Publication
Date | Proposed Rule Details |
| 7/10/2020 | 85 FR 41463// PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Comment File - Closing Date: 09/08/2020
See also: 84 FR 56950, 10/24/2019 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
85 FR 19878, 4/9/2020 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
85 FR 41346, 7/10/2020 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Rulemaking: Capital & Margin |
5/12/2020 | 85 FR 27955 // PDF Version
17 CFR Part 50
Swap Clearing Requirement Exemptions
Comment File – Closing Date: 7/13/2020 See also: 83 FR 44001, 8/29/2018 // PDF Version
17 CFR Part 50
Amendments to Clearing Exemption for Swaps Entered Into by Certain Bank Holding Companies, Savings and Loan Holding Companies, and Community Development Financial Institutions Rulemaking: Exceptions and Exemptions |
5/4/2020 | 85 FR 26378 // PDF Version
17 CFR Part 4
Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR
Comment File – Closing Date: 6/15/2020
Rulemaking: Investment Adviser Reporting |
04/17/2020 | 85 FR 21516 // PDF Version
17 CFR Part 43
Amendments to the Real-Time Public Reporting Requirements
Comment File – Closing Date: 5/20/2020
Extended Date: 5/22/2020 See also: 85 FR 22690, 4/23/2020 // PDF Version
17 CFR Chapter I Extension of Currently Open Comment Periods for Rulemakings in Response to the COVID-19 Pandemic 85 FR 75422, 11/25/2020 // PDF Version
17 CFR Part 43 Real-Time Public Reporting Requirements Rulemaking: Real-Time Reporting |
04/17/2020 | 85 FR 21578 // PDF Version
17 CFR Parts 45, 46, and 49
Amendments to the Swap Data Recordkeeping and Reporting Requirements
Comment File – Closing Date: 5/20/2020
Extended Date: 5/22/2020 See also: 84 FR 21044, 5/13/2019 // PDF Version
17 CFR Parts 23, 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements 84 FR 35847, 7/25/2019 // PDF Version
17 CFR Parts 23, 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements; Extension of Comment Period 84 FR 57831, 10/29/2019 // PDF Version
17 CFR Parts 23, 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements 85 FR 22690, 4/23/2020 // PDF Version
17 CFR Chapter I Extension of Currently Open Comment Periods for Rulemakings in Response to the COVID-19 Pandemic 85 FR 21339, 4/17/2020 // PDF Version
17 CFR Parts 23, 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements Rulemaking: Data Recordkeeping |
04/17/2020 | 85 FR 21339 // PDF Version
17 CFR Parts 23, 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements See also: 84 FR 21044, 5/13/2019 // PDF Version
17 CFR Parts 23, 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements 84 FR 35847, 7/25/2019 // PDF Version
17 CFR Parts 23, 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements; Extension of Comment Period 84 FR 57831, 10/29/2019 // PDF Version
17 CFR Parts 23, 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements 85 FR XXXX, 2/20/2020 // PDF Version
17 CFR Parts 23, 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements Rulemaking: Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation & Guidance |
2/27/2020 | 85 FR 11596 // PDF Version
17 CFR Parts 1, 15, 17, 19, 40, 140, 150 and 151
Position Limits for Derivatives
Comment File – Closing Date:4/29/2020
Regarding Rulemaking: Position Limits for Derivatives and Aggregation of Positions |
02/19/2020 | 85 FR 9407 // PDF Version
17 CFR Parts 36, 37, and 43
Swap Execution Facility Requirements and Real-Time Reporting Requirements
Comment File – Closing Date 4/20/2020
Regarding Rulemaking: SEF Registration Requirements and Core Principle Rulemaking, Interpretation & Guidance |
1/8/2020 | 85 FR 952 // PDF Version
17 CFR Part 23
Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants; Proposed Rule
Comment File – Closing Date:3/9/2020
Regarding Rulemakings: Cross-Border Application of Swaps Provisions |
12/31/2019 | 84 FR 72262 // PDF Version
17 CFR Chapter I
Post-Trade Name Give-Up on Swap Execution Facilities
Comment File - Closing Date: 3/2/2020
See also:
83 FR 61571 , 11/30/2018 // PDF Version
17 CFR Chapter I
Post-Trade Name Give-Up on Swap Execution Facilities 84 FR 3350 , 2/12/2019 // PDF Version
17 CFR Chapter I
Post-Trade Name Give-Up on Swap Execution Facilities Regarding Rulemakings: SEF Registration Requirements and Core Principle Rulemaking, Interpretation & Guidance |
12/23/2019 | 84 FR 70446 // PDF Version
17 CFR Part 50
Exemption From the Swap Clearing Requirement for Certain Affiliated Entities--Alternative Compliance Frameworks for Anti-Evasionary Measures
Comment File - Closing Date: 2/21/2020
Regarding Rulemaking : Exceptions and Exemptions |
12/19/2019 | 84 FR 69446 // PDF Version
17 CFR Parts 1, 23, and 140
Capital Requirements of Swap Dealers and Major Swap Participants
Comment File – Closing Date: 3/3/2020 Regarding Rulemakings: Exceptions and Exemptions and
Capital & Margin |
10/24/2019 | 84 FR 56950 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Comment File - Closing Date: 12/23/2019 Regarding Rulemakings: Capital & Margin |
10/22/2019 | 84 FR 56392 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Comment File – Closing Date: 12/23/2019 Regarding Rulemakings: Capital & Margin |
7/19/2019 | 84 FR 34819 // PDF Version
17 CFR Parts 39 and 140
Registration With Alternative Compliance for Non-U.S. Derivatives Clearing Organizations
Comment File – Closing Date: 9/17/2019 Regarding Rulemakings: DCOs |
5/16/2019 | 84 FR 22226 // PDF Version
17 CFR Parts 1, 39, and 140
Derivatives Clearing Organization General Provisions and Core Principle
Comment File – Closing Date: 7/15/2019 |
05/13/2019 | 84 FR 21044 // PDF Version
17 CFR Parts 23, 43, 45, and 49
Proposed Amendments to the Commission’s Regulations Relating to Certain Swap Data Repository and Data Reporting Requirement
Comment File – Closing Date: 07/29/2019 |
02/12/2019 | 84 FR 3350 // PDF Version
17 CFR Parts 9, 36, 37, 38, 39, and 43
Swap Execution Facilities and Trade Execution Requirement
Extension of comment period
Comment File – Closing Date: 03/15/2019
See also:
83 FR 61946 ,11/30/18 // PDF Version
17 CFR Parts 9, 36, 37, 38, 39, and 43
Swap Execution Facilities and Trade Execution Requirement Regarding Rulemakings: Process for Designated Contract Market and Swap Execution Facility to Make a Swap Available to Trade SEF Registration Requirements and Core Principle Rulemaking, Interpretation & Guidance |
9/11/2018 | 83 FR 45860 // PDF Version
DEPARTMENT OF TREASURY Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0010] RIN 1557-AE27; FEDERAL RESERVE SYSTEM 12 CFR Part 248 [Docket No. R-1608] RIN 7100-AF 06; FEDERAL DEPOSIT INSURANCE CORPORATION 12 CFR Part 351 RIN 3064-AE67; COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 75 RIN 3038-AE72; SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 255 [Release no. BHCA-3; File no. S7-14-18] RIN 3235-AM10 Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Comment File - Closing Date: 10/17/2018 Regarding Rulemaking: Volcker Rule See also: 83 FR 33432 , 7/17/2018 // PDF Version
Department of Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0010] RIN 1557-AE27; Federal Reserve System 12 CFR Part 248 [Docket No. R-1608] RIN 7100-AF 06; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AE67; Securities and Exchange Commission 17 CFR Part 255 [Release no. BHCA-3; File no. S7-14-18] RIN 3235-AM10; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE72 Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds |
