MPD Rulemakings

2024

Date
Final Rules

05/23/2024
89 FR 45569 // PDF Version
17 CFR Part 23 Capital and Financial Reporting Requirements for Swap Dealers and Major Swap Participants

Effective Date: Monday, June 24, 2024

See also:

89 FR 2554, 12/15/2023 // PDF Version
17 CFR Part 23 Capital and Financial Reporting Requirements for Swap Dealers and Major Swap Participants

3/12/2024
89 FR 17984 // PDF Version
Commodity Futures Trading Commission 17 CFR Chapter I RIN 3038-AF31 and Securities and Exchange Commission 17 CFR Parts 275 and 279 [Release No. IA-6546; File No. S7-22-22] RIN 3235-AN13 Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers

Effective Date: Wednesday, March 12, 2025

See also:

87 FR 53832, 9/1/2022 // 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

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

2023

Date
Final Rules

2/10/2023
88 FR 8752 // PDF Version
17 CFR Part 23
Reporting, Recordkeeping, Daily Trading Records, and Swap Documentation Requirements for Swap Dealers and Major Swap Participants; Corrections

Effective Date: Monday, March 13, 2023

See also:

85 FR 75503, 11/25/2020 // PDF Version
17 CFR Parts 45, 46, and 49
Swap Data Recordkeeping and Reporting Requirements

2021

Date
Final Rules

1/25/2021
86 FR 6850 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Effective Date: Wednesday, February 24, 2021

See also:

85 FR 59470, 9/22/2020 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

1/5/2021
86 FR 229 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Effective Date: Thursday, February 4, 2021

See also:

85 FR 59702, 9/23/2020 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

1/5/2021
86 FR 223 // PDF Version
17 CFR Part 23
Portfolio Reconciliation Requirements for Swap Dealers and Major Swap Participants--Revision of ``Material Terms'' Definition
Open Date: 1/5/2021
Closing Date: 3/8/2021

Effective Date: Tuesday, January 5, 2021

2020

Date
Final Rules

12/7/2020
85 FR 78718 // PDF Version
17 CFR Part 3
Exemption From Registration for Certain Foreign Intermediaries

Effective Date: Friday, February 5, 2021

See also:

81 FR 51824, 8/5/2016 // PDF Version
17 CFR Part 3
Exemption From Registration for Certain Foreign Persons

83 FR 52902, 10/18/2018 // PDF Version
17 CFR Part 4
Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors

85 FR 35820, 6/12/2020 // PDF Version
17 CFR Part 3
Exemption From Registration for Certain Foreign Persons Acting as Commodity Pool Operators of Offshore Commodity Pools

11/30/2020
85 FR 76428 // PDF Version
17 CFR Part 50
Swap Clearing Requirement Exemptions

Effective Date: Wednesday, December 30, 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

85 FR 27955, 5/12/2020 // PDF Version
17 CFR Part 50
Swap Clearing Requirement Exemptions

11/24/2020
85 FR 75112 // PDF Version
Commodity Futures Trading Commission 17 CFR Part 41; Securities and Exchange Commission 17 CFR Part 242; Customer Margin Rules Relating to Security Futures

Effective Date: Thursday, December 24, 2020

See also:

84 FR 36434, 7/26/2019 // PDF Version
Commodity Futures Trading Commission 17 CFR Part 41 Securities and Exchange Commission 17 CFR Part 242

11/10/2020
85 FR 71772 // PDF Version
17 CFR Part 4
Compliance Requirements for Commodity Pool Operators on Form CPO-PQR

Effective Date: Tuesday, December 22, 2020

See also:

85 FR 26378, 5/4/2020 // PDF Version
17 CFR Part 4
Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR

11/9/2020
85 FR 71246 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Effective Date: Wednesday, December 9, 2020

See also:

84 FR 56950, 10/24/2019 // PDF Version
17 CFR Part 2
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

85 FR 41463, 7/10/2020 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

11/03/2020
85 FR 6949 // PDF Version
17 CFR Part 23
Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants; Correction

Effective Date: Friday, November 13, 2020

See also:

85 FR 952, 1/8/2020 // 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

85 FR 56924, 9/14/2020 // PDF Version
17 CFR Part 23
Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants

9/15/2020
85 FR 57562 // PDF Version
17 CFR Parts 1, 23, and 140
Capital Requirements of Swap Dealers and Major Swap Participants

