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Publication
Date
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Final Actions
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| 01/14/2021 |
86 FR 3236 // PDF Version
17 CFR Parts 1, 15, 17, 19, 40, 140, 150 and 151
Position Limits for Derivatives
Effective Date: Monday, March 15, 2021
Rulemaking: Position Limits for Derivatives and Aggregation of Positions
See also:
85 FR 11596, 2/27/2020 // PDF Version
17 CFR Parts 1, 15, 17, 19, 40, 140, 150 and 151
Position Limits for Derivatives
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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| 01/05/2021 |
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
Rulemaking: Capital & Margin
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 |
| 12/07/2020 |
85 FR 78718 // PDF Version
17 CFR Part 3
Exemption From Registration for Certain Foreign Intermediaries
Effective Date: Friday, February 5, 2021
Rulemaking: Internal Business Conduct Standards
See also:
81 FR 51824, 8/5/2016 // PDF Version
17 CFR Part 3
Exemption From Registration for Certain Foreign Persons
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
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| 11/20/2020 |
85 FR 71772 // PDF Version
17 CFR Part 4
Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR
Effective Date: Tuesday, December 22, 2020
Rulemaking: Investment Adviser Reporting
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
|
| 11/30/2020 |
85 FR 76428 // PDF Version
17 CFR Part 50
Swap Clearing Requirement Exemptions
Effective Date: Wednesday, December 30, 2020
Rulemaking: Exceptions and Exemptions
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
|
| 10/21/2020 |
85 FR 67160 // PDF Version
17 CFR Parts 39 and 140
Registration with Alternative Compliance for Non-U.S. Derivatives Clearing Organizations
Effective Date: Friday, November 20, 2020
Rulemaking: DCOs
See also:
84 FR 34819, 7/19/2019 // PDF Version
17 CFR Parts 39 and 140
Registration with Alternative Compliance for Non-U.S. Derivatives Clearing Organizations
84 FR 49072, 9/18/2019 // PDF Version
17 CFR Parts 39 and 140 Registration with Alternative Compliance for Non-U.S. Derivatives Clearing Organizations
|
| 11/25/2020 |
85 FR 75422 // PDF Version
11/25/2020
17 CFR Part 43 Real-Time Public Reporting Requirements
Effective Date: Monday, January 25, 2021
Rulemaking: Real-Time Reporting
See also:
85 FR 21516, 4/17/2020 // PDF Version
17 CFR Part 43 Amendments to the Real-Time Public Reporting Requirements
|
| 11/25/2020 |
85 FR 75503 // PDF Version
11/25/2020
17 CFR Parts 45, 46, and 49
Swap Data Recordkeeping and Reporting Requirements
Effective Date: Monday, January 25, 2021
Rulemaking: Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation & Guidance
See also:
85 FR 21578, 4/17/2020 // PDF Version
17 CFR Parts 45, 46, and 49
Amendments to the Swap Data Recordkeeping and Reporting Requirements
|
| 11/25/2020 |
85 FR 75601 // PDF Version
11/25/2020
17 CFR Parts 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements
Effective Date: Monday, January 25, 2021
Rulemaking: Data Recordkeeping
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
|
| 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
Rulemaking: Capital & Margin
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
Rulemaking: Cross-Border Application of Swaps Provisions
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
|
| 7/22/2020 |
85 FR 44170 // PDF Version
17 CFR Part 50
Exemption From the Swap Clearing Requirement for Certain Affiliated Entities--Alternative Compliance Frameworks for Anti-Evasionary Measures
Effective Date: Friday, August 21, 2020
Rulemaking: Exceptions and Exemptions
See also:
84 FR 70446, 12/23/2019 // PDF Version
17 CFR Part 50
Exemption From the Swap Clearing Requirement for Certain Affiliated Entities--Alternative Compliance Frameworks for Anti-Evasionary Measures
|
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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
Rulemaking: Capital & Margin
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
|
|
1/27/2020
|
85 FR 4800 // PDF Version
17 CFR Parts 1, 39, and 140
Derivatives Clearing Organization General Provisions and Core Principles
Effective Date: Sunday, January 26, 2020
Rulemakings: DCO Core Principles and Systemically Important DCO Rules
|
|
4/1/2019
|
84 FR 12065 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participant
Effective Date: Monday, April 1, 2019
Rulemaking: Capital & Margin
|
|