8/29/2018 | 83 FR 44001 // PDF Version
17 CFR Part 50
Amendments to Clearing Exemption for Swaps Entered Into by Certain Bank Holding Companies, Savings and Loan Holding Companies, and Community Development Financial Institutions
Comment File – Closing Date: 10/29/2018 |
7/17/2018 | 83 FR 33432 // PDF Version
Department of Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0010] RIN 1557-AE27; Federal Reserve System 12 CFR Part 248 [Docket No. R-1608] RIN 7100-AF 06; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AE67; Securities and Exchange Commission 17 CFR Part 255 [Release no. BHCA-3; File no. S7-14-18] RIN 3235-AM10; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE72 Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Comment File - Closing Date: 07/17/2018 Regarding Rulemaking: Volcker Rule See also: Draft Instructions for Preparing and Submitting Quantitative Measurement Information (PDF)
Draft Technical Specifications Guidance (PDF) |
6/12/2018 | 83 FR 27444 // PDF Version
17 CFR Part 1
De Minimis Exception to the Swap Dealer Definition
Comment File - Closing Date: 8/13/2018 Regarding Rulemaking: Further definition of Swap Dealer, Major Swap Participant, Security-Based Swap Dealer, and Major Security-Based Swap Participant |
5/23/2018 | 83 FR 23842 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants |
5/8/2017 | 82 FR 21330 // PDF Version
17 CFR Part 3
Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments
Comment File - Closing Date: 5/8/2017 Regarding Rulemaking: Internal Business Conduct Standards |
3/16/2017 | 82 FR 13971 // PDF Version
17 CFR Parts 1, 23, and 40
Capital Requirements of Swap Dealers and Major Swap Participants
Comment File - Closing Date: 3/16/2017 Regarding Rulemaking: Capital & Margin for Non-banks |
1/25/2017 | 82 FR 8369 // PDF Version
17 CFR Part 49
Proposed Amendments To Swap Data Access Provisions and Certain Other Matters
Comment File - Closing Date: 3/27/2017 Regarding Rulemaking: Conforming Amendments |
1/23/2017 | 82 FR 7738 // PDF Version
17 CFR Parts 3 and 9
Technical Amendments to Rules on Registration and Review of Exchange Disciplinary, Access Denial or Other Adverse Actions
Comment File - Closing Date: 3/24/2017 Regarding Rulemaking: Conforming Amendments |
1/19/2017 | 82 FR 6356 // PDF Version
17 CFR Parts 1 and 23
Recordkeeping
Comment File - Closing Date: 3/20/2017 Regarding Rulemaking: Conforming Amendments |
12/16/2016 | 81 FR 91252 // PDF Version
17 CFR Parts 1, 23, and 140
Capital Requirements of Swap Dealers and Major Swap Participants
Comment File - Closing Date: 2/28/2017 Regarding Rulemaking: Capital & Margin for Non-banks |
12/16/2016 | 81 FR 96704 // PDF Version
17 CFR Parts 1, 15, 17, 19, 37, 38, 140, 150 and 151
Position Limits for Derivatives
Comment File - Closing Date: 2/28/2017 |
10/18/2016
| 81 FR 71946 // PDF Version
17 CFR Parts 1 and 23
Cross-Border Application of the Registration Thresholds and External Business Conduct Standards Applicable to Swap Dealers and Major Swap Participants
Comment File - Closing Date: 12/19/2016 |
6/16/2016 | 81 FR 39506 // PDF Version
17 CFR Part 50
Clearing Requirement Determination Under Section 2(h) of the CEA for Interest Rate Swaps
Comment File - Closing Date: 7/18/2016 |
6/13/2016 | 81 FR 38458 // PDF Version
17 CFR Parts 37, 38, 150
Position Limits for Derivatives: Certain Exemptions and Guidance
Comment File - Closing Date: 7/13/2016 |
9/29/2015 | 80 FR 58365 // PDF Version
17 CFR Part 150
Aggregation of Positions
Comment File - Closing Date: 11/13/2015 |
