Swap Data Repