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Date
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Public Meeting
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Proposed Actions
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Final Actions
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07/11/2019
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Thirty Ninth Meeting
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84 FR 35376: 17 CFR Parts 39 and 140 Registration with Alternative Compliance for Non-U.S. Derivatives Clearing Organizations
84 FR 34819: 17 CFR Parts 3, 39 and 140 Exemption from Derivatives Clearing Organization Registration
17 CFR Part 41 Customer Margin Rules relating to Security Futures
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03/25/2019
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Thirty Eighth Meeting
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84 FR 12065: 17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participant
84 FR 12450: 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
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11/05/2018
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Thirty Seventh Meeting
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83 FR 61946: 17 CFR Parts 9, 36, 37, 38, 39, and 43 Swap Execution Facilities and Trade Execution Requirement
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83 FR 56666: 17 CFR Part 1 De Minimis Exception to the Swap Dealer Definition
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11/03/2016
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Thirty Sixth Meeting
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81 FR 85334: 17 CFR Parts 1, 38, 40, and 170 Regulation Automated Trading
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09/07/2016
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Thirty Fifth Meeting
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81 FR 64272: 17 CFR Parts 37, 38, and 49 System Safeguards Testing Requirements
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12/16/2015
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Thirty Fourth Meeting
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80 FR 80139: 17 CFR Parts 37, 38, and 49 System Safeguards Testing Requirements
80 FR 80113: 17 CFR Part 39 System Safeguards Testing Requirements for Derivatives Clearing Organizations
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81 FR 636: 17 CFR Parts 23 and 140 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
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11/24/2015
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Thirty Third Meeting
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80 FR 78824: 17 CFR Parts 1, 38, 40, and 170, Regulation Automated Trading
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09/17/2014
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Thirty Second Meeting
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79 FR 59898: 17 CFR Parts 23 and 140 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
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79 FR 57767: 17 CFR Part 1 Exclusion of Utility Operations-Related Swaps With Utility Special Entities From De Minimis
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11/05/2013
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Thirty First Meeting
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78 FR 75680: 17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives
78 FR 68946: 17 CFR Part 150 Aggregation of Positions
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07/12/2013
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Thirtieth Meeting
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78 FR 43785: 17 CFR Chapter I Exemptive Order Regarding Compliance with Certain Swap Regulations
78 FR 45292: 17 CFR Chapter I Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations
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05/16/2013
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Twenty-Ninth Meeting
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78 FR 32866: 17 CFR Part 43 Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades
78 FR 33476: 17 CFR Part 37 Core Principles and Other Requirements for Swap Execution Facilities
78 FR 36606: 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
78 FR 31890: Anti-disruptive Practices Authority
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07/10/2012
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Twenty-Eighth Meeting
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77 FR 41940: 17 CFR Part 39 Clearing Exemption for Certain Swaps Entered into by Cooperatives
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77 FR 42559: 17 CFR Part 39 End-User Exception to the Clearing Requirement for Swaps
77 FR 48207: 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
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05/10/2012
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Twenty-Seventh Meeting
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77 FR 36611: 17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contract Market
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04/18/2012
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Twenty-Sixth Meeting
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77 FR 30596: 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''
77 FR 25320: 17 CFR Parts 3, 32, and 33 Final and Interim Final Rulemaking Regarding Commodity Options
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03/20/2012
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Twenty-Fifth Meeting
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77 FR 21278: 17 CFR Parts 1, 23, 37, 38, and 39 Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management
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02/23/2012
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Twenty-Fourth Meeting
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77 FR 15460: 17 CFR Part 43 Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades
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77 FR 20128: 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