8/31/2015 | 80 FR 52544 // PDF Version
17 CFR Part 45
Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps
Comment File - Closing Date: 10/30/2015 Regarding Rulemaking: Data Recordkeeping & Reporting Requirements |
7/14/2015 | 80 FR 41376 // PDF Version
17 CFR Parts 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements Comment File - Closing Date: 9/14/2015 |
3/28/2015 | 80 FR 10022 // PDF Version
17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150
Position Limits for Derivatives and Aggregation of Positions
Comment File - Closing Date: 3/28/2015 |
1/5/2015 | 80 FR 200 // PDF Version
17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150
Position Limits for Derivatives and Aggregation of Positions
Comment File - Closing Date: 1/22/2015 |
12/4/2014 | 79 FR 71973 // PDF Version
17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150
Position Limits for Derivatives and Aggregation of Positions
Comment File – Closing Date: 01/22/2015 |
10/3/2014 | 79 FR 59898 // PDF Version
17 CFR Parts 23 and 140
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Comment File - Closing Date: 12/2/2014 |
12/12/2013 | 78 FR 75680 // PDF Version
17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150
Position Limits for Derivatives
Comment File - Closing Date: 02/10/2014 |
11/15/2013 | 78 FR 68946 // PDF Version
17 CFR Part 150
Aggregation of Positions
Comment File - Closing Date: 1/14/2014 |
8/16/2013 | 78 FR 50260 // PDF Version
17 CFR Parts 39, 140, and 190
Derivatives Clearing Organizations and International Standards
Comment File - Closing Date: 9/16/2013 |
4/8/2013 | 78 FR 20848 // PDF Version
17 CFR Part 23
Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees
Comment File - Closing Date: 6/7/2013 |
1/7/2013 | 78 FR 909 // PDF Version
17 CFR Chapter I
Further Proposed Guidance Regarding Compliance With Certain Swap Regulations
Comment File - Closing Date: 2/2/2013 |
1/2/2013 | 78 FR 17 // PDF Version
17 CFR Part 23
Business Conduct and Documentation Requirements for Swap Dealers and Major Swap Participants; Extension of Compliance Date
Comment File - Closing Date: 2/1/2013 |
8/21/2012 | 77 FR 50425 // PDF Version
17 CFR Part 39
Clearing Exemption for Swaps Between Certain Affiliated Entities
Comment File - Closing Date: 9/20/2012 |
8/7/2012 | 77 FR 47169 // PDF Version
17 CFR Part 50
Clearing Requirement Determination Under Section 2(h) of the CEA
Comment File - Closing Date: 9/6/2012 Regarding Rulemaking: Clearing Requirement |
7/17/2012 | 77 FR 41940 // PDF Version
17 CFR Part 39
Clearing Exemption for Certain Swaps Entered Into by Cooperatives
Comment File - Closing Date: 8/16/2012 Regarding Rulemakings: End-user Exception
Clearing Requirement |
7/12/2012 | 77 FR 41213 // PDF Version
17 CFR Chapter I
Cross-Border Application of Certain Swaps Provisions of the Commodity Exchange Act
Comment File - Closing Date: 8/27/2012 |
6/27/2012 | 77 FR 38229 // PDF Version
17 CFR Part 43
Rules Prohibiting the Aggregation of Orders To Satisfy Minimum Block Sizes or Cap Size Requirements, and Establishing Eligibility Requirements for Parties to Block Trades
Comment File - Closing Date: 7/27/2012 Regarding Rulemaking: Real-Time Reporting |
6/15/2012 | 77 FR 35892 // PDF Version
17 CFR Parts 3 and 23
Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants
Comment File - Closing Date: 8/14/2012 |
5/30/2012 | 77 FR 31767 // PDF Version
17 CFR Part 151
Aggregation, Position Limits for Futures and Swaps
Comment File - Closing Date: 6/29/2012 Regarding Rulemaking: XXVI Position Limits, including Bona Fide Hedging Definition & Aggregate Limits |
5/7/2012 | 77 FR 26709 // PDF Version
17 CFR Part 49