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
Rulemaking: Further definition of Swap Dealer, Major Swap Participant, Security-Based Swap Dealer, and Major Security-Based Swap Participant
|
|
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
Rulemaking: Capital & Margin
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
Rulemaking: Further definition of Swap Dealer, Major Swap Participant, Security-Based Swap Dealer, and Major Security-Based Swap Participant
See also:
83 FR 27444, 6/12/2018 // PDF Version
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
Rulemaking: Capital & Margin
See also:
82 FR 21330, 5/8/2017 // 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
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06/12/18
|
83 FR 27410 // PDF Version
17 CFR Part 49
Amendments to the Swap Data Access Provisions of Part 49 and Certain Other Matters
Effective Date: Monday, August 13, 2018
Rulemaking: Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation & Guidance
See also:
82 FR 8369 // PDF Version
17 CFR Part 49
Proposed Amendments To Swap Data Access Provisions and Certain Other Matters
Effective Date: Wednesday, January 25, 2017
|
|
09/29/2017
|
82 FR 45433 // PDF Version
17 CFR Part 38
Commission Delegated Authority Provisions for Designated Contract Markets' System Safeguards Requirements
Effective Date: Friday, September 29, 2017
Rulemaking: Process for Designated Contract Market and Swap Execution Facility to Make a Swap Available to Trade
|
|
12/16/2016
|
81 FR 91454 // PDF Version
17 CFR Part 150
Aggregation of Positions
Effective Date: Tuesday, February 14, 2017
Rulemaking: Position Limits for Derivatives and Aggregation of Positions
|
|
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
Rulemaking: Business Conduct Standards - Internal
See also:
81 FR 53343, 8/12/2016 // 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
|
|
10/14/2016
|
81 FR 71202 // PDF Version
17 CFR Part 50
Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps
Effective Date: Tuesday, December 13, 2016
Rulemaking: Clearing Requirement
|
|
6/27/2016
|
81 FR 41736 // PDF Version
17 CFR Part 45
Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps
Effective Date: Wednesday, July 27, 2016
Rulemaking: Data Recordkeeping
|
|
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; Agency Information Collection Activities: Proposed Collection, Comment Request: Final Rule, Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements; Final Rule and Notice
Effective Date: Monday, August 01, 2016
Rulemakings: Capital & Margin and Cross-Border Application of Swaps Provisions
|
|
01/2/2016
|
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 01, 2016
Rulemaking: Capital & Margin
|
|
09/26/2014
|
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
Rulemaking: Registration - Swap Dealers and Major Swap Participants
|
|
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 01, 2014
Rulemaking: Volcker Rule
|
|
12/02/2013
|
78 FR 72476 // PDF Version
17 CFR Parts 39, 140, and 190
Derivatives Clearing Organizations and International Standards
Effective Date: Tuesday, December 31, 2013
Rulemakings: DCO Core Principles andSystemically Important DCO Rules
|
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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 06, 2014
Rulemaking: Segregation & Bankruptcy for both Cleared and Uncleared Swaps
|
|
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
Rulemaking: Registration - Swap Dealers and Major Swap Participants
|
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8/22/2013
|
78 FR 52286 // PDF Version
17 CFR Part 50
Clearing Exemption for Certain Swaps Entered Into by Cooperatives
Effective Date: Monday, September 23, 2013
Rulemaking: Exceptions and Exemptions
|
|
8/22/2013
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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
Rulemaking: Investment Adviser Reporting
|
|
8/15/2013
|
78 FR 49663 // PDF Version
17 CFR Part 39
Enhanced Risk Management Standards for Systemically Important Derivatives Clearing Organizations
Effective Date: Tuesday, October 15, 2013
Rulemaking: Clearing Requirement
|
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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
Rulemaking: Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation & Guidance
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7/22/2013
|
78 FR 43785 // PDF Version
17 CFR Chapter I
Exemptive Order Regarding Compliance With Certain Swap Regulations
Effective Date: Saturday, July 13, 2013