Effective Date: Monday, November 16, 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, 3/16/2017 // PDF Version
17 CFR Parts 1, 23, and 40
Capital Requirements of Swap Dealers and Major Swap Participants

9/14/2020
85 FR 56924 // PDF Version
17 CFR Part 23
Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants

Effective Date: Friday, November 13, 2020

See also:

7/10/2020
85 FR 41346 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Open Date: 7/10/2020
Comment File – Closing Date: 9/8/2020

Effective Date: Friday, July 10, 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 41463, 7/10/2020 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

7/8/2020
85 FR 40877 // PDF Version
17 CFR Part 4
Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading advisors: Prohibiting Exemptions on Behalf of Persons Subject to Certain Statutory Disqualifications

Effective Date: Tuesday, September 8, 2020

See also:

83 FR 52902, 10/18/2018 // PDF Version
17 CFR Part 4
Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors

84 FR 67343, 12/10/2019 // PDF Version
17 CFR Part 4
Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors: Registered Investment Companies, Business Development Companies, and Definition of Reporting Person

6/24/2020
85 FR 37734 // PDF Version
17 CFR Part 1
Retail Commodity Transactions Involving Certain Digital Assets

Effective Date: Wednesday, June 24, 2020

6/24/2020
85 FR 37880 // PDF Version
Adoption of Revised Registration Form 8-R

5/18/2020
85 FR 29611 // PDF Version
17 CFR Part 160
Privacy of Consumer Financial Information

Effective Date: Wednesday, June 17, 2020

See also:

84 FR 60963, 11/12/2019 // PDF Version
17 CFR Part 160
Privacy of Consumer Financial Information

5/11/2020
85 FR 27674 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Effective Date: Wednesday, June 10, 2020

See also:

84 FR 56392, 10/22/2019 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

04/09/2020
85 FR 19878 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Effective Date: Monday, May 11, 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

03/18/2020
85 FR 15359 // PDF Version
17 CFR Part 30
Foreign Futures and Options Transactions

Effective Date: Wednesday, March 18, 2020

See also:

84 FR 32105, 7/5/2019 // PDF Version
17 CFR Part 30
Foreign Futures and Options Transactions

2019

Date
Final Rules

12/10/2019
84 FR 67343 // PDF Version
17 CFR Part 4
Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors: Registered Investment Companies, Business Development Companies, and Definition of Reporting Person

Effective Date: Thursday, January 9, 2020

See also:

83 FR 52902, 10/18/2018 // PDF Version
17 CFR Part 4
Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors

12/10/2019
84 FR 67355 // PDF Version
17 CFR Part 4
Registration and Compliance Requirements for Commodity Pool Operators (CPOs) and Commodity Trading Advisors: Family Offices and Exempt CPOs

Effective Date: Thursday, January 9, 2020

See also:

83 FR 52902, 10/18/2018 // PDF Version
17 CFR Part 4 Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors 12/10/2019

11/14/2019
84 FR 61974 // 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-7; File no. S7-14-18] RIN 3235-AM10 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

Effective Date: Wednesday, January 1, 2020

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

84 FR 2778, 2/8/2019 // 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

84 FR 35008, 7/22/2019 // PDF Version
Department of the Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket ID OCC-2018-0029] RIN 1557-AE47; Federal Reserve System 12 CFR Part 248 [Docket No. R-1643] RIN 7100-AF33; 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-6; File no. S7-30-18] RIN 3235-AM43 Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds

84 FR 38115, 8/6/2019 // PDF Version
Federal Reserve System 12 CFR Part 248 [Docket No. R-1643] RIN 7100-AF33 ; 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 Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

8/6/2019
84 FR 38115 // PDF Version
Federal Reserve System 12 CFR Part 248 [Docket No. R-1643] RIN 7100-AF33 ; 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 Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

Effective Date: Tuesday, August 6, 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

84 FR 2778 , 2/8/2019 // 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

84 FR 35008 , 7/22/2019 // PDF Version
Department of the Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket ID OCC-2018-0029] RIN 1557-AE47; Federal Reserve System 12 CFR Part 248 [Docket No. R-1643] RIN 7100-AF33; 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-6; File no. S7-30-18] RIN 3235-AM43 Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds

7/22/2019
84 FR 35008 // PDF Version
Department of the Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket ID OCC-2018-0029] RIN 1557-AE47; Federal Reserve System 12 CFR Part 248 [Docket No. R-1643] RIN 7100-AF33; 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-6; File no. S7-30-18] RIN 3235-AM43 Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds

Effective Date: Monday, July 22, 2019

See also:

4/25/2019

84 FR 17341 // PDF Version
17 CFR Part 160
Privacy of Consumer Financial Information--Amendment To Conform Regulations to the Fixing America's Surface Transportation Act

Effective Date: Tuesday, May 28, 2019

4/3/2019
84 FR 12882 // PDF Version
17 CFR Part 1 Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations

Effective Date: Friday, May 3, 2019

See also:

83 FR 31078, 7/3/2018 // PDF Version
17 CFR Part 1
Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations

4/3/2019
84 FR 12894 // PDF Version
17 CFR Part 23
Segregation of Assets Held as Collateral in Uncleared Swap Transactions

Effective Date: Friday, May 3, 2019

See also:

83 FR 36484 , 7/30/2018 // PDF Version
17 CFR Part 23
Segregation of Assets Held as Collateral in Uncleared Swap Transactions

4/1/2019
84 FR 12065 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participant
Submit Comment
View Comment
Open Date: 4/1/2019
Closing Date: 5/31/2019

Effective Date: Monday, April 1, 2019

4/1/2019
84 FR 12450 // PDF Version
17 CFR Part 1
De Minimis Exception to the Swap Dealer Definition--Swaps Entered Into by Insured Depository Institutions in Connection With Loans to Customers

Effective Date: Monday, April 1, 2019

2018

Date
Final Rules

11/26/2018
83 FR 60341 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Effective Date: Wednesday, December 26, 2018

See also:

83 FR 23842, 5/23/2018 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

11/13/2018
83 FR 56666 // PDF Version
17 CFR Part 1
De Minimis Exception to the Swap Dealer Definition

Effective Date: Tuesday, November 13, 2018

See also:

83 FR 27444 // PDF Version (6/12/2018)
17 CFR Part 1
De Minimis Exception to the Swap Dealer Definition

8/27/2018
83 FR 43510 // PDF Version
17 CFR Part 3
Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants

Effective Date: Wednesday, September 26, 2018

See also:

82 FR 21330 // PDF Version (5/8/2017)
17 CFR Part 3
Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments

6/29/2018
83 FR 30533 // PDF Version
17 CFR Part 1
Adaptation of Regulations to Incorporate Swaps; Correction

Effective Date: Friday, June 29, 2018

See also:

77 FR 66288 // PDF Version (11/2/2012)
17 CFR Parts 1, 4, 5, 7, 8, 15, 16, 18, 21, 22, 36, 38, 41, 140, 145, 155, and 166
Adaptation of Regulations To Incorporate Swaps

Effective Date: Tuesday, March 6, 2018

2/23/2018
83 FR 7979 //PDF Version
17 CFR Parts 1, 3, 4, 5, 15, 18, 19, 23, 30, 38, 39, 41, 50, 150, 151, 155, and 166
Definitions
Open Date: 2/23/2018
Closing Date: 3/26/2018

Effective Date: Friday, February 23, 2018

2017

Date
Final Rules

11/28/2017
82 FR 56169//PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants; Correction

Effective Date: Tuesday, November 28, 2017

See also:

81 FR 636//PDF Version (1/6/2016)
17 CFR Parts 23 and 140
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

5/30/2017
82 FR 24479//PDF Version
17 CFR Parts 1 and 23
Recordkeeping

Effective Date: Monday, August 28, 2017

See also:

82 FR 6356//PDF Version (1/19/2017)
17 CFR Parts 1 and 23
Recordkeeping

2016

11/25/2016
81 FR 85147 // PDF Version
17 CFR Part 4
Commodity Pool Operator Financial Reports

Effective Date: Tuesday, December 27, 2016

See also:

81 FR 51828 // PDF Version (8/5/2016)
17 CFR Part 4
Commodity Pool Operator Annual Report

11/16/2016
81 FR 80563 // PDF Version
17 CFR Part 3
Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates

Effective Date: Wednesday, November 16, 2016

See also:

81 FR 53343 // PDF Version (8/12/2016)
17 CFR Part 3
Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates

5/31/2016
81 FR 34818 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements

Effective Date: Monday, August 1, 2016

See also:

81 FR 636 // PDF Version
Invitation for Comment on Interim Final Rule - 17 CFR 23.150(b) - Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

5/6/2016
81 FR 27309 // PDF Version
17 CFR Part 23
Definitions of ``Portfolio Reconciliation'' and ``Material Terms'' for Purposes of Swap Portfolio Reconciliation

Effective Date: Friday, May 6, 2016

See also:

80 FR 57129 // PDF Version (9/22/2015)
17 CFR Part 23
Proposal To Amend the Definition of ``Material Terms'' for Purposes of Swap Portfolio Reconciliation

4/1/2016
81 FR 18743 // PDF Version
17 CFR Part 3 Alternative to Fingerprinting Requirement for Foreign Natural Persons

Effective Date: Monday, May 2, 2016

See also:

81 FR 1359 // PDF Version (1/12/2016)
17 CFR Part 3
Alternative to Fingerprinting Requirement for Foreign Natural Persons

1/6/2016
81 FR 636 // PDF Version
17 CFR Parts 23 and 140
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Effective Date: Friday, April 1, 2016

See also:

76 FR 23732 // PDF Version (4/28/2011)
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

76 FR 27621 // PDF Version (5/12/2011)
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

77 FR 41109 // PDF Version (7/12/2012)
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

79 FR 59898 // PDF Version (10/3/2014)
17 CFR Parts 23 and 140
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

80 FR 41376 // PDF Version (7/14/2015)
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements

81 FR 636 // PDF Version
Invitation for Comment on Interim Final Rule - 17 CFR 23.150(b) - Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

81 FR 34818 // PDF Version (5/31/2016)
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements

82 FR 56169 // PDF Version (11/28/2017)
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants; Correction

2015

Date
Final Rules

12/24/2015
80 FR 80247 // PDF Version
17 CFR Part 1
Records of Commodity Interest and Related Cash or Forward Transactions

Effective Date: Thursday, December 24, 2015

See also:

79 FR 68140 // PDF Version (11/14/2014)
17 CFR Part 1
Records of Commodity Interest and Related Cash or Forward Transactions

9/14/2015
80 FR 55022 // PDF Version
17 CFR Part 170
Membership in a Registered Futures Association

Effective Date: Friday, November 13, 2015

See also:
78 FR 67078 // PDF Version (11/8/2013)
17 CFR Part 170
Membership in a Registered Futures Association

78 FR 67985 // PDF Version
17 CFR Part 170
Membership in a Registered Futures Association

3/24/2015
80 FR 15507 // PDF Version
17 CFR Part 1
Residual Interest Deadline for Futures Commission Merchants

Effective Date: Tuesday, May 26, 2015

See also:

79 FR 68148 // PDF Version (11/14/2014)
17 CFR Part 1
Residual Interest Deadline for Futures Commission Merchants

2014

Date
Final Rules

9/26/2014
79 FR 57767 // PDF Version
17 CFR Part 1
Exclusion of Utility Operations-Related Swaps With Utility Special Entities From De Minimis Threshold for Swaps With Special Entities

Effective Date: Monday, October 27, 2014

See also:

79 FR 31238 // PDF Version (6/2/2014)
17 CFR Part 1
Exclusion of Utility Operations-Related Swaps With Utility Special Entities From De Minimis Threshold for Swaps With Special Entities

7/30/2014
79 FR 44125 // PDF Version
17 CFR Parts 1, 30, and 140
Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

Effective Date: Wednesday, July 30, 2014

See also:

77 FR 67866 // PDF Version (11/14/2012)
17 CFR Parts 1, 3, 22, 30, and 140
Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

78 FR 4093 // PDF Version (1/18/2013)
17 CFR Parts 1, 3, 22, 30 and 140
Extension of Comment Period for the Rulemaking Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

78 FR 68506 // PDF Version (11/14/2013)
17 CFR Parts 1, 3, 22, 30, and 140
Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

79 FR 14174 // PDF Version (3/13/2014)
17 CFR Part 30
Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

79 FR 26831 // PDF Version (5/12/2014)
17 CFR Part 1
Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

7/15/2014
79 FR 41126 // PDF Version
17 CFR Part 23
Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants; Correction

Effective Date: Tuesday, July 15, 2014

See also:

