Data Recordkeeping

Data Recordkeeping & Reporting Requirements

The Commission finalized rules to implement the Dodd-Frank Wall Street Reform and Consumer Protection Act regarding Data Recordkeeping and Reporting Requirements.

Additional information regarding Data Recordkeeping & Reporting Requirements is provided below, including factsheets for each rule, and details of meetings held between CFTC staff and outside parties.

Related Federal Register Releases

Proposed Rule: 88 FR 90046 // PDF Version
12/28/2023
17 CFR Parts 43 and 45
Name: Real-Time Public Reporting Requirements and Swap Data Recordkeeping and Reporting Requirements
Comment File – Closing Date: 02/26/2024
Extended Date: 4/11/2024

See also:
89 FR 14790, 2/29/2024 // PDF Version
17 CFR Parts 43 and 45 Real-Time Public Reporting Requirements and Swap Data Recordkeeping and Reporting Requirements; Reopening of Comment Period

Order: 88 FR 11790 // PDF Version
02/24/2023
17 CFR Part 45
Order Designating the Unique Product Identifier and Product Classification System To Be Used in Recordkeeping and Swap Data Reporting
Effective Date: Friday, February 24, 2023

Final Rule: 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

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

Proposed Rule: 85 FR 21578 // PDF Version
04/17/2020
17 CFR Parts 45, 46, and 49
Amendments to the Swap Data Recordkeeping and Reporting Requirements
Comment File – Closing Date: 5/20/2020
Extended Date: 5/22/2020

Final Rule: 81 FR 41736 // PDF Version
06/27/2016
17 CFR Part 45 Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps
Effective Date: Wednesday, July 27, 2016

Proposed Rule:  80 FR 52544 // PDF Version
8/31/2015
17 CFR Part 45 Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps
Comment File - Closing Date: 10/30/2015

Final Rule: 77 FR 35200 // PDF Version
6/12/2012
17 CFR Part 46 Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps
Effective Date: August 13, 2012

Final Rule: 77 FR 2136 // PDF Version
1/13/2012
17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements
Effective Date: March 13, 2012

Proposed Rule: 76 FR 22833 // PDF Version
4/25/2011
17 CFR Part 46 Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps
Comment File - Closing Date: 6/9/2011

Interim Final Rule: 75 FR 78892 // PDF Version
12/17/2010
17 CFR Part 44 Reporting Certain Post-Enactment Swap Transactions
Comment File - Closing Date: 1/18/2011

Proposed Rule: 75 FR 76573 // PDF Version
12/8/2010
17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements
Comment File - Extended Date: 6/3/2011

Interim Final Rule: 75 FR 63080 // PDF Version
10/14/2010
17 CFR Part 44 Reporting Certain Pre-Enactment Swap Transactions
Effective Date: October 14, 2010

Technical Specification Versions

Parts 43 and 45 Technical Specification – December 2023 Clean

Parts 43 and 45 Technical Specification – December 2023 Redline

Parts 43 and 45 Technical Specification (March 2023) Redline

Parts 43 and 45 Technical Specification (March 2023) Clean

Parts 43 and 45 Technical Specification – August 2022 Redline

Parts 43 and 45 Technical Specification – August 2022 Clean

Parts 43 and 45 Technical Specification – September 2021 Redline

Parts 43 and 45 Technical Specification – September 2021 Clean

Parts 43 and 45 Technical Specification – September 2020

Parts 43 and 45 Technical Specification Draft for Public Comment – February 2020

Additional Information

Swap Data Error Correction Notification Form

Division of Swap Dealer and Intermediary Oversight Responds to Frequently Asked Questions (FAQs) Regarding Commission Forms CPO-PQR and CTA-PR

Fact Sheet: Proposed Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps

No-Action Letter 13-10
April 8, 2013
Parts 43, 45 and 46 of the CFTC’s regulations

Division of Market Oversight Advisory
March 8, 2013

No-Action Letter 12-41
December 5, 2012
Part 43, Part 45 and Part 46 of the CFTC's regulations

No-Action Letter 12-32
November 19, 2012
Part 43, Part 45 and Part 46 of the CFTC's regulations

11/29/2012
Frequently Asked Questions (FAQ) on the Reporting of Cleared Swaps-Revised

10/10/2012
Frequently Asked Questions (FAQ) on the Reporting of Cleared Swaps - Withdrawn