Swap Data Repositories: Interpretative Statement Regarding the Confidentiality and Indemnification Provisions of Section 21(d) of the Commodity Exchange Act
Comment File - Closing Date: 6/6/2012 Regarding Rulemaking: XVI. Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation & Guidance |
3/15/2012 | 77 FR 15460 // PDF Version
17 CFR Part 43
Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades
Comment File - Closing Date: 5/14/2012 Regarding Rulemaking: XVIII. Real Time Reporting |
3/6/2012 | 77 FR 13450 // PDF Version
CFTC 17 CFR Part 162 and SEC 17 CFR Part 248
Identity Theft Red Flags Rules
Comment File - Closing Date: 5/7/2012 Regarding Rulemaking: XXI. Joint Rules w/ SEC |
2/24/2012 | 77 FR 11345 // PDF Version
17 CFR Part 4
Harmonization of Compliance Obligations for Registered Investment Companies Required to Register as Commodity Pool Operators
Comment File - Closing Date: 4/24/2012 Regarding Rulemaking: XXVII. Investment Adviser Reporting |
2/14/2012 | 77 FR 8332 // PDF Version
17 CFR Part 75
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Covered Funds
Comment File - Closing Date: 4/16/2012 Regarding Rulemaking: XXVIII. Volcker Rule |
12/14/2011 | 76 FR 77728 // PDF Version
17 CFR Parts 37 and 38
Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act
Comment File - Closing Date: 2/13/2012 Regarding Rulemaking: XII. DCM Core Principles
XIII. SEF Registration |
9/20/2011 | 76 FR 58186 // PDF Version
17 CFR Parts 37, 38, and 39
Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA
Comment File - Closing Date: 11/4/2011 Regarding Rulemaking: VIII. Process for Review of Swaps for Mandatory Clearing
XIII. SEF Registration |
8/1/2011 | 76 FR 45730 // PDF Version
17 CFR Parts 1, 23, and 39
Customer Clearing Documentation and Timing of Acceptance for Clearing
Comment File - Closing Date: 9/30/2011 Regarding Rulemaking: VII. DCO Core Principles See Also: 76 FR 47529 // PDF Version
Correction: 17 CFR Parts 1, 23, and 39
Customer Clearing Documentation and Timing of Acceptance for Clearing; Correction |
8/1/2011 | 76 FR 45724 // PDF Version
17 CFR Parts 1 and 23
Clearing Member Risk Management
Comment File - Closing Date: 9/30/2011 Regarding Rulemaking: VII. DCO Core Principles |
6/9/2011 | 76 FR 33818 // PDF Version
17 CFR Parts 22 and 190
Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
Comment File - Closing Date: 8/8/2011 Regarding Rulemaking: VI. Segregation & Bankruptcy See Also: 76 FR 35141 // PDF Version
Correction: 17 CFR Parts 22 and 190
Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions; Correction |
6/7/2011 | 76 FR 33066 // PDF Version
17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166
Adaptation of Regulations to Incorporate Swaps
Comment File - Closing Date: 8/8/2011 Regarding Rulemaking: XXXI. Conforming Amendments See Also: Related Document: Adaptation of Regulations - Redline |
5/23/2011 | 76 FR 29818 // PDF Version
Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Part 240
Further Definition of "Swap,'' "Security-Based Swap,'' and "Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Comment File - Closing Date: 7/22/2011 Regarding Rulemaking: XXI. Joint Rules w/ SEC See Also: 76 FR 32880 // PDF Version
Correction: CFTC 17 CFR Part 1 and SEC 17 CFR Part 240
Further Definition of "Swap,'' "Security-Based Swap,'' and "Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap Agreement Recordkeeping |
5/12/2011 | 76 FR 27802 // PDF Version
17 CFR Parts 1, 23, and 140
Capital Requirements of Swap Dealers and Major Swap Participants
Comment File - Closing Date: 7/11/2011 Regarding Rulemaking: V. Capital & Margin for Non-banks |
