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2024
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03/01/2024
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89 FR 15312 // PDF Version
17 CFR Parts 1, 22, 30, and 39 Regulations to Address Margin Adequacy and to Account for the Treatment of Separate Accounts by Futures Commission Merchants
Comment File - Closing Date: 4/22/2024
See also:
88 FR 22934, 4/14/2023 // PDF Version
17 CFR Part 39 Derivatives Clearing Organization Risk Management Regulations To Account for the Treatment of Separate Accounts by Futures Commission Merchants
88 FR 39205, 6/15/2023 // PDF Version
17 CFR Part 39 Derivatives Clearing Organization Risk Management Regulations To Account for the Treatment of Separate Accounts by Futures Commission Merchants
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| 01/24/2024 |
89 FR 4706 // PDF Version
17 CFR Parts 1 and 23 Operational Resilience Framework for Futures Commission Merchants, Swap Dealers, and Major Swap Participants
Comment File - Closing Date: 3/2/2024
Extended Date: 4/1/2024
See also:
89 FR 14007, 2/26/2024 // PDF Version
17 CFR Parts 1 and 23 Operational Resilience Framework for Futures Commission Merchants, Swap Dealers, and Major Swap Participants
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| 01/16/2024 |
88 FR 2554 // PDF Version
17 CFR Part 23 Capital and Financial Reporting Requirements for Swap Dealers and Major Swap Participants
Comment File - Closing Date: 2/13/2024 |
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2023
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11/21/2023
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88 FR 81236 // PDF Version
17 CFR Parts 1, 22, and 30 Investment of Customer Funds by Futures Commission Merchants and Derivatives Clearing Organizations
Comment File - Closing Date: 1/17/2024
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10/12/2023
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88 FR 70852 // PDF Version
17 CFR Part 4 Commodity Pool Operators, Commodity Trading Advisors, and Commodity Pools: Updating the `Qualified Eligible Person' Definition; Adding Minimum Disclosure Requirements for Pools and Trading Programs; Permitting Monthly Account Statements for Funds of Funds; Technical Amendments
Comment File - Closing Date: 12/11/2023
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8/8/2023
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88 FR 53409 // PDF Version
17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Comment File - Closing Date: 10/10/2023
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7/18/2023
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88 FR 45826 // PDF Version
17 CFR Parts 1 and 23 Risk Management Program Regulations for Swap Dealers, Major Swap Participants, and Futures Commission Merchants
Comment File - Closing Date: 9/18/2023
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2022
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9/1/2022
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87 FR 53832 // PDF Version
Commodity Futures Trading Commission RIN 3038-AF31 and Securities and Exchange Commission 17 CFR Parts 275 and 279 [Release No. IA-6083; File No. S7-22-22] RIN 3235–AN13 Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
Comment File - Closing Date: 10/11/2022
See also:
87 FR 5461, 9/7/2022 // PDF Version
Commodity Futures Trading Commission RIN 3038-AF31 and Securities and Exchange Commission 17 CFR Parts 275 and 279 [Release No. IA-6083; File No. S7-22-22] RIN 3235–AN13 Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Correction
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2020
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11/5/2020
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85 FR 70536 // PDF Version
Commodity Futures Trading Commission 17 CFR Part 23 RIN 3038-AF07; Securities and Exchange Commission 17 CFR Part 240 [Release No. 34-90246; File No. S7-15-20] RIN 3235-AM64 Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps
Comment File – Closing Date: 12/7/2020
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9/24/2020
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85 FR 60110 // PDF Version
17 CFR Part 190
Bankruptcy Regulations
Comment File – Closing Date: 10/26/2020
See also:
85 FR 36000, 6/12/2020 // PDF Version
17 CFR Parts 1, 4, 41, and 190
Bankruptcy Regulations
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9/23/2020
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85 FR 59702 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Comment File – Closing Date: 10/23/2020
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9/22/2020
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85 FR 59470 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Comment File – Closing Date: 10/22/2020
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7/10/2020
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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: 9/8/2020
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
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6/12/2020
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85 FR 35820 // PDF Version
17 CFR Part 3
Exemption From Registration for Certain Foreign Persons Acting as Commodity Pool Operators of Offshore Commodity Pools
Comment File – Closing Date: 8/11/2020
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6/12/2020
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85 FR 36000 // PDF Version
17 CFR Parts 1, 4, 41, and 190
Bankruptcy Regulations
Comment File – Closing Date: 7/13/2020
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5/4/2020
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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
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4/17/2020
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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
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2/28/2020
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85 FR 12120 // PDF Version
Department of the Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2020-0002] RIN 1557-AE67; Federal Reserve System 12 CFR Part 248 [Docket No. R-1694] RIN 7100-AF70; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AF17; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE93; Securities and Exchange Commission 17 CFR Part 255 [Release No. BHCA-8; File No. S7-02-20] RIN 3235-AM70 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Comment File – Closing Date: 4/1/2020
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1/8/2020
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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
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2019
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12/19/2019
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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
See also:
81 FR 91252, 12/16/2016 // PDF Version
17 CFR Parts 1, 23, and 140
Capital Requirements of Swap Dealers and Major Swap Participants
82 FR 13971, // PDF Version
17 CFR Parts 1, 23, and 40
Capital Requirements of Swap Dealers and Major Swap Participants
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10/24/2019
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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
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10/22/2019
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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
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7/5/2019
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84 FR 32105 // PDF Version
17 CFR Part 30
Foreign Futures and Options Transactions
Comment File – Closing Date: 8/5/2019
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02/08/2019
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84 FR 2778 // PDF Version
DEPARTMENT OF TREASURY Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0029] RIN 1557-AE47; FEDERAL RESERVE SYSTEM 12 CFR Part 248 [Docket No. R-1643] RIN 7100-AF 33; FEDERAL DEPOSIT INSURANCE CORPORATION 12 CFR Part 351 RIN 3064-AE88; COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 75 RIN 3038-AE72; SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 255 [Release no. BHCA-5; File no. S7-30-18] RIN 3235-AM43 Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds
Comments File – Closing Date: 03/11/2019
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
83 FR 45860, 9/11/2018 // 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; 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
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2018
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12/10/2018
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83 FR 63450 // PDF Version
Privacy of Consumer Financial Information--Amendment To Conform Regulations to the Fixing America's Surface Transportation Act
Comments File – Closing Date: 2/8/2019
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10/18/2018
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82 FR 52902 // PDF Version
17 CFR Part 4 Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors
Comment File – Closing Date: 12/17/2018
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9/11/2018
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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
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
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7/30/2018
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83 FR 36484 // PDF Version
17 CFR Part 23
Segregation of Assets Held as Collateral in Uncleared Swap Transactions
Comment File – Closing Date: 9/28/2018
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7/17/2018
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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: 9/17/2018
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7/3/2018
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83 FR 31078 // PDF Version
17 CFR Part 1
Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations
Comment File – Closing Date: 9/4/2018
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6/12/2018
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83 FR 27444 // PDF Version
17 CFR Part 1
De Minimis Exception to the Swap Dealer Definition
Comment File - Closing Date: 8/13/2018
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5/23/2018
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83 FR 23842 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Comment File – Closing Date: 7/23/2018
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