10/09/2012
Q&A: On Start of Swap Data Reporting

Fact Sheet: Final Rule on Swap Data Recordkeeping and Reporting Requirements

Q&A: Final Rulemaking on Swap Data Recordkeeping and Reporting

Event: Open Meeting to Consider Two Final Rules

Fact Sheet: Proposed Rule on Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps

&A: Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps

Event: Open Meeting on Thirteenth Series of Proposed Rules under the Dodd-Frank Act

Fact Sheet: Interim Final Rule Regarding Reporting of Certain Post-Enactment Swap Transactions

Q&A: Interim Final Rule Regarding Reporting of Certain Post-Enactment Swap Transactions

Event: Open Meeting on Seventh Series of Proposed Rules under the Dodd-Frank Act

Fact Sheet: Proposed Rule on Swap Data Recordkeeping & Recording

Q&A: Swap Data Recordkeeping and Reporting Requirements

Event: Open Meeting on Fifth Series of Proposed Rules under the Dodd-Frank Act

Date

SUBMISSION

10/01/2012

Unique Swap Identifier (USI) Data Standard
CFTC-ODT

 

12/20/2011

Transcript: Open Meeting on Two Final Rule Proposals Under The Dodd-Frank Wall Street Reform and Consumer Protection Act
CFTC

 

06/22/2011

BG Group Meeting with CFTC Staff
BG Group, From External Meeting on 6/22/2011

 

06/17/2011

OTC Product Identification, Classification, and Registration
FIX Protocol, From External Meeting on 6/17/2011

 

06/08/2011

GS1 Proposal to the SEC, CFTC, and OFR Regarding Unique Identification and Reference Data - Technical Details
JM Smucker Co. / GS1 / Financial InterGroup, From External Meeting on 6/8/2011

 

06/08/2011

GS1 Response to the SIFMA-led Solicitation of Interest
JM Smucker Co. / GS1 / Financial InterGroup, From External Meeting on 6/8/2011

 

06/08/2011

Excerpts from ASIA Project
JM Smucker Co. / GS1 / Financial InterGroup, From External Meeting on 6/8/2011

 

06/08/2011

Transcript: Swap Data Recordkeeping and Reporting Requirements Roundtable
CFTC

 

06/08/2011

Questions from GS1 to the global SOI steering committee - May 2011
JM Smucker Co. / GS1 / Financial InterGroup, From External Meeting on 6/8/2011

 

06/07/2011

OTC Swap Exposure Management - triResolve
TriOptima, From External Meeting on 6/7/2011

 

05/18/2011

35365PJDi_Giammarino[1]_775
From External Meeting on 5/18/2011

 

05/09/2011

Product Representation for Standardized Derivatives
ISDA, From External Meeting on 5/9/2011

 

04/27/2011

OFR/SEC/CFTC Meeting
GS1, From External Meeting on 4/27/2011

 

04/21/2011

Product Representation for Standardized Derivatives (White Paper)
ISDA, From External Meeting on 4/21/2011

 

04/12/2011

Transcript of Open Meeting on the Thirteenth Series of Proposed Rulemakings Under the Dodd-Frank Act
CFTC

 

04/08/2011

April 11 Mtg. Summary with Rabobank_752
From External Meeting on 4/8/2011

 

03/01/2011

Data Reporting and Universal ID Requirements
DTCC

 

03/01/2011

Division of Market Oversight Presentation to TAC Meeting
CFTC Division of Market Oversight

 

03/01/2011

Recommended Practices for Trading Firms, Clearing Firms and Exchanges Involved in Direct market Access
CFTC Pre-Trade Functionality Subcommittee

 

03/01/2011

Recommendations on Pre-Trade Practices for Trading Firms, Clearing Firms and Exchanges involved in Direct Market Access
CFTC Pre-Trade Functionality Subcommittee

 

03/01/2011

Technology applications needed to implement pre-trade risk management controls for DMA and Sponsored access clients
Newedge

 

03/01/2011

Technology Implications and Costs of Dodd-Frank on Financial Markets
TABB Group

 

03/01/2011

Presentation to the CFTC Technology Advisory Committee (TAC)
BlackRock

 

03/01/2011

Where is the Value in High Frequency Trading?
Álvaro Cartea and José Penalva

 

02/04/2011

Barclays Capital comment letter on the phase-in of clearing, execution and reporting requirements for swaps and security based swaps mandated by the Dodd Frank Act
Dmitry Binkevich, Barclays Capital

 

02/02/2011

02022011 NFP_473
NFP Energy End Users, From External Meeting on 2/2/2011

 

01/28/2011

Public roundtable to discuss swap data recordkeeping and reporting requirements_460
CFTC Transcript

 

01/28/2011

Transcript of Public Roundtable to Discuss Swap Data Recordkeeping and Reporting Requirements
CFTC

 

12/28/2010

Comment Letter regarding Position Reports for Physical Commodity Swaps
Barron, Melody R.