Rulemaking: Cross-Border Application of Swaps Provisions
|
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6/4/2013
|
78 FR 36606 // 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, Swap Transaction Compliance and Implementation Schedule, and Trade Execution Requirement Under the Commodity Exchange Act
Effective Date: Monday, August 05, 2013
Rulemakings: SEF Registration Requirements and Core Principle Rulemaking, Interpretation & Guidance and Process for Designated Contract Market or Swap Execution Facility to make a Swap Available to Trade
|
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6/4/2013
|
78 FR 33476 // PDF Version
17 CFR Part 37
Core Principles and Other Requirements for Swap Execution Facilities
Effective Date: Monday, August 05, 2013
Rulemaking: SEF Registration Requirements and Core Principle Rulemaking, Interpretation & Guidance
See also:
78 FR 47154 // PDF Version
17 CFR Part 37
Core Principles and Other Requirements for Swap Execution Facilities; Correction
Effective Date: Monday, August 05, 2013
|
|
5/31/2013
|
78 FR 32866 // PDF Version
17 CFR Part 43
Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades
Effective Date: Tuesday, July 30, 2013
Rulemaking: Real-Time Reporting
See also:
78 FR 42436 // PDF Version
17 CFR Part 43
Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Correction
Effective Date: Tuesday, July 30, 2013
|
|
5/28/2013
|
78 FR 31890 // PDF Version
Antidisruptive Practices Authority
Effective Date: Tuesday, May 28, 2013
Rulemaking: Disruptive Trading Practices
|
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4/19/2013
|
78 FR 23638 // PDF Version
Commodity Futures Trading Commission 17 CFR Part 162
Securities and Exchange Commission 17 CFR Part 248
Identity Theft Red Flags Rules
Effective Date: Monday, May 20, 2013
Rulemaking: Joint Rules w/ SEC
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|
4/11/2013
|
78 FR 21749 // PDF Version
17 CFR Part 50
Clearing Exemption for Swaps Between Certain Affiliated Entities
Effective Date: Monday, June 10, 2013
Rulemaking: Exceptions and Exemptions
|
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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 07, 2013
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4/2/2013
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78 FR 19879 // PDF Version
Final Order in Response to a Petition From Certain Independent System Operators and Regional Transmission Organizations To Exempt Specified Transactions Authorized by a Tariff or Protocol Approved by the Federal Energy Regulatory Commission or the Public Utility Commission of Texas From Certain Provisions of the Commodity Exchange Act Pursuant to the Authority Provided in the Act
Effective Date: Tuesday, April 02, 2013
|
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4/2/2013
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78 FR 19670 // PDF Version
Order Exempting, Pursuant to Authority of the Commodity Exchange Act, Certain Transactions Between Entities Described in the Federal Power Act, and Other Electric Cooperatives
Effective Date: Tuesday, April 02, 2013
|
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1/23/2013
|
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
Rulemaking: Business Conduct Standards - Internal
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1/7/2013
|
8 FR 858 // PDF Version
17 CFR Chapter I
Final Exemptive Order Regarding Compliance With Certain Swap Regulations
Effective Date: Friday, December 21, 2012
Rulemaking: Cross-Border Application of Swaps Provisions
|
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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
Rulemaking: Conforming Amendments
See also:
78 FR 21045// PDF Version
17 CFR Part 1 Adaptation of Regulations to Incorporate Swaps--Records of Transactions; Correction
Effective Date: Tuesday, April 09, 2013
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12/13/2012
|
77 FR 74284 // PDF Version
17 CFR Parts 39 and 50
Clearing Requirement Determination Under Section 2(h) of the CEA
Effective Date: Monday, February 11, 2013
Rulemaking: Clearing Requirement
|
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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 02, 2013
Rulemaking: Conforming Amendments
|
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10/25/2012
|
77 FR 65177 // PDF Version
Swap Data Repositories: Interpretative Statement Regarding the Confidentiality and Indemnification Provisions of the Commodity Exchange Act.
Effective Date: Thursday, October 25, 2012
Rulemaking: Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation & Guidance
|
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9/11/2012
|
7 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
Rulemaking: Business Conduct Standards - Internal
See also:
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 09, 2013
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9/5/2012
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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 05, 2012
Rulemaking: Conforming Amendments
|
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8/28/2012
|
77 FR 51898 // PDF Version
17 CFR Part 3
Registration of Intermediaries
Effective Date: Monday, October 29, 2012
Rulemaking: Conforming Amendments
|
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8/13/2012
|
77 FR 48207 // PDF Version
Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Parts 230, 240 and 241
Further Definition of ``Swap,'' ``Security-Based Swap,'' and ``Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Effective Date: Friday, October 12, 2012
Rulemaking: Further Definition of "Swap," "Security-Based Swap," "Security Based Swap Agreement," and Mixed Swaps
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7/30/2012
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77 FR 44441 // PDF Version
17 CFR Part 50
Swap Transaction Compliance and Implementation Schedule: Clearing Requirement under Section 2(h) of the CEA
Effective Date: Friday, September 28, 2012
Rulemakings: Process for Review of Swaps for Mandatory Clearing and Clearing Requirement
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7/19/2012
|
77 FR 42559 // PDF Version
17 CFR Part 39
End-User Exception to the Clearing Requirement for Swaps
Effective Date: Friday, September 17, 2012
Rulemaking: Exceptions and Exemptions
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6/19/2012
|
77 FR 36611 // PDF Version
17 CFR Parts, 1, 16, and 38
Core Principles and Other Requirements for Designated Contract Markets
Effective Date: Monday, August 20, 2012
Rulemaking: DCM Core Principle Rulemaking, Interpretation & Guidance
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06/12/2012
|
77 FR 35200 // PDF Version
17 CFR Part 46
Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps
Effective Date: Monday, August 13, 2012
Rulemaking: Data Recording & Reporting Requirements
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07/13/2012
|
77 FR 41260 // PDF Version
17 CFR Chapter I
Second Amendment to July 14, 2011 Order for Swap Regulation
Effective Date: Tuesday, July 03, 2012
|
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5/23/2012
|
77 FR 30596 // PDF
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
Comment File – Closing Date: 7/23/2012
Rulemaking: Further definition of Swap Dealer, Major Swap Participant, Security-Based Swap Dealer, and Major Security-Based Swap Participant
See also:
77 FR 39626 // PDF Version
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: July 5, 2012
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4/27/2012
|
77 FR 25320 // PDF Version
17 CFR Parts 3, 32, and 33
Commodity Options
Effective Date: Tuesday, June 26, 2012
Comment File - Closing Date: 6/26/2012
Rulemaking: Commodity Options
NOTE: The Interim Final Rule portion of this rule closed for comment on June 26, 2012
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4/9/2012
|
77 FR 21278 // PDF Version
17 CFR Parts 1,23,37,38, and 39
Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management
Effective Date: October 1, 2012
Rulemaking: DCO Core Principles
|
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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
Rulemaking: Business Conduct Standards - Internal
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2/24/2012
|
77 FR 11252 // PDF Version
17 CFR Parts 4, 145 and 147
Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
Effective Date: Tuesday, April 24, 2012
Rulemaking: Investment Adviser Reporting
See also:
77 FR 17328 // PDF Version
17 CFR Parts 4, 145, and 147
Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations; Correction: April 26, 2012
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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: April 17, 2012
Rulemaking: Business Conduct Standards with Counterparties
