Exceptions and Exemptions

Exceptions

The Commission issued final rules to implement the exception to the clearing requirements available to counterparties meeting certain conditions in section 2h(7) of the Commodity Exchange Act (CEA).

Exemptions

The Commission issued proposed rules under section 4(c) of the CEA to exempt certain swaps entered into by cooperatives from the clearing requirement of section 2(h)(i) of the CEA.

The Commission issued final rules under section 4(c) of the CEA to exempt swaps between certain affiliated entities within a corporate group from the clearing requirement of section 2(h)(i) of the CEA.

Related Federal Register Releases

Final Rule: 78 FR 21749 // PDF Version
4/11/2013
17 CFR Part 50
Clearing Exemption for Swaps Between Certain Affiliated Entities
Effective Date: Monday, June 10, 2013

Proposed Rule: 77 FR 50425 // PDF Version
8/21/2012
17 CFR Part 39
Clearing Exemption for Swaps Between Certain Affiliated Entities
Comment File - Closing Date: 9/20/2012

Proposed Rule: 77 FR 47169 // PDF Version
8/7/201
17 CFR Part 50
Clearing Requirement Determination Under Section 2(h) of the CEA
Comment File - Closing Date: 9/6/2012

Proposed Rule: 77 FR 41940 // PDF Version
7/17/2012
17 CFR Part 39
Clearing Exemption for Certain Swaps Entered Into by Cooperatives
Comment File - Closing Date: 8/16/2012

Final Rule: 77 FR 42559 // PDF Version
7/19/2012
17 CFR Part 39
End-User Exception to the Clearing Requirement for Swaps
Effective Date: September 17, 2012

Proposed Rule: 75 FR 80747 // PDF Version
12/23/2010
17 CFR Part 39 End-User Exception to Mandatory Clearing of Swaps
Comment File - Extended Date: 6/3/2011