 

12/28/2010

Pre-NOPR Comment Letter to Data Record-Keeping and Reporting
Barron, Melody R.

 

12/09/2010

Transcript of Open Meeting on the Seven Series of Proposed Rulemakings Under the Dodd-Frank Act
CFTC

 

12/01/2010

Transcript of Open Meeting on the Six Series of Proposed Rulemakings Under the Dodd-Frank Act
CFTC

 

11/30/2010

Credit default Swap (CDS) Products
Blackrock

 

11/30/2010

Interest Rate Swap (IRS) Products
Blackrock

 

11/30/2010

Conference Call
Blackrock

 

11/30/2010

BlackRock-Conference call 11-30-2010_368
BlackRock, From External Meeting on 11/30/2010

 

11/30/2010

TradeExecutionLiquidity_368
BlackRock, From External Meeting on 11/30/2010

 

11/30/2010

Tiers of trade sizesCDSv2_368
BlackRock, From External Meeting on 11/30/2010

 

11/24/2010

SEF Letter
SIFMA

 

11/19/2010

Transcript of Open Meeting on the Fifth Series of Proposed Rulemakings Under the Dodd-Frank Act
CFTC

 

11/17/2010

OTC Derivative Data November 2010
NASDAQ OMX

 

11/17/2010

OTC Derivative Data November 2010 NASDAQ OMX_334
NASDAQ OMX, From External Meeting on 11/17/2010

 

11/03/2010

Meeting Participants
OTC Derivatives Regulators? Forum

 

11/03/2010

Trade Repositories
DTCC

 

11/03/2010

Meeting Participants
OTC Derivatives Regulators? Forum

 

11/03/2010

Proposed Agenda
OTC Derivatives Regulators? Forum

 

11/03/2010

DTCC Derivatives Repository Ltd_ODRF_PUBLIC_329
DTCC, From External Meeting on 11/3/2010

 

11/03/2010

ODRF_3 Nov Meeting_TR Attendees (3 Nov)_329
OTC Derivatives Regulators’ Forum, From External Meeting on 11/3/2010

 

11/03/2010

Summary of ODRF meeting_2 -3 Nov_Final_329
OTC Derivatives Regulators Forum, From External Meeting on 11/3/2010

 

11/03/2010

ODRF_ 3 Nov Agenda_TR Session (22 October)_329
OTC Derivatives Regulators’ Forum, From External Meeting on 11/3/2010

 

10/28/2010

SDR Comment Letter
TriOptima

 

10/19/2010

Swap Execution Facility (SEF) discussion
BlackRock

 

10/19/2010

(10-19-10) Presentation Materials - BlackRock_182
BlackRock, From External Meeting on 10/19/2010

 

09/17/2010

Agenda of 9-17 CFTC-SEC Meeting with Pension Plans
PPPS

 

09/17/2010

Comments of American Benefits Council Provided at 9-17 CFTC Meeting
ABC

 

09/17/2010

Comments of American Benefits Council Provided at 9-17 CFTC Meeting_25
American Benefits Council, From External Meeting on 9/17/2010

 

09/17/2010

Agenda of 9-17 CFTC-SEC Meeting with Pension Plans_25
American Benefits Council, From External Meeting on 9/17/2010

 

09/15/2010

AGENDA: Meeting of the ?NFP Energy End User Coalition?
NFP Energy End User Coalition

 

09/15/2010

CFTC Agenda - September 15 20101 (2)_26
NFP Energy End User Coalition, From External Meeting on 9/15/2010

 

09/01/2010

Argus Oil Market Regulation Summit 2010
Argus

 

09/01/2010

dmb argus_72
Argus Oil Market Regulation Summit 2010

 

08/23/2010

Electric Power Supply Association (ESPA)
Daniel Dolan

 

08/03/2010

Title VII Rulemakings
SEC/CFTC and ISDA/SIFMA