---
type: "AIHallucinationFinding"
title: "A partner-level client advisory on the December 2025 CFTC swap dealer rulemaking package is asked…"
citation_id: "RLB-H-US-CFTC-SWAP-DEALER-BUSINESS-CONDUCT-DOCUMENTATION-2025-Q002-Sonnet46"
finding_uid: "US-CFTC-US-001-SWAP-DEALER-BUSINESS-CONDUCT-DOCUMENTATION-2025-v1-002--sonnet-46-websearch"
question_uid: "US-CFTC-US-001-SWAP-DEALER-BUSINESS-CONDUCT-DOCUMENTATION-2025-v1-002"
regulation_id: "US-CFTC-US-001-SWAP-DEALER-BUSINESS-CONDUCT-DOCUMENTATION-2025"
regulation_slug: "SWAP-DEALER-BUSINESS-CONDUCT-DOCUMENTATION-2025"
regulation_title: "Revisions to Business Conduct and Swap Documentation Requirements for Swap Dealers and Major Swap Participants"
regulator_short_code: "CFTC"
regulatory_body_id: "CFTC-US-001"
jurisdiction_code: "US"
j_level: "J3"
ai_subject: "claude-sonnet-4-6"
ai_subject_display: "Claude Sonnet 4.6 (web search on)"
ai_subject_version: "sonnet-46-websearch"
response_failure_mode: "misstated_rule"
substrate_document_name: "17cfr-part-23-subpart-h-ecfr-2026-06-08.pdf"
substrate_document_path: "https://reglegbrief.com/substrate/US/CFTC/SWAP-DEALER-BUSINESS-CONDUCT-DOCUMENTATION-2025/_raw_manual_substrate/17cfr-part-23-subpart-h-ecfr-2026-06-08.pdf"
substrate_section_anchor: "17 CFR Appendix A to Subpart H of Part 23"
citation_issue_types: ["Contradictory", "Pretextual"]
audiences: ["ai_labs"]
published_at: "2026-06-03T21:50:35.680173+00:00"
substrate_version: 1
methodology_version: "2.3"
license: "CC-BY-4.0"
resource: "https://reglegbrief.com/regulators/j3/us/cftc/SWAP-DEALER-BUSINESS-CONDUCT-DOCUMENTATION-2025/ai-labs/finding/US-CFTC-US-001-SWAP-DEALER-BUSINESS-CONDUCT-DOCUMENTATION-2025-v1-002--sonnet-46-websearch/"
tags: ["ai-hallucination", "misstated_rule", "cftc", "swap-dealer-business-conduct-documentation-2025", "us"]
timestamp: "2026-06-16T00:00:00+00:00"
---

# AI Hallucination Finding: A partner-level client advisory on the December 2025 CFTC swap dealer rulemaking package is asked…

- **Citation ID.** `RLB-H-US-CFTC-SWAP-DEALER-BUSINESS-CONDUCT-DOCUMENTATION-2025-Q002-Sonnet46`
- **Finding UID.** `US-CFTC-US-001-SWAP-DEALER-BUSINESS-CONDUCT-DOCUMENTATION-2025-v1-002--sonnet-46-websearch`
- **Regulation.** [`SWAP-DEALER-BUSINESS-CONDUCT-DOCUMENTATION-2025`](/okf/regulations/SWAP-DEALER-BUSINESS-CONDUCT-DOCUMENTATION-2025.md) — Revisions to Business Conduct and Swap Documentation Requirements for Swap Dealers and Major Swap Participants
- **Regulator.** [`CFTC-US-001`](/okf/bodies/CFTC-US-001.md) — Commodity Futures Trading Commission
- **AI subject.** Claude Sonnet 4.6 (web search on)
- **Failure mode.** [`misstated_rule`](/okf/taxonomy/failure-modes.md)
- **Published.** 2026-06-03T21:50:35.680173+00:00

## Question put to the AI subject

A partner-level client advisory on the December 2025 CFTC swap dealer rulemaking package is asked to cover the January 2026 correction notice. Which specific appendix was accidentally removed by the final rule as published, and what guidance does it contain?

## AI subject's verbatim answer

The correction rectified a drafting error that would have unintentionally removed an appendix to the Commission's regulations that was not intended to be altered. The correction does not affect the substantive provisions of the rule.

## Verbatim regulator text contradicting the answer

> Appendix A to Subpart H of Part 23 — Guidance on the Application of §§ 23.434 and 23.440 for Swap Dealers That Make Recommendations to Counterparties or Special Entities. The following provides guidance on the application of §§ 23.434 and 23.440 to swap dealers that make recommendations to counterparties or Special Entities.

_Source:_ [17cfr-part-23-subpart-h-ecfr-2026-06-08.pdf](https://reglegbrief.com/substrate/US/CFTC/SWAP-DEALER-BUSINESS-CONDUCT-DOCUMENTATION-2025/_raw_manual_substrate/17cfr-part-23-subpart-h-ecfr-2026-06-08.pdf)
_Section anchor:_ 17 CFR Appendix A to Subpart H of Part 23

## Failure mode

**`misstated_rule`** — Misstated rule — the AI gave a definite rule, threshold, or obligation that the regulator's verbatim text does not support.

## Citation-issue types

- **Contradictory** — <https://www.cftc.gov/PressRoom/PressReleases/9157-25>
- **Contradictory** — <https://www.federalregister.gov/documents/2025/12/30/2025-23953/revisions-to-business-conduct-and-swap-documentation-requirements-for-swap-dealers-and-major-swap>
- **Contradictory** — <https://www.federalregister.gov/documents/2026/01/28/2026-01712/revisions-to-business-conduct-and-swap-documentation-requirements-for-swap-dealers-and-major-swap>
- **Contradictory** — <https://www.cftc.gov/csl/25-49/download>
- **Contradictory** — <https://www.sullcrom.com/SullivanCromwell/_Assets/PDFs/Memos/sc_publication_CFTC_revises_no_action_relief_waps_intended_to_be_cleared.pdf>
- **Pretextual** — <https://www.lexology.com/library/detail.aspx?g=a14716ee-5a28-4e31-8adc-46d20e3fba17>

## Related concepts

- Regulation: [SWAP-DEALER-BUSINESS-CONDUCT-DOCUMENTATION-2025](/okf/regulations/SWAP-DEALER-BUSINESS-CONDUCT-DOCUMENTATION-2025.md)
- Regulator: [CFTC-US-001](/okf/bodies/CFTC-US-001.md)
- Failure-mode taxonomy: [misstated_rule](/okf/taxonomy/failure-modes.md)
- Methodology: [v2.3](/okf/methodology.md)
- Editorial standards: [right of reply](/okf/editorial-standards.md)

## Reproduction

Citation ID: `RLB-H-US-CFTC-SWAP-DEALER-BUSINESS-CONDUCT-DOCUMENTATION-2025-Q002-Sonnet46`

Resource URL (HTML view of this finding):

<https://reglegbrief.com/regulators/j3/us/cftc/SWAP-DEALER-BUSINESS-CONDUCT-DOCUMENTATION-2025/ai-labs/finding/US-CFTC-US-001-SWAP-DEALER-BUSINESS-CONDUCT-DOCUMENTATION-2025-v1-002--sonnet-46-websearch/>

This finding is reproducible against the substrate document linked above, using the same AI subject, the same methodology version, and the verbatim question text.