|
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2/7/2012
|
77 FR 6336 // PDF Version
17 CFR Parts 22 and 190
Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
Effective Date: Monday, April 9, 2012
|
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1/19/2012
|
77 FR 2613 // PDF Version
17 CFR Parts 3, 23 and 170
Registration of Swap Dealers and Major Swap Participants
Effective Date: Monday, March 19, 2012
Rulemaking: Registration - Swap Dealers and Major Swap Participants
See also:
77 FR 2708 // PDF Version
Performance of Registration Functions by National Futures Association With Respect to Swap Dealers and Major Swap Participants
Effective Date: Thursday, January 19, 2012
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1/13/2012
|
77 FR 2136 // PDF Version
17 CFR Part 45
Swap Data Recordkeeping and Reporting Requirements
Effective Date: March 13, 2012
Rulemaking: Data Recordkeeping & Reporting Requirements
|
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1/9/2012
|
77 FR 1182 // PDF Version
17 CFR Part 43
Real-Time Public Reporting of Swap Transaction Data
Effective Date: Friday, March 9, 2012
Rulemaking: Real Time Reporting
See also:
77 FR 2909 // PDF Version
17 CFR Part 43
Real-Time Public Reporting of Swap Transaction Data; Correction: January, 20, 2012
77 FR 48060 // PDF Version
17 CFR Part 43
Real-Time Public Reporting of Swap Transaction Data; Correction: August 13, 2012
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12/23/2011
|
76 FR 80674 // PDF Version
17 CFR Part 48
Registration of Foreign Boards of Trade
Effective Date: Tuesday, February 21, 2012
Regarding Rulemaking: FBOT Registration
|
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12/23/2011
|
76 FR 80233 // PDF Version
17 CFR Chapter 1
Amendment to July 14, 2011 Order for Swap Regulation
Effective Date: Friday, December 23, 2011
Rulemaking: Conforming Amendments
|
|
12/19/2011
|
76 FR 78776 // 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
Effective Date: Thursday February 17, 2012
Rulemaking: Alternatives to Credit Ratings
|
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12/14/2011
|
76 FR 77670 // PDF Version
17 CFR Part 1
Interim Final Interpretation: Retail Commodity Transactions Under Commodity Exchange Act
Comment File - Closing Date: 2/13/2012
Rulemaking: Real-Time Reporting
See also:
78 FR 52426 // PDF Version
17 CFR Part 1
Retail Commodity Transactions Under Commodity Exchange Act
Effective Date: Friday, August 23, 2013
|
|
11/18/2011
|
76 FR 71626 // PDF Version
17 CFR Parts 1, 150 and 151
Position Limits for Futures and Swaps
Effective Date: Tuesday, January 17, 2012
Comment File - Closing Date: 1/17/2012
Rulemaking: Position Limits
NOTE: The Interim Final Rule portion of this rule closed for comment on January 17, 2012
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11/16/2011
|
76 FR 71128 // PDF Version
CFTC 17 CFR Part 4 and SEC 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
Effective Date: Saturday, March 31, 2012
Rulemaking: Investment Adviser Reporting
|
|
11/8/2011
|
76 FR 69334 // PDF Version
17 CFR Parts 1, 21, 39, and 140
Derivatives Clearing Organization General Provisions and Core Principles
Effective Date: Monday, January 9, 2012
Rulemaking: DCO Core Principles
|
|
9/12/2011
|
76 FR 56103 // PDF Version
17 CFR Part 5
Retail Foreign Exchange Transactions; Conforming Changes to Existing Regulations in Response to the Dodd-Frank Wall Street Reform and Consumer Protection Act
Effective Date: Monday, September 12, 2011
Rulemaking: Foreign Currency (Retail Off Exchange)
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9/1/2011
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76 FR 54538 // PDF Version
17 CFR Part 49
Swap Data Repositories: Registration Standards, Duties and Core Principles
Effective Date: Monday, October 31, 2011
Rulemaking: Swap Data Repositories Registration
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8/25/2011
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76 FR 53172 // PDF Version
17 CFR Part 165
Final Rules for Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act
Effective Date: Monday, October 24, 2011
Rulemaking: Whistleblowers
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8/10/2011
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76 FR 49291 // PDF Version
17 CFR Part 35
Agricultural Swaps