4/28/2011 | 76 FR 23732 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Comment File - Extended Date: 7/11/2011 Regarding Rulemaking: V. Capital & Margin for Non-banks See Also: 76 FR 27621 // PDF Version
Comments Extension
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Comment Fil e - Closing Date: 7/11/2011 See Also: 76 FR 58176 // PDF Version
17 CFR Part 23
Swap Transaction Compliance and Implementation Schedule: Trading Documentation and Margining Requirements under Section 4s of the CEA
Comment File - Closing Date: 11/4/2011 Regarding Rulemaking: IV. Internal Business Conduct
V. Capital and Margin for Non-Banks See Also: 77 FR 41109 // PDF Version
Comments Extension
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Comment File - Extended Date: 9/14/2012 |
4/25/2011 | 76 FR 22833 // PDF Version
17 CFR Part 46
Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps
Comment File - Closing Date: 6/9/2011 Regarding Rulemaking: XVII. Data Recordkeeping |
3/18/2011 | 76 FR 14943 // PDF Version
Antidisruptive Practices Authority (Proposed Interpretive Order)
Comment File - Closing Date: 5/17/2011 Regarding Rulemaking: XXIV. Disruptive Trading Practices |
3/10/2011 | 76 FR 13101 // PDF Version
17 CFR Parts 23, 37, 38, and 39
Requirements for Processing, Clearing, and Transfer of Customer Positions
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: VII. DCO Core Principles |
3/9/2011 | 76 FR 12888 // PDF Version
17 CFR Part 3
Registration of Intermediaries
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: XXXI. Conforming Amendments |
3/3/2011 | 76 FR 11701 // PDF Version
17 CFR Part 4
Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: XXXI. Conforming Amendments |
2/11/2011 | 76 FR 8068 // PDF Version
Commodity Futures Trading Commission 17 CFR Part 4 Securities and Exchange Commission 17 CFR Parts 275 and 279
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
Comment File - Closing Date: 4/12/2011 Regarding Rulemaking: XXVII. Investment Adviser Reporting |
2/11/2011 | 76 FR 7976 // PDF Version
17 CFR Parts 4, 145, and 147
Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
Comment FIle - Closing Date: 4/12/2011 Regarding Rulemaking: XXVII. Investment Adviser Reporting |
2/8/2011 | 76 FR 6708 // PDF Version
17 CFR Part 23
Orderly Liquidation Termination Provision in Swap Trading Relationship Documentation for Swap Dealers and Major Swap Participants
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: IV. Business Conduct Standards - Internal |
2/8/2011 | 76 FR 6715 // PDF Version
17 CFR Part 23
Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants
Comment File - Closing Date: 4/11/2011 Regarding Rulemaking: IV. Business Conduct Standards - Internal See Also: 76 FR 58176 // PDF Version
17 CFR Part 23
Swap Transaction Compliance and Implementation Schedule: Trading Documentation and Margining Requirements Under Section 4s of the CEA
Comment File - Closing Date: 11/4/2011 |
2/3/2011 | 76 FR 6095 // PDF Version
17 CFR Parts 3, 32, 33, and 35
Commodity Options and Agricultural Swaps
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: XIX. Agricultural Swaps |
1/26/2011 | 76 FR 4752 // PDF Version
17 CFR Parts 1, 150 and 151
Position Limits for Derivatives
Comment File - Closing Date: 3/28/2011 Regarding Rulemaking: XXVI. Position Limits |
1/20/2011 | 76 FR 3698 // PDF Version
17 CFR Part 39
Risk Management Requirements for Derivatives Clearing Organizations
Comment File - Closing Date: 3/21/2011 Regarding Rulemaking: VII. DCO Core Principles See Also: 76 FR 16588 // PDF Version
Correction: 17 CFR Part 39
Risk Management Requirements for Derivatives Clearing Organizations; Correction 76 FR 16587 // PDF Version
Comments Extension : 17 CFR Part 39
Risk Management Requirements for Derivatives Clearing Organizations |
1/7/2011 | 76 FR 1214 // PDF Version
17 CFR Part 37
Core Principles and Other Requirements for Swap Execution Facilities
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: XIII. SEF Registration |
1/6/2011 | 76 FR 722 // PDF Version
17 CFR Parts 1, 37, 38, 39, and 40
Governance Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities; Additional Requirements Regarding the Mitigation of Conflicts of Interest
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: IX. Governance & Possible Limits |
12/28/2010 | 75 FR 81519 // PDF Version
17 CFR Part 23
Confirmation, Portfolio Reconciliation, and Portfolio Compression Requirements for Swap Dealers and Major Swap Participants
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: IV. Business Conduct Standards - Internal |
12/23/2010 | 75 FR 80898 // PDF Version
17 CFR Part 49
Swap Data Repositories
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: XVI. Swap Data Repositories Registration |
12/23/2010 | 75 FR 80747 // PDF Version
17 CFR Part 39
End-User Exception to Mandatory Clearing of Swaps
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: XI. End-user Exception |
12/22/2010 | 75 FR 80638 // PDF Version
17 CFR Parts 23 and 155
Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: III. Business Conduct Standards w/ Counterparties |
12/22/2010 | 75 FR 80572 // PDF Version
17 CFR Parts 1, 16, and 38
Core Principles and Other Requirements for Designated Contract Markets
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: XII. DCM Core Principles See Also: 76 FR 14825 // PDF Version
Comments Extension : 17 CFR Parts 1, 16, and 38
Core Principles and Other Requirements for Designated Contact Markets |
12/21/2010 | 75 FR 80174 // PDF Version
17 CFR Part 1 Securities and Exchange Commission 17 CFR Part 240
Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: II. Definitions |
12/15/2010 | 75 FR 78185 // PDF Version
17 CFR Parts 1, 21, and 39
Information Management Requirements for Derivatives Clearing Organizations
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: VII. DCO Core Principles |
12/13/2010 | 75 FR 77576 // PDF Version
17 CFR Parts 1 and 39
General Regulations and Derivatives Clearing Organizations
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: VII. DCO Core Principles |
12/9/2010 | 75 FR 76666 // PDF Version
17 CFR Part 23
Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: Internal Business Conduct Standards |
12/8/2010 | 75 FR 76573 // PDF Version
17 CFR Part 45
Swap Data Recordkeeping and Reporting Requirements
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: XVII. Data Recordkeeping |
12/7/2010 | 75 FR 76139 // PDF Version
17 CFR Part 43
Real-Time Public Reporting of Swap Transaction Data
Comment File – Closing Date: 2/7/2011 Regarding Rulemaking: XVIII. Real Time Reporting See Also : 75 FR 76930 // PDF Version
Correction : 17 CFR Part 43
Real-Time Public Reporting of Swap Transaction Data Correction |
12/6/2010 | 75 FR 75728 // PDF Version
17 CFR Part 165
Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act
Comment File – Closing Date: 2/4/2011 Regarding Rulemaking: XXV. Whistleblowers See Also : 76 FR 4569 // PDF Version
Correction : 17 CFR Part 165
Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act |
12/3/2010 | 75 FR 75432 // PDF Version
17 CFR Parts 23 and 190
Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: VI. Segregation & Bankruptcy |
11/23/2010 | 75 FR 71397 // PDF Version
17 CFR Part 23
Regulations Establishing and Governing the Duties of Swap Dealers and Major Swap Participants