75 FR 70152 // PDF Version (11/17/2010)
17 CFR Part 1
Implementation of Conflicts of Interest Policies and Procedures by Futures Commission Merchants and Introducing Brokers

75 FR 70881 // PDF Version (11/19/2010)
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

75 FR 71379 // PDF Version (11/23/2010)
17 CFR Parts 3, 23 and 170
Registration of Swap Dealers and Major Swap Participants

75 FR 71391 // PDF Version (11/23/2010)
17 CFR Part 23
Implementation of Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants

75 FR 76666 // PDF Version (12/9/2010)
17 CFR Part 23
Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants

76 FR 25274 // PDF Version (5/4/2011)
17 CFR Chapter I
Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

77 FR 20128 // PDF Version (4/3/2012)
17 CFR Parts 1, 3, and 23
Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants

5/12/2014
79 FR 26831 // PDF Version
17 CFR Part 1
Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

Effective Date: Monday, May 12, 2014

See also:

79 FR 44125 // PDF Version (7/30/2014)
17 CFR Parts 1, 30, and 140
Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

3/13/2014
79 FR 14174 // PDF Version
17 CFR Part 30
Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

Effective Date: Thursday, March 13, 2014

See also:
77 FR 67866 // PDF Version (11/14/2012)
17 CFR Parts 1, 3, 22, 30, and 140
Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

1/31/2014
79 FR 5223 // PDF Version
Department of the Treasury Office of the Comptroller of the Currency 12 CFR Part 44; Board of Governors of the Federal Reserve System 12 CFR Part 248; Federal Deposit Insurance Corporation 12 CFR Part 351; Securities and Exchange Commission 17 CFR Part 255; Commodity Futures Trading Commission 17 CFR Part 75; Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities With Regard to Prohibitions and Restrictions on Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

Effective Date: Tuesday, April 1, 2014

1/31/2014
79 FR 5808 // PDF Version
17 CFR Part 75
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds

Effective Date: Tuesday, April 1, 2014

See also:

77 FR 8332 // PDF Version (2/14/2012)
17 CFR Part 75
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Covered Funds

1/14/2014
79 FR 2370 // PDF Version
17 CFR Part 42
Updates to Cross-References to Bank Secrecy Act Regulations

Effective Date: Tuesday, January 14, 2014

2013

11/14/2013
78 FR 68506 // PDF Version
17 CFR Parts 1, 3, 22, 30, and 140
Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

Effective Date: Friday, November 1, 2013

See also:

11/6/2013
78 FR 66621 // 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

Effective Date: Monday, January 6, 2014

See also:

75 FR 75432 // PDF Version (12/3/2010)
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

76 FR 25274 // PDF Version (5/4/2011)
17 CFR Chapter I
Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

10/28/2013
78 FR 64173 // PDF Version
17 CFR Part 23
Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees

Effective Date: Wednesday, November 27, 2013

See also:

78 FR 20848 // PDF Version (4/8/2013)
17 CFR Part 23
Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees

8/22/2013
78 FR 52308 // PDF Version
17 CFR Part 4
Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators

Effective Date: Thursday, August 22, 2013

See also:

77 FR 11345 // PDF Version (2/24/2012)
17 CFR Part 4
Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators

7/26/2013
78 FR 45292 // PDF Version
17 CFR Chapter I
Interpretive Guidance and Policy Statement Regarding Compliance With Certain Swap Regulations

Effective Date: Friday, July 26, 2013

See also:

77 FR 41110 // PDF Version (7/12/2012)
17 CFR Chapter I
Exemptive Order Regarding Compliance With Certain Swap Regulations

78 FR 858 // PDF Version (1/7/2013)
17 CFR Chapter I
Final Exemptive Order Regarding Compliance With Certain Swap Regulations

4/16/2013
78 FR 22418 // PDF Version
17 CFR Parts 1, 3, 5, 9, 11, 31, 40, 41, 140, 145, 170, 171 and 190
Reassignment of Commission Staff Responsibilities and Delegations of Authority

Effective Date: Tuesday, April 16, 2013

4/9/2013
78 FR 21045 // PDF Version
17 CFR Part 1
Adaptation of Regulations to Incorporate Swaps--Records of Transactions; Correction

Effective Date: Tuesday, April 9, 2013

See also:

77 FR 75523 // PDF Version (12/21/2012)
17 CFR Part 1
Adaptation of Regulations To Incorporate Swaps--Records of Transactions

