Final Rules, Orders, and Guidance
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Dodd-Frank Final Rules, Guidance and Orders
The Commodity Futures Trading Commission is in the process of implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act. Under Dodd-Frank, in August 2010, the Commission began issuing proposed rules and soliciting public comment.
View Dodd-Frank Proposed Rules
The finalization process is ongoing. The CFTC has now finalized 33 final rules and guidance and 7 final orders.
Dodd-Frank Title VII Final Rules and Interpretive Orders the CFTC may consider in 2012
Final Rules & Guidance
Publication
DateFinal Rule Details
Upcoming PDF Version
17 CFR Part 46
Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps
Regarding Rulemaking: XVII. Data Recording & Reporting RequirementsUpcoming PDF Version
17 CFR Parts, 1, 16, and 38Core Principles and Other Requirements for Designated Contract Markets
Regarding Rulemaking: XII. DCM Core Principle Rulemaking, Interpretation & GuidanceUpcoming 17 CFR Part 1 Securities and Exchange Commission 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"
Regarding Rulemaking: II. Definitions
Effective Date: 60 days after date of Publication in the Federal Register4/27/2012 17 CFR Parts 3, 32, and 33
Commodity Options
Regarding Rulemaking: XIX. Agricultural Swaps
Effective Date: Tuesday, June 26, 20124/9/2012 17 CFR Parts 1,23,37,38, and 39
Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management
Regarding Rulemaking: VII. DCO Core Principles
Effective Date: October 1, 20124/3/2012 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 MerchantsRegarding Rulemaking: IV. Internal Business Conduct Standards
Effective Date: June 4, 20122/24/2012
77 FR 17328 // PDF Version
17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations; Correction April 26., 2012See Also
17 CFR Parts 4, 145 and 147
Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
Regarding Rulemaking: XXVII. Investment Adviser Reporting
Effective Date: April 24, 20122/17/2012 17 CFR Parts 4 and 23
Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
Regarding Rulemaking: III. Business Conduct Standards w/ Counterparties
Effective Date: April 17, 2012See also: EBSA Letter to CFTC Regarding: Business Conduct Standards Rules
2/7/2012 17 CFR Parts 22 and 190
Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
Regarding Rulemaking: VI. Segregation & Bankruptcy
Effective Date: April 9, 20121/19/2012 17 CFR Parts 3, 23 and 170
Registration of Swap Dealers and Major Swap Participants
Regarding Rulemaking: I. Registration
Effective Date: March 19, 20121/13/2012 17 CFR Part 45
Swap Data Recordkeeping and Reporting Requirements
Regarding Rulemaking: XVII. Data Recordkeeping
Effective Date: March 13, 20121/9/2012 17 CFR Part 43
Real-Time Public Reporting of Swap Transaction Data
Regarding Rulemaking: XVIII. Real Time Reporting
Effective Date: March 9, 2012See Also
Correction: 17 CFR Part 43
Real-Time Public Reporting of Swap Transaction Data; Correction12/23/2011 17 CFR Part 48
Registration of Foreign Boards of Trade
Regarding Rulemaking: XIV. FBOT Registration
Effective Date: February 21, 201212/19/2011 17 CFR Parts 1 and 30
Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions
Regarding Rulemaking: XXIX. Alternatives to Credit Ratings
Effective Date: February 17, 201212/14/2011 17 CFR Part 1
Interim Final Interpretation: Retail Commodity Transactions Under Commodity Exchange ActComment File - Closing Date: 2/13/2012
11/18/2011 17 CFR Parts 1, 150 and 151
Position Limits for Futures and Swaps
Regarding Rulemaking: XXVI. Position Limits
Effective Date: January 17, 2012NOTE:The Interim Final Rule portion of this rule is open for comment until January 17, 2012.