Effective Date: Saturday, December 31, 2011
Rulemaking: Agricultural Swaps
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7/27/2011
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76 FR 44776 // PDF Version
17 CFR Part 40
Provisions Common to Registered Entities
Effective Date: Monday, September 26, 2011
Rulemaking: Rule Certification & Approval Procedures (applicable to DCMs, DCOs, SEFs)
See also:
76 FR 45666 // PDF Version
Correction: 17 CFR Part 40
Provisions Common to Registered Entities; Correction
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7/26/2011
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76 FR 44464 // PDF Version
17 CFR Parts 39 and 140
Process for Review of Swaps for Mandatory Clearing
Effective Date: Monday, September 26, 2011
Rulemaking: Process for Review of Swaps for Mandatory Clearing
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7/25/2011
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76 FR 44262 // 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
Effective Date: Friday, September 23, 2011
Rulemaking: Alternatives to Credit Ratings
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7/22/2011
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76 FR 43851 // PDF Version
17 CFR Parts 15 and 20
Large Trader Reporting for Physical Commodity Swaps
Effective Date: Tuesday, September 20, 2011
Rulemaking: Large Swaps Trader Reporting
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7/22/2011
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76 FR 43874 // PDF Version
17 CFR Part 160
Privacy of Consumer Financial Information; Conforming Amendments under Dodd-Frank Act
Effective Date: Tuesday, September 20, 2011
Rulemaking: Fair Credit Reporting Act and Gramm-Leach Bliley Act
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7/22/2011
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76 FR 43879 // PDF Version
17 CFR Part 162
Business Affiliate Marketing and Disposal of Consumer Information Rules
Effective Date: Tuesday September 20, 2011
Rulemaking: Fair Credit Reporting Act and Gramm-Leach Bliley Act
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7/19/2011
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76 FR 42508 // PDF Version
17 CFR Chapter 1
Effective Date for Swap Regulation
Effective Date: Thursday, July 14, 2011
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7/14/2011
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76 FR 41398 // PDF Version
17 CFR Part 180
Prohibition on the Employment, or Attempted Employment, of Manipulative and Deceptive Devices - Prohibition on Price Manipulation
Effective Date: Monday, August 15, 2011
Rulemaking: Anti-Manipulation
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7/13/2011
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76 FR 41048 // PDF Version
17 CFR Part 1
Agricultural Commodity Definition
Effective Date: Monday, September 12, 2011
Rulemaking: Agricultural Commodity Definition
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12/17/2010
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75 FR 78892 // PDF Version
17 CFR Part 44
Interim Final Rule: Reporting Certain Post-Enactment Swap Transactions
Effective Date: Friday, December 17, 2010
Comment File - Closing Date: 1/18/2011
Rulemaking: Data Recordkeeping & Reporting Requirements
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10/14/2010
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75 FR 63080 // PDF Version
17 CFR Part 44
Interim Final Rule for Reporting Pre-Enactment Swap Transactions
Effective Date: Thursday, October 14, 2010
Comment File - Closing Date: 11/15/2010
Rulemaking: Swap Data Repositories Registration
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9/10/2010
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75 FR 55410 // PDF Version
17 CFR Parts 1, 3, 4, 5, 10, 140, 145, 147, 160, and 166
Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries
Effective Date: Monday, October 18, 2010
Rulemaking: Foreign Currency (Retail Off Exchange)
See also:
75 FR 55310 // PDF Version
Performance of Registration Functions by National Futures Association With Respect to Retail Foreign Exchange Dealers and Associated Persons
Effective Date: Friday, September 10, 2010
Rulemaking: Foreign Currency (Retail Off Exchange)
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