The Commission finalized rules to implement the Dodd-Frank Wall Street Reform and Consumer Protection Act related to Real-Time Reporting.
The Commission issued proposed rules to address Block Sizes for Large Notational Off-Facility Swaps and Block Trades and Measures to Protect the Identities of Counterparties.
The Commission issued proposed rules Prohibiting the Aggregation of Orders to Satisfy Minimum Block Size or Cap Size Requirements, and Establishing Requirements for Parties to Block Trades.
Additional information is provided below, including factsheets for the proposed rules, and details of meetings held between CFTC staff and outside parties.
Related Federal Register Releases
Final Rule: 78 FR 32866 // PDF Version
05/31/2013
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
----See Also----
78 FR 42436 // PDF Version
7/16/2013
17 CFR Part 43
Correction: Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility
Swaps and Block Trades; Correction
Proposed Rule: 77 FR 15460 // PDF Version
3/15/201217 CFR Part 43 Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades
Comment File - Closing Date: 5/14/2012
Final Rule: 77 FR 1182 // PDF Version
1/9/2012
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
Effective Date: March 9, 2012
----See Also----
77 FR 2909 // PDF Version
1/20/2011
Correction: 17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data; Correction
Proposed Rule: 75 FR 76139 // PDF Version
12/7/2010
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
Comment File – Closing Date: 2/7/2011
Proposed Rule (Correction): 75 FR 76930 // PDF Version
12/10/2010
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data Correction
Additional Information
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
Fact Sheet: Final Rulemaking on Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Further Measures to Protect the Identities of Parties to Swap Transactions
Questions & Answers: Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Further Measures to Protect the Identities of Parties to Swap Transactions
Fact Sheet: Proposed Rule on Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Further Measures to Protect the Identities of Parties to Swap Transactions (Reproposal)
Q&A: Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Further Measures to Protect the Identities of Parties to Swap Transactions (Reproposal)
Event: CFTC Open Meeting on One Final Rule and One Proposed Rule
Fact Sheet: Final Rules Regarding Real-Time Public Reporting of Swap Transaction and Pricing Data
Q&A: Final Rulemaking: Part 43 (Real-Time Public Reporting)
See also:
– Phase In – Real-Time Public Reporting Compliance Dates and Time Delays for Public Dissemination
– Apendix C – Time Delays for Public Dissemination
– Real-Time Public Reporting (Part 43) Breakdown of Notional Caps
Event: CFTC to Hold Open Meeting to Consider Two Final Rules
Fact Sheet: Proposed Rule on Real Time Public Reporting of Swap Transaction and Pricing Data
Q&A: Real-Time Public Reporting Proposed Rulemaking
Event: Open Meeting on Fifth Series of Proposed Rules under the Dodd-Frank Act