The Commission has issued finalized and proposed rules to conform existing regulations to requirements included in the Dodd-Frank Wall Street Reform and Consumer Protection Act.
A list of final and proposed rules for this topic, along with other related Federal Register notices, is provided below.
Related Federal Register Releases
Proposed Rule: 82 FR 8369 // PDF Version
1/25/2017
17 CFR Part 49
Proposed Amendments To Swap Data Access Provisions and Certain Other Matters
Comment File - Closing Date: 3/27/2017
Proposed Rule: 82 FR 7738 // PDF Version
1/23/2017
17 CFR Parts 3 and 9
Technical Amendments to Rules on Registration and Review of Exchange Disciplinary, Access Denial or Other Adverse Actions
Comment File - Closing Date: 3/24/2017
Proposed Rules: 82 FR 6356 // PDF Version
17 CFR Parts 1 and 23
Recordkeeping
Comment File - Closing Date: 3/20/2017
Proposed Rule: 79 FR 68140 // PDF Version
11/14/2014
17 CFR Part 1
Records of Commodity Interest and Related Cash or Forward Transactions
Comment File - Closing Date: 1/13/2015
Final Rule Correction: 78 FR 21045 // PDF Version
4/9/2013
17 CFR Part 1
Adaptation of Regulations to Incorporate Swaps--Records of Transactions; Correction
Effective Date: Tuesday, April 09, 2013
Final Rule: 78 FR 20788 // PDF Version
4/8/2013
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
Final Rule: 77 FR 75523 // PDF Version
12/21/2012
17 CFR Part 1
Adaptation of Regulations To Incorporate Swaps--Records of Transactions
Effective Date: Tuesday, February 19, 2013
Final Rule: 77 FR 66288 // PDF Version
11/2/2012
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
Final Rule: 77 FR 54355 // PDF Version
9/5/2012
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
Final Rule: 77 FR 51898 // PDF Version
8/28/2012
17 CFR Part 3
Registration of Intermediaries
Effective Date: Monday, October 29, 2012
Final Rule: 77 FR 41260 // PDF Version
07/13/2012
17 CFR Chapter 1
Second Amendment to July 14, 2011 Order for Swap Regulation
Effective Date: Tuesday, July 03, 2012
Final Rule: 76 FR 80233 // PDF Version
12/23/2011
17 CFR Chapter 1
Amendment to July 14, 2011 Order for Swap Regulation
Effective Date: December 23, 2011
Proposed Rule: 76 FR 33066 // PDF Version
6/7/2011
17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166 Adaptation of Regulations to Incorporate Swaps
Comment File - Closing Date: 8/8/2011
----See Also----
Related Document: Adaptation of Regulations - Redline
Proposed Rule: 76 FR 12888 // PDF Version
3/9/2011
17 CFR Part 3 Registration of Intermediaries
Comment File - Extended Date: 6/3/2011
Proposed Rule: 76 FR 11701 // PDF Version
3/3/2011
17 CFR Part 4 Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act
Comment File - Extended Date: 6/3/2011
Additional Information
Fact Sheet: Proposed Rulemaking on Amendments to Adapt Certain CFTC Regulations to the Dodd-Frank Act
Q&A: Amendments to Adapt Certain CFTC Regulations to the Dodd-Frank Act
Event: Open Meeting on Fourteenth Series of Proposed Rules under the Dodd-Frank Act
Fact Sheet: Proposed Rule on Registration of Intermediaries
Q&A: Proposed Rule on Registration of Intermediaries
Fact Sheet: Proposed Rule Regarding Conforming Amendments to Regulations Applicable to Commodity Pool Operators and Commodity Trading Advisors
Q&A: Proposed Rule Regarding Conforming Amendments to Regulations Applicable to Commodity Pool Operators and Commodity Trading Advisors
Event: Open Meeting on Twelfth Series of Proposed Rules under the Dodd-Frank Act