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01/11/2012
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Twenty-Third Meeting
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77 FR 8332: 17 CFR Part 75 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Covered Funds
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77 FR 2708: Performance of Registration Functions by National Futures Association With Respect to Swap Dealers and Major Swap Participants
77 FR 6336: 17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
77 FR 9734: 17 CFR Parts 4 and 23 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
77 FR 2613: 17 CFR Parts 1, 3, 23, and 170 Registration of Swap Dealers and Major Swap Participants
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12/20/2011
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Twenty-Second Meeting
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77 FR 1182: 17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
77 FR 2136: 17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements
76 FR 42508: 17 CFR Chapter 1 Effective Date for Swap Regulation
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12/05/2011
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Twenty-First Meeting
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76 FR 77728: 17 CFR Parts 37 and 38 Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available To Trade
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76 FR 78776: 17 CFR Parts 1 and 30 Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions
76 FR 80674: 17 CFR Part 48 Registration of Foreign Boards of Trade
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10/18/2011
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Twentieth Meeting
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76 FR 65999: 17 CFR Chapter 1 Effective Date for Swap Regulation
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76 FR 69334: 17 CFR Parts 1, 21, 39, and 140 Derivatives Clearing Organization General Provisions and Core Principles
76 FR 71626: 17 CFR Parts 1, 150 and 151 Position Limits for Futures and Swaps
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09/08/2011
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Nineteenth Meeting
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76 FR 58176: 17 CFR Part 23 Swap Transaction Compliance and Implementation Schedule: Trading Documentation and Margining Requirements Under Section 4s of the CEA
76 FR 58186: 17 CFR Parts 37, 38, and 39 Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA
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08/04/2011
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Eighteenth Meeting
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76 FR 49291: 17 CFR Part 35 Agricultural Swaps
76 FR 54538: 17 CFR Part 49 Swap Data Repositories: Registration Standards, Duties and Core Principles
76 FR 53172: 17 CFR Part 165 Whistleblower Incentives and Protection
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07/19/2011
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Seventeenth Meeting
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76 FR 45730: 17 CFR Parts 1, 23, and 39 Customer Clearing Documentation and Timing of Acceptance for Clearing
76 FR 45724: 17 CFR Parts 1 and 23 Clearing Member Risk Management
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76 FR 44776: 17 CFR Part 40 Provisions Common to Registered Entities
76 FR 44464: 17 CFR Parts 39 and 140 Process for Review of Swaps for Mandatory Clearing
76 FR 44262: 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
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07/07/2011
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Sixteenth Meeting
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76 FR 41398: 17 CFR Part 180 Prohibition on the Employment, or Attempted Employment, of Manipulative and Deceptive Devices and Prohibition on Price Manipulation
76 FR 41048: 17 CFR Part 1 Agricultural Commodity Definition
76 FR 43879: 17 CFR Part 162 Business Affiliate Marketing and Disposal of Consumer Information Rules
76 FR 43874: 17 CFR Part 160 Privacy of Consumer Financial Information; Conforming Amendments Under Dodd-Frank Act
76 FR 43851: 17 CFR Parts 15 and 20 Large Trader Reporting for Physical Commodity Swaps
Large Trader Reporting for Physical Commodity Swaps
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06/14/2011
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Fifteenth Meeting
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76 FR 35372: 17 CFR Chapter 1 Effective Date for Swap Regulation
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04/27/2011
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Fourteenth Meeting
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76 FR 33066: 17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166 Adaptation of Regulations to Incorporate Swaps
76 FR 33818: 17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
76 FR 27802: 17 CFR Parts 1, 23, and 140 Capital Requirements of Swap Dealers and Major Swap Participants
76 FR 29818: 17 CFR Part 240 Further Definition of ‘‘Swap,’’ ‘‘Security-Based Swap,’’ and ‘‘Security-Based Swap Agreement’’; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
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76 FR 27621: 17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
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04/12/2011
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Thirteenth Meeting
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76 FR 23732: 17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
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02/24/2011
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Twelfth Meeting
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76 FR 11701: 17 CFR Part 4 Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act
76 FR 13101: 17 CFR Parts 23, 37, 38, and 39 Requirements for Processing, Clearing, and Transfer of Customer Positions
76 FR 12888: 17 CFR Part 3 Registration of Intermediaries
76 FR 14943: Antidisruptive Practices Authority, Proposed Interpretive Order