4/9/2013
78 FR 21045 // PDF Version
17 CFR Part 23
Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants; Correction

Effective Date: Tuesday, April 9, 2013

See also:

77 FR 55904 // PDF Version (9/11/2012)
17 CFR Part 23
Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants

4/8/2013
78 FR 20788 // 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

Effective Date: Friday, June 7, 2013

See also:

77 FR 35892 // PDF Version (6/15/2012)
17 CFR Parts 3 and 23
Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants

1/7/2013
78 FR 858 // PDF Version
17 CFR Chapter I
Final Exemptive Order Regarding Compliance With Certain Swap Regulations

Effective Date: Friday, December 21, 2012

See also:

77 FR 41110 // PDF Version (7/12/2012)
17 CFR Chapter I
Exemptive Order Regarding Compliance With Certain Swap Regulations

78 FR 45292 // PDF Version (7/26/2013)
17 CFR Chapter I
Interpretive Guidance and Policy Statement Regarding Compliance With Certain Swap Regulations

2012

Date
Final Rules

12/28/2012
77 FR 76356 // PDF Version
17 CFR Part 160
Privacy of Consumer Financial Information Under Title V of the Gramm-Leach-Bliley Act

Effective Date: Friday, December 28, 2012

12/21/2012
77 FR 75523 // PDF Version
17 CFR Part 1
Adaptation of Regulations To Incorporate Swaps--Records of Transactions

Effective Date: Tuesday, February 19, 2013

See also:

76 FR 33066 // PDF Version (6/7/2011)
17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166
Adaptation of Regulations to Incorporate Swaps

Related Document:

Adaptation of Regulations - Redline

77 FR 66288 // PDF Version (11/2/2012)
17 CFR Parts 1, 4, 5, 7, 8, 15, 16, 18, 21, 22, 36, 38, 41, 140, 145, 155, and 166
Adaptation of Regulations To Incorporate Swaps

78 FR 21045 // PDF Version (4/9/2013)
17 CFR Part 1
Adaptation of Regulations to Incorporate Swaps--Records of Transactions; Correction

11/2/2012
77 FR 66288 // PDF Version
17 CFR Parts 1, 4, 5, 7, 8, 15, 16, 18, 21, 22, 36, 38, 41, 140, 145, 155, and 166
Adaptation of Regulations To Incorporate Swaps

Effective Date: Wednesday, January 2, 2013

See also:

76 FR 33066 // PDF Version (6/7/2011)
17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166
Adaptation of Regulations to Incorporate Swaps

Related Document:

Adaptation of Regulations - Redline

9/11/2012
77 FR 55904 // PDF Version
17 CFR Part 23
Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants

Effective Date: Tuesday, November 13, 2012

See also:

75 FR 81519 // PDF Version (12/28/2010)
17 CFR Part 23
Confirmation, Portfolio Reconciliation, and Portfolio Compression Requirements for Swap Dealers and Major Swap Participants

76 FR 6708 // PDF Version (2/8/2011)
17 CFR Part 23
Orderly Liquidation Termination Provision in Swap Trading Relationship Documentation for Swap Dealers and Major Swap Participants

76 FR 6715 // PDF Version (2/8/2011)
17 CFR Part 23
Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants

76 FR 25274 // PDF Version (5/4/2011)
17 CFR Chapter I
Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

78 FR 21045 // PDF Version ( 4/9/2013)
17 CFR Part 23
Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants; Correction

9/5/2012
77 FR 54355 // PDF Version
17 CFR Part 4
Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act

Effective Date: Monday, November 5, 2012

See also:

76 FR 11701 // PDF Version (3/3/2011)
17 CFR Part 4
Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act

76 FR 25274 // PDF Version (5/4/2011)
17 CFR Chapter I
Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

8/28/2012
77 FR 51898 // PDF Version
17 CFR Part 3
Registration of Intermediaries

Effective Date: Monday, October 29, 2012

See also:

76 FR 12888 // PDF Version (3/9/2011)
17 CFR Part 3
Registration of Intermediaries

76 FR 25274 // PDF Version (5/4/2011)
17 CFR Chapter I
Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

7/19/2012
77 FR 42559 // PDF Version
17 CFR Part 39
End-User Exception to the Clearing Requirement for Swaps

Effective Date: Monday, September 17, 2012

See also:

