2015, the Commission assumptions about the relative risk issued the Regulation AT NPRM, which proposed pre-trade risk controls at three 1 Regulation Automated Trading, 80 FR 78824 levels in the life-cycle of an order (Dec. 17, 2015). executed on a designated contract 2 Regulation Automated Trading, 81 FR 85334 market (‘‘DCM’’), including: (i) Certain (Nov. 25, 2016). VerDate Sep<11>2014 16:30 Jul 14, 2020 Jkt 250001 PO 00000 Frm 00010 Fmt 4702 Sfmt 4702 E:\FR\FM\15JYP1.SGM 15JYP1 khammond on DSKJM1Z7X2PROD with PROPOSALS 42756 Federal Register / Vol. 85, No. 136 / Wednesday, July 15, 2020 / Proposed Rules associated with automated trading or makes U.S. derivatives markets the envy of markets caused by both human error as well algorithmic trading relative to other the world. What is sound regulation today as malfunctions in automated systems— forms of electronic trading. In addition, may not be sound regulation tomorrow. disruptions that would not have occurred in the Regulation AT NPRMs included I am reminded of the paradoxical open outcry pits. For instance, ‘‘fat finger’’ observation of Giuseppe di Lampedusa in his orders mistakenly entered by people, or fully provisions that would have: prize-winning novel, The Leopard: automated systems inadvertently flooding (1) Required certain types of market If we want things to stay as they are, things matching engines with messages, are two participants, based on their trading will have to change.1 sources of market disruptions unique to functionality, strategies, or market While the novel focuses on the role of the electronic markets. access methods, to register with the aristocracy amid the social turbulence of 19th century Sicily, its central thesis—that Past CFTC Attempts To Address Electronic Commission notwithstanding that they Trading Risks did not hold customer funds or achieving stability in changing times itself requires change—can be applied equally to The CFTC has considered the risks otherwise intermediate futures markets. the regulation of rapidly changing financial (2) Compelled those registrants, associated with electronic trading during markets. much of the last decade. Seven years ago, a including participants not currently Today we are voting on a proposal to different set of Commissioners issued a registered with the Commission, to address the risk of disruptions to the concept release asking for public comment produce source code to the Commission electronic markets operated by futures on what changes should be made to our without a subpoena; and exchanges. The risks involved are significant; regulations in light of the novel issues raised (3) Applied prescriptive requirements disruptions to electronic trading systems can by electronic trading. Out of that concept for the types of risk controls that prevent market participants from executing release, the Commission later proposed exchanges, FCMs, and others would be trades and managing their risk. But how we Regulation AT. For all its faults, Regulation address those risks—and
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