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Date
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Public Meeting
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Proposed Actions
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Final Actions
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| 12/08/2020 |
Fifty Third Meeting
|
|
17 CFR Part 38 Electronic Trading Risk Principles |
| 11/02/2020 |
Fifty Second Meeting
|
|
85 FR 76428 17 CFR Part 50 Swap Clearing Requirement Exemptions |
| 10/15/2020 |
Fifty First Meeting |
|
85 FR 71246 17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
85 FR 78718: 17 CFR Part 3 Exemption from Registration for Certain Foreign Intermediaries
86 FR 3236: 17 CFR Parts 1, 15, 17, 19, 40, 140, 150 and 151 Position Limits for Derivatives
|
| 10/06/2020 |
Fiftieth Meeting |
|
85 FR 26378 17 CFR Part 4 Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR
|
| 09/17/2020 |
Forty Ninth Meeting
|
|
85 FR 67160 17 CFR Parts 39 and 140 Registration with Alternative Compliance for Non-U.S. Derivatives Clearing Organizations
85 FR 75422 17 CFR Part 43 Real-Time Public Reporting Requirements
85 FR 75503 17 CFR Parts 45, 46, and 49 Swap Data Recordkeeping and Reporting Requirements
85 FR 75601 17 CFR Parts 43, 45, and 49 Amendments to Regulations Relating to Certain Swap Data Repository and Data Reporting Requirements
|
| 07/23/2020 |
Forty Eighth Meeting
|
|
85 FR 56924: 17 CFR Part 23 Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants
|
| 07/22/2020 |
Forty Seventh Meeting
|
|
85 FR 57562: 17 CFR Parts 1, 23, and 140 Capital Requirements of Swap Dealers and Major Swap Participants
|
|
04/25/2020
|
Forty Sixth Meeting
|
85 FR 41463: 17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
|
85 FR 44693: 17 CFR Part 37 Post-Trade Name Give-Up on Swap Execution Facilities
85 FR 44170: 17 CFR Part 50 Exemption From the Swap Clearing Requirement for Certain Affiliated Entities--Alternative Compliance Frameworks for Anti-Evasionary Measures
|
| 04/14/2020 |
Forty Fifth Meeting
|
85 FR 26378 17 CFR Part 4 Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR
17 CFR Part 50 Amendments to Swap Clearing Requirement Exemptions |
85 FR 27674 17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
|
| 02/20/2020 |
Forty Fourth Meeting |
85 FR 21516 17 CFR Part 43 Amendments to the Real-Time Public Reporting Requirements
85 FR 21578 17 CFR Parts 45, 46, and 49 Amendments to the Swap Data Recordkeeping and Reporting Requirements
85 FR 21339 17 CFR Parts 23, 43, 45, and 49 Certain Swap Data Repository and Data Reporting Requirement
|
|
| 01/30/2020 |
Forty Third Meeting
|
85 FR 11596 17 CFR Parts 1, 15, 17, 19, 40, 140, 150 and 151 Position Limits for Derivatives
85 FR 9407: 17 CFR Parts 36, 37, and 43 Swap Execution Facility Requirements and Real-Time Reporting Requirements
|
|
| 12/18/2019 |
Forty Second Meeting |
84 FR 72262: 17 CFR Part 37 Post-Trade Name Give-Up on Swap Execution Facilities
81 FR 952: 17 CFR Part 23 Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants
|
85 FR 4800: 17 CFR Parts 1, 39, and 140 Derivatives Clearing Organization General Provisions and Core Principles
|
| 12/10/2019 |
Forty First Meeting |
84 FR 69446: 17 CFR Parts 1, 23, and 140 Capital Requirements of Swap Dealers and Major Swap Participants
84 FR 70446: 17 CFR Part 50 Exemption From the Swap Clearing Requirement for Certain Affiliated Entities--Alternative Compliance Frameworks for Anti-Evasionary Measures
|
|
| 10/16/2019 |
Fortieth Meeting |
84 FR 56392: 17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
84 FR 56950: 17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
|
|
|
07/11/2019
|
Thirty Ninth Meeting
|
84 FR 35376: 17 CFR Parts 39 and 140 Registration with Alternative Compliance for Non-U.S. Derivatives Clearing Organizations
84 FR 34819: 17 CFR Parts 3, 39 and 140 Exemption from Derivatives Clearing Organization Registration
84 FR 36434: Commodity Futures Trading Commission 17 CFR Part 41 Securities and Exchange Commission 17 CFR Part 242
|
|
|
03/25/2019
|
Thirty Eighth Meeting
|
|
84 FR 12065: 17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participant
84 FR 12450: 17 CFR Part 1 De Minimis Exception to the Swap Dealer Definition--Swaps Entered Into by Insured Depository Institutions in Connection With Loans to Customers
|
|
11/05/2018
|
Thirty Seventh Meeting
|
83 FR 61946: 17 CFR Parts 9, 36, 37, 38, 39, and 43 Swap Execution Facilities and Trade Execution Requirement
|
83 FR 56666: 17 CFR Part 1 De Minimis Exception to the Swap Dealer Definition
|
|
11/03/2016
|
Thirty Sixth Meeting
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81 FR 85334: 17 CFR Parts 1, 38, 40, and 170 Regulation Automated Trading