76 FR 14826: 17 CFR Chapter I Antidisruptive Practices Authority
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01/26/2011
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Eleventh Meeting
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76 FR 8068: 17 CFR Part 4 Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
76 FR 7976: 17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
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01/20/2011
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Tenth Meeting
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76 FR 6095: 17 CFR Parts 3, 32, 33, and 35 Commodity Options and Agricultural Swap
76 FR 6708: 17 CFR Part 23 Orderly Liquidation Termination Provision in Swap Trading Relationship Documentation for Swap Dealers and Major Swap Participants
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01/13/2011
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Ninth Meeting
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76 FR 4752: 17 CFR Parts 1, 150 and 151 Position Limits for Derivatives
76 FR 6715: 17 CFR Part 23 Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants
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12/16/2010
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Eighth Meeting
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76 FR 722: 17 CFR Parts 1, 37, 38, 39, and 40 Governance Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and
Swap Execution Facilities; Additional Requirements Regarding the Mitigation of Conflicts of Interest
75 FR 81519: 17 CFR Part 23 Confirmation, Portfolio Reconciliation, and Portfolio Compression Requirements for Swap Dealers and Major Swap Participants
76 FR 3698: 17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations
76 FR 4752: 17 CFR Parts 1, 150 and 151; Position Limits for Derivatives
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12/09/2010
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Seventh Meeting
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75 FR 80747: 17 CFR Part 39 End-User Exception to Mandatory Clearing of Swaps
76 FR 722: 17 CFR Parts 1, 37, 38, 39, and 40 Governance Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities; Additional Requirements Regarding the Mitigation of Conflicts of Interest
75 FR 80638: 17 CFR Parts 23 and 155 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties; Proposed Rule
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75 FR 78892: 17 CFR Part 44 Reporting Certain Post-Enactment Swap Transactions
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12/01/2010
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Sixth Meeting
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75 FR 76666; 17 CFR Part 23 Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap
Participants
75 FR 80572: 17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contract Markets
75 FR 77576: 17 CFR Parts 1 and 39 General Regulations and Derivatives Clearing Organizations
75 FR 80174: 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’’
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11/19/2010
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Fifth Meeting
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75 FR 75162: 17 CFR Part 190 Protection of Cleared Swaps Customers Before and After Commodity Broker Bankruptcies
75 FR 75432: 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
75 FR 76140: 17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
75 FR 76930: 17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data (Correction)
75 FR 80898: 17 CFR Part 49 Swap Data Repositories
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11/10/2010
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Fourth Meeting
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75 FR 70974: 17 CFR Part 48 Registration of Foreign Boards of Trade
75 FR 70881: 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 71397: 17 CFR Part 23 Regulations Establishing and Governing the Duties of Swap Dealers and Major Swap Participants
75 FR 71391: 17 CFR Part 23 Implementation of Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants
75 FR 71379: 17 CFR Parts 3, 23 and 170 Registration of Swap Dealers and Major Swap Participants
75 FR 75728: 17 CFR Part 165 Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act
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10/26/2010
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Third Meeting
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75 FR 67301: 17 CFR Chapter I Antidisruptive Practices Authority Contained in the Dodd-Frank Wall Street Reform and Consumer Protection Act
75 FR 67657: 17 CFR Part 180 Prohibition of Market Manipulation
75 FR 67277: 17 CFR Parts 39 and 140 Process for Review of Swaps for Mandatory Clearing
75 FR 67254: 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
75 FR 67642: 17 CFR Parts 1 and 30 Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions
75 FR 67282: 17 CFR Part 40 Provisions Common to Registered Entities
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10/19/2010
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Second Meeting
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75 FR 59666: 17 CFR Part 35 Agricultural Swaps
75 FR 65586: 17 CFR Part 1 Agricultural Commodity Definition
75 FR 66018: 17 CFR Part 162 Business Affiliate Marketing and Disposal of Consumer Information Rules
75 FR 66014: 17 CFR Part 160 Privacy of Consumer Financial Information; Conforming Amendments Under Dodd-Frank Act
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10/01/2010
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First Meeting
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75 FR 63732: 17 CFR Parts 1, 37, 38, 39, and 40 Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities Regarding the Mitigation of Conflicts of Interest
75 FR 63113: 17 CFR Parts 39 and 140 Financial Resources Requirements for Derivatives Clearing Organizations
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75 FR 63080: 17 CFR Part 44 Interim Final Rule for Reporting Pre-Enactment Swap Transactions
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