75 FR 80747 // PDF Version (12/23/2010)
17 CFR Part 39
End-User Exception to Mandatory Clearing of Swaps

76 FR 25274 // PDF Version (5/4/2011)
17 CFR Chapter I
Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

5/23/2012
77 FR 30596 // PDF Version
Commodity Futures Trading Commission 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''

Effective Date: Monday, July 23, 2012

See also:

75 FR 80174 // PDF Version (12/21/2010)
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''

76 FR 25274 // PDF Version (5/4/2011)
17 CFR Chapter I
Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

77 FR 39626 // PDF Version (7/5/2012)
17 CFR Part 1
Further Definition of ``Swap Dealer,'' ``Security-Based Swap Dealer,'' ``Major Swap Participant,'' ``Major Security-Based Swap Participant'' and ``Eligible Contract Participant''; Correction

4/3/2012
77 FR 20128 // PDF Version

17 CFR Parts 1, 3, and 23
Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants

Effective Date: Monday, June 4, 2012

See also:

75 FR 70152 // PDF Version (11/17/2010)
17 CFR Part 1
Implementation of Conflicts of Interest Policies and Procedures by Futures Commission Merchants and Introducing Brokers

75 FR 71379 // PDF Version (11/23/2010)
17 CFR Parts 3, 23 and 170
Registration of Swap Dealers and Major Swap Participants

75 FR 71391 // PDF Version (11/23/2010)
17 CFR Part 23
Implementation of Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants

75 FR 76666 // PDF Version (12/9/2010)
17 CFR Part 23
Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants

76 FR 25274 // PDF Version (5/4/2011)
17 CFR Chapter I
Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

79 FR 41126 // PDF Version (7/15/2014)
17 CFR Part 23
Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants; Correction

3/26/2012
77 FR 17328 // PDF Version
17 CFR Parts 4, 145, and 147
Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations

See also:

76 FR 7976 // PDF Version (2/11/2011)
17 CFR Parts 4, 145, and 147
Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations; Proposed Rule

*Note – This Proposed Rule contains forms which are not displayed in the HTML version. To see the complete proposal, download the PDF version.

77 FR 11252 // PDF Version (2/24/2012)

17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations

2/24/2012
77 FR 11252 // PDF Version
17 CFR Parts 4, 145, and 147
Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations

Effective Date: Tuesday, April 24, 2012

See also:

76 FR 7976 // PDF Version (2/11/2011)
17 CFR Parts 4, 145, and 147
Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations; Proposed Rule

*Note – This Proposed Rule contains forms which are not displayed in the HTML version. To see the complete proposal, download the PDF version.

77 FR 17328 // PDF Version (3/26/2012)
17 CFR Parts 4, 145, and 147
Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations

2/17/2012
77 FR 9734 // PDF Version
17 CFR Parts 4 and 23
Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties

Effective Date: Tuesday, April 17, 2012

See also:

75 FR 80638 // PDF Version (12/22/2010)
17 CFR Parts 23 and 155
Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties

76 FR 25274 // PDF Version (5/4/2011)
17 CFR Chapter I
Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

1/25/2012
77 FR 3590 // PDF Version
17 CFR Parts 3 and 23
Registration of Swap Dealers and Major Swap Participants; Correction

Effective Date: Monday, March 19, 2012

See also:

75 FR 71397 // PDF Version (11/23/2010)
17 CFR Part 23
Regulations Establishing and Governing the Duties of Swap Dealers and Major Swap Participants

76 FR 25274 // PDF Version (, 5/4/2011)
17 CFR Chapter I
Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

77 FR 2613 // PDF Version (1/19/2012)
17 CFR Parts 1, 3, 23, and 170
Registration of Swap Dealers and Major Swap Participants

1/19/2012
77 FR 2613 // PDF Version
17 CFR Parts 1, 3, 23, and 170
Registration of Swap Dealers and Major Swap Participants

Effective Date: Monday, March 19, 2012

See also:

75 FR 71379 // PDF Version (11/23/2010)
17 CFR Parts 3, 23 and 170
Registration of Swap Dealers and Major Swap Participants

76 FR 25274 // PDF Version (5/4/2011)
17 CFR Chapter I
Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

77 FR 3590 // PDF Version (1/25/2012)
17 CFR Parts 3 and 23
Registration of Swap Dealers and Major Swap Participants; Correction

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