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: IV. Business Conduct Standards - Internal |
11/23/2010 | 75 FR 71391 // PDF Version
17 CFR Part 23
Implementation of Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: IV. Business Conduct Standards - Internal |
11/23/2010 | 75 FR 71379 // PDF Version
17 CFR Parts 3, 23 and 170
Registration of Swap Dealers and Major Swap Participants
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: I. Registration |
11/19/2010 | 75 FR 70881 // PDF Version
17 CFR Part 3
Designation of a Chief Compliance Officer; Required Compliance Policies; and Annual Report of a Futures Commission Merchant, Swap Dealer, or Major Swap Participant
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: IV. Business Conduct Standards - Internal |
11/19/2010 | 75 FR 70973 // PDF Version
17 CFR Part 48
Registration of Foreign Boards of Trade
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: XIV. FBOT Registration |
11/17/2010 | 75 FR 70152 // PDF Version
17 CFR Part 1
Implementation of Conflicts of Interest Policies and Procedures by Futures Commission Merchants and Introducing Brokers
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: IV. Business Conduct Standards - Internal |
11/3/2010 | 75 FR 67642 // PDF Version
17 CFR Parts 1 and 30
Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions
Comment File - Extended Date: 6/3/2011
Regarding Rulemaking: XXIX. Alternatives to Credit Ratings |
11/3/2010 | 75 FR 67657 // PDF Version
17 CFR Part 180
Prohibition of Market Manipulation
Comment File - Closing Date: 1/3/2011 Regarding Rulemaking: XXIII. Anti-Manipulation |
11/2/2010 | 75 FR 67254 // PDF Version
17 CFR Parts 1 and 4
Removing Any Reference to or Reliance on Credit Ratings in Commission Regulations; Proposing Alternatives to the Use of Credit Ratings
Comment File - Closing Date: 12/2/2010 Regarding Rulemaking: XXIX. Alternatives to Credit Ratings |
11/2/2010 | 75 FR 67258 // PDF Version
17 CFR Parts 15 and 20
Position Reports for Physical Commodity Swaps
Comment File - Closing Date: 12/2/2010 Regarding Rulemaking: XXXII. Large Swaps Trader Reporting |
11/2/2010 | 75 FR 67277 // PDF Version
17 CFR Parts 39 and 140
Process for Review of Swaps for Mandatory Clearing
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: VIII. Process for Review of Swaps |
11/2/2010 | 75 FR 67282 // PDF Version
17 CFR Part 40
Provisions Common to Registered Entities
Comment File - Closing Date: 1/3/2011 Regarding Rulemaking: XV. Rule Certification |
10/27/2010 | 75 FR 66018 // PDF Version
17 CFR Part 162
Business Affiliate Marketing and Disposal of Consumer Information Rules
Comment File - Closing Date: 12/27/2010 Regarding Rulemaking: XXX. FCRA and GLB |
10/27/2010 | 75 FR 66014 // PDF Version
17 CFR Part 160
Privacy of Consumer Financial Information; Conforming Amendments Under Dodd-Frank Act
Comment File - Closing Date: 12/27/2010 Regarding Rulemaking: XXX. FCRA and GLB |
10/26/2010 | 75 FR 65586 // PDF Version
17 CFR Part 1
Agricultural Commodity Definition
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: XIX. Agricultural Swaps |
10/18/2010 | 75 FR 63732 // PDF Version
17 CFR Parts 1, 37, 38, 39, and 40
Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities Regarding the Mitigation of Conflicts of Interest
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: IX. Governance & Possible Limits |
10/14/2010 | 75 FR 63113 // PDF Version
17 CFR Parts 39 and 140
Financial Resources Requirements for Derivatives Clearing Organizations
Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: VII. DCO Core Principles
X. Systemically Important DCO Rules |