|
|
|
09/07/2016
|
Thirty Fifth Meeting
|
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81 FR 64272: 17 CFR Parts 37, 38, and 49 System Safeguards Testing Requirements
|
|
12/16/2015
|
Thirty Fourth Meeting
|
80 FR 80139: 17 CFR Parts 37, 38, and 49 System Safeguards Testing Requirements
80 FR 80113: 17 CFR Part 39 System Safeguards Testing Requirements for Derivatives Clearing Organizations
|
81 FR 636: 17 CFR Parts 23 and 140 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
|
|
11/24/2015
|
Thirty Third Meeting
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80 FR 78824: 17 CFR Parts 1, 38, 40, and 170, Regulation Automated Trading
|
|
|
09/17/2014
|
Thirty Second Meeting
|
79 FR 59898: 17 CFR Parts 23 and 140 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
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79 FR 57767: 17 CFR Part 1 Exclusion of Utility Operations-Related Swaps With Utility Special Entities From De Minimis
|
|
11/05/2013
|
Thirty First Meeting
|
78 FR 75680: 17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives
78 FR 68946: 17 CFR Part 150 Aggregation of Positions
|
|
|
07/12/2013
|
Thirtieth Meeting
|
|
78 FR 43785: 17 CFR Chapter I Exemptive Order Regarding Compliance with Certain Swap Regulations
78 FR 45292: 17 CFR Chapter I Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations
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|
05/16/2013
|
Twenty-Ninth Meeting
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|
78 FR 32866: 17 CFR Part 43 Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades
78 FR 33476: 17 CFR Part 37 Core Principles and Other Requirements for Swap Execution Facilities
78 FR 36606: 17 CFR Parts 37 and 38 Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available to Trade, Swap Transaction Compliance and Implementation Schedule, and Trade Execution Requirement Under the Commodity Exchange Act
78 FR 31890: Anti-disruptive Practices Authority
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07/10/2012
|
Twenty-Eighth Meeting
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77 FR 41940: 17 CFR Part 39 Clearing Exemption for Certain Swaps Entered into by Cooperatives
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77 FR 42559: 17 CFR Part 39 End-User Exception to the Clearing Requirement for Swaps
77 FR 48207: 17 CFR Parts 230, 240 and 241 Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
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|
05/10/2012
|
Twenty-Seventh Meeting
|
|
77 FR 36611: 17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contract Market
|
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04/18/2012
|
Twenty-Sixth Meeting
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77 FR 30596: 17 CFR Part 240 Further Definition of ``Swap Dealer,'' ``Security-Based Swap Dealer,'' ``Major Swap Participant,'' ``Major Security-Based Swap Participant'' and ``Eligible Contract Participant''
77 FR 25320: 17 CFR Parts 3, 32, and 33 Final and Interim Final Rulemaking Regarding Commodity Options
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|
03/20/2012
|
Twenty-Fifth Meeting
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77 FR 21278: 17 CFR Parts 1, 23, 37, 38, and 39 Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management
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|
02/23/2012
|
Twenty-Fourth Meeting
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77 FR 15460: 17 CFR Part 43 Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades
|
77 FR 20128: 17 CFR Parts 1, 3, and 23 Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants
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01/11/2012
|
Twenty-Third Meeting
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77 FR 8332: 17 CFR Part 75 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Covered Funds
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77 FR 2708: Performance of Registration Functions by National Futures Association With Respect to Swap Dealers and Major Swap Participants
77 FR 6336: 17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
77 FR 9734: 17 CFR Parts 4 and 23 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
77 FR 2613: 17 CFR Parts 1, 3, 23, and 170 Registration of Swap Dealers and Major Swap Participants
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|
12/20/2011
|
Twenty-Second Meeting
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|
77 FR 1182: 17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
77 FR 2136: 17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements
76 FR 42508: 17 CFR Chapter 1 Effective Date for Swap Regulation
|
|
12/05/2011
|
Twenty-First Meeting
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76 FR 77728: 17 CFR Parts 37 and 38 Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available To Trade
|
76 FR 78776: 17 CFR Parts 1 and 30 Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions
76 FR 80674: 17 CFR Part 48 Registration of Foreign Boards of Trade
|
|
10/18/2011
|
Twentieth Meeting
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76 FR 65999: 17 CFR Chapter 1 Effective Date for Swap Regulation
|
76 FR 69334: 17 CFR Parts 1, 21, 39, and 140 Derivatives Clearing Organization General Provisions and Core Principles
76 FR 71626: 17 CFR Parts 1, 150 and 151 Position Limits for Futures and Swaps
|
|
09/08/2011
|
Nineteenth Meeting
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76 FR 58176: 17 CFR Part 23 Swap Transaction Compliance and Implementation Schedule: Trading Documentation and Margining Requirements Under Section 4s of the CEA
76 FR 58186: 17 CFR Parts 37, 38, and 39 Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA
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|
|
08/04/2011
|
Eighteenth Meeting
|
|
76 FR 49291: 17 CFR Part 35 Agricultural Swaps
76 FR 54538: 17 CFR Part 49 Swap Data Repositories: Registration Standards, Duties and Core Principles
76 FR 53172: 17 CFR Part 165 Whistleblower Incentives and Protection
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|
07/19/2011
|
Seventeenth Meeting
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76 FR 45730: 17 CFR Parts 1, 23, and 39 Customer Clearing Documentation and Timing of Acceptance for Clearing
76 FR 45724: 17 CFR Parts 1 and 23 Clearing Member Risk Management
|
76 FR 44776: 17 CFR Part 40 Provisions Common to Registered Entities
76 FR 44464: 17 CFR Parts 39 and 140 Process for Review of Swaps for Mandatory Clearing
76 FR 44262: 17 CFR Parts 1 and 4 Removing Any Reference to or Reliance on Credit Ratings in Commission Regulations; Proposing Alternatives to the Use of Credit Ratings
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|
07/07/2011
|
Sixteenth Meeting
|
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76 FR 41398: 17 CFR Part 180 Prohibition on the Employment, or Attempted Employment, of Manipulative and Deceptive Devices and Prohibition on Price Manipulation
76 FR 41048: 17 CFR Part 1 Agricultural Commodity Definition
76 FR 43879: 17 CFR Part 162 Business Affiliate Marketing and Disposal of Consumer Information Rules
76 FR 43874: 17 CFR Part 160 Privacy of Consumer Financial Information; Conforming Amendments Under Dodd-Frank Act
76 FR 43851: 17 CFR Parts 15 and 20 Large Trader Reporting for Physical Commodity Swaps
Large Trader Reporting for Physical Commodity Swaps
|
|
06/14/2011
|
Fifteenth Meeting
|
76 FR 35372: 17 CFR Chapter 1 Effective Date for Swap Regulation
|
|
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04/27/2011
|
Fourteenth Meeting
|
76 FR 33066: 17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166 Adaptation of Regulations to Incorporate Swaps
76 FR 33818: 17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
76 FR 27802: 17 CFR Parts 1, 23, and 140 Capital Requirements of Swap Dealers and Major Swap Participants
76 FR 29818: 17 CFR Part 240 Further Definition of ‘‘Swap,’’ ‘‘Security-Based Swap,’’ and ‘‘Security-Based Swap Agreement’’; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
|
76 FR 27621: 17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
|
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04/12/2011
|
Thirteenth Meeting
|
76 FR 23732: 17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
|
|
|
02/24/2011
|
Twelfth Meeting
|
76 FR 11701: 17 CFR Part 4 Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act
76 FR 13101: 17 CFR Parts 23, 37, 38, and 39 Requirements for Processing, Clearing, and Transfer of Customer Positions
76 FR 12888: 17 CFR Part 3 Registration of Intermediaries
76 FR 14943: Antidisruptive Practices Authority, Proposed Interpretive Order
76 FR 14826: 17 CFR Chapter I Antidisruptive Practices Authority
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|
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01/26/2011
|
Eleventh Meeting
|
76 FR 8068: 17 CFR Part 4 Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
76 FR 7976: 17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
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|
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01/20/2011
|
Tenth Meeting
|
76 FR 6095: 17 CFR Parts 3, 32, 33, and 35 Commodity Options and Agricultural Swap
76 FR 6708: 17 CFR Part 23 Orderly Liquidation Termination Provision in Swap Trading Relationship Documentation for Swap Dealers and Major Swap Participants
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|
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01/13/2011
|
Ninth Meeting
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76 FR 4752: 17 CFR Parts 1, 150 and 151 Position Limits for Derivatives
76 FR 6715: 17 CFR Part 23 Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants
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|
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12/16/2010
|
Eighth Meeting
|
76 FR 722: 17 CFR Parts 1, 37, 38, 39, and 40 Governance Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and
Swap Execution Facilities; Additional Requirements Regarding the Mitigation of Conflicts of Interest
75 FR 81519: 17 CFR Part 23 Confirmation, Portfolio Reconciliation, and Portfolio Compression Requirements for Swap Dealers and Major Swap Participants
76 FR 3698: 17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations
76 FR 4752: 17 CFR Parts 1, 150 and 151; Position Limits for Derivatives
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|
|
12/09/2010
|
Seventh Meeting
|
75 FR 80747: 17 CFR Part 39 End-User Exception to Mandatory Clearing of Swaps
76 FR 722: 17 CFR Parts 1, 37, 38, 39, and 40 Governance Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities; Additional Requirements Regarding the Mitigation of Conflicts of Interest
75 FR 80638: 17 CFR Parts 23 and 155 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties; Proposed Rule
|
75 FR 78892: 17 CFR Part 44 Reporting Certain Post-Enactment Swap Transactions
|
|
12/01/2010
|
Sixth Meeting
|
75 FR 76666; 17 CFR Part 23 Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap
Participants
75 FR 80572: 17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contract Markets
75 FR 77576: 17 CFR Parts 1 and 39 General Regulations and Derivatives Clearing Organizations
75 FR 80174: 17 CFR Part 240 Further Definition of ‘‘Swap Dealer,’’ "Security-Based Swap Dealer,’’ ‘‘Major Swap Participant,’’ ‘‘Major Security- Based Swap Participant’’ and ‘‘Eligible Contract Participant’’
|
|
|
11/19/2010
|
Fifth Meeting
|
75 FR 75162: 17 CFR Part 190 Protection of Cleared Swaps Customers Before and After Commodity Broker Bankruptcies
75 FR 75432: 17 CFR Parts 23 and 190 Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy
75 FR 76140: 17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
75 FR 76930: 17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data (Correction)
75 FR 80898: 17 CFR Part 49 Swap Data Repositories
|
|
|
11/10/2010
|
Fourth Meeting
|
75 FR 70974: 17 CFR Part 48 Registration of Foreign Boards of Trade
75 FR 70881: 17 CFR Part 3 Designation of a Chief Compliance Officer; Required Compliance Policies; and Annual Report of a Futures Commission Merchant, Swap Dealer, or Major Swap Participant
75 FR 71397: 17 CFR Part 23 Regulations Establishing and Governing the Duties of Swap Dealers and Major Swap Participants
75 FR 71391: 17 CFR Part 23 Implementation of Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants
75 FR 71379: 17 CFR Parts 3, 23 and 170 Registration of Swap Dealers and Major Swap Participants
75 FR 75728: 17 CFR Part 165 Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act
|
|
|
10/26/2010
|
Third Meeting
|
75 FR 67301: 17 CFR Chapter I Antidisruptive Practices Authority Contained in the Dodd-Frank Wall Street Reform and Consumer Protection Act
75 FR 67657: 17 CFR Part 180 Prohibition of Market Manipulation
75 FR 67277: 17 CFR Parts 39 and 140 Process for Review of Swaps for Mandatory Clearing
75 FR 67254: 17 CFR Parts 1 and 4 Removing Any Reference to or Reliance on Credit Ratings in Commission Regulations; Proposing Alternatives to the Use of Credit Ratings
75 FR 67642: 17 CFR Parts 1 and 30 Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions
75 FR 67282: 17 CFR Part 40 Provisions Common to Registered Entities
|
|
|
10/19/2010
|
Second Meeting
|
75 FR 59666: 17 CFR Part 35 Agricultural Swaps
75 FR 65586: 17 CFR Part 1 Agricultural Commodity Definition
75 FR 66018: 17 CFR Part 162 Business Affiliate Marketing and Disposal of Consumer Information Rules
75 FR 66014: 17 CFR Part 160 Privacy of Consumer Financial Information; Conforming Amendments Under Dodd-Frank Act
|
|
|
10/01/2010
|
First Meeting
|
75 FR 63732: 17 CFR Parts 1, 37, 38, 39, and 40 Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities Regarding the Mitigation of Conflicts of Interest
75 FR 63113: 17 CFR Parts 39 and 140 Financial Resources Requirements for Derivatives Clearing Organizations
|
75 FR 63080: 17 CFR Part 44 Interim Final Rule for Reporting Pre-Enactment Swap Transactions
|
