March 22, 2013

CFTC Announces Procedures for Submission of Risk Exposure Reports and Chief Compliance Officer Annual Reports by Swap Dealers and Major Swap Participants

Washington, DC — The Commodity Futures Trading Commission (CFTC) today announced the procedures to be used by swap dealers and major swap participants for submitting Risk Exposure Reports and Chief Compliance Officer Annual Reports.

The Commission’s Regulations provide as follows:

• Commission Regulation 3.3(f) requires that each SD and MSP furnish electronically to the Commission a copy of the Annual Report of the SD’s or MSP’s Chief Compliance Officer not more than 90 days after the end of the fiscal year of the SD or MSP.
• Commission Regulation 23.600(c)(2)(ii) requires that each SD and MSP furnish copies of its Risk Exposure Reports to the Commission within five (5) business days of providing such reports to its senior management.

To comply with these Regulations, swap dealers and major swap participants must submit the reports through the CFTC website, at the following address: https://forms.cftc.gov/Forms/SDAndMSPReport.

Reports should be filed in a readable PDF format.

Last Updated: March 22, 2013