Comment File11/16/2011 CFTC 17 CFR Part 4 and SEC 17 CFR Parts 275 and 279
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
Regarding Rulemaking: XXVII. Investment Adviser Reporting
Effective Date: March 31, 201211/8/2011 17 CFR Parts 1, 21, 39, and 140
Derivatives Clearing Organization General Provisions and Core Principles
Regarding Rulemaking: VII. DCO Core Principles
Effective Date: January 9, 20129/12/2011 17 CFR Part 5
Retail Foreign Exchange Transactions; Conforming Changes to Existing Regulations in Response to the Dodd-Frank Wall Street Reform and Consumer Protection Act
Regarding Rulemaking: XX. Foreign Exchange
Effective Date: September 12, 20119/1/2011 17 CFR Part 49
Swap Data Repositories: Registration Standards, Duties and Core Principles
Regarding Rulemaking: XVI. Swap Data Repositories Registration
Effective Date: October 31, 20118/25/2011 17 CFR Part 165
Final Rules for Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act
Regarding Rulemaking: XXV. Whistleblowers
Effective Date: October 24, 20118/10/2011 17 CFR Part 35
Agricultural Swaps
Regarding Rulemaking: XIX. Agricultural Swaps
Effective Date: December 31, 20117/27/2011 17 CFR Part 40
Provisions Common to Registered Entities
Regarding Rulemaking: XV. Rule Certification
Effective Date: September 26, 2011See Also
Correction: 17 CFR Part 40
Provisions Common to Registered Entities; Correction7/26/2011 17 CFR Parts 39 and 140
Process for Review of Swaps for Mandatory Clearing
Regarding Rulemaking: VIII. Process for Review of Swaps
Effective Date: September 26, 20117/25/2011 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
Regarding Rulemaking: XXIX. Alternatives to Credit Ratings
Effective Date: September 23, 20117/22/2011 17 CFR Parts 15 and 20
Large Trader Reporting for Physical Commodity Swaps
Regarding Rulemaking: XXXII. Large Swaps Trader Reporting
Effective Date: September 20, 2011Additional Information: Guidelines Regarding Large Trader Reporting for Physical Commodity Swaps
7/22/2011 17 CFR Part 160
Privacy of Consumer Financial Information; Conforming Amendments under Dodd-Frank Act
Regarding Rulemaking: XXX. FCRA and GLB
Effective Date: September 20, 20117/22/2011 17 CFR Part 162
Business Affiliate Marketing and Disposal of Consumer Information Rules
Regarding Rulemaking: XXX. FCRA and GLB
Effective Date: September 20, 20117/14/2011 17 CFR Part 180
Prohibition on the Employment, or Attempted Employment, of Manipulative and Deceptive Devices - Prohibition on Price Manipulation
Regarding Rulemaking: XXIII. Anti-Manipulation
Effective Date: August 15, 20117/13/2011 17 CFR Part 1
Agricultural Commodity Definition
Regarding Rulemaking: XIX. Agricultural Swaps
Effective Date: September 12, 201112/17/2010 17 CFR Part 44
Interim Final Rule: Reporting Certain Post-Enactment Swap Transactions
Regarding Rulemaking: XVII. Data Recordkeeping
Effective Date: December 17, 2010
Comment File - Closing Date: 1/18/201110/14/2010 17 CFR Part 44
Interim Final Rule for Reporting Pre-Enactment Swap Transactions
Regarding Rulemaking: XVI. Swap Data Repositories Registration
Effective Date: October 14, 2010
Comment File - Closing Date: 11/15/20109/10/2010 17 CFR Parts 1, 3, 4, 5, 10, 140, 145, 147, 160, and 166
Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries
Regarding Rulemaking: XX. Foreign Exchange
Effective Date: October 18, 2010Final Orders
Publication
DateFinal Order Details
1/19/2012 Performance of Registration Functions by National Futures Association With Respect to Swap Dealers and Major Swap Participants
Effective Date: January 19, 201212/23/2011 17 CFR Chapter 1
Amendment to July 14, 2011 Order for Swap Regulation
Effective Date: December 23, 20117/19/2011 17 CFR Chapter 1
Effective Date for Swap Regulation
Effective Date: July 14, 20115/18/2011 Performance of Certain Functions by National Futures Association With Respect to Commodity Pool Operators
Effective Date: June 17, 20119/16/2010 Orders Regarding the Treatment of Petitions Seeking Grandfather Relief for Exempt Commercial Markets and Exempt Boards of Trade
Effective Date: September 10, 20109/16/2010 Notice Regarding the Treatment of Petitions Seeking Grandfather Relief for Trading Activity Done in Reliance Upon Section 2(h)(1)-(2) of the Commodity Exchange Act
Effective Date: September 10, 20109/10/2010 Performance of Registration Functions by National Futures Association With Respect to Retail Foreign Exchange Dealers and Associated Persons
Regarding Rulemaking: XX. Foreign Exchange
Effective Date: September 10, 2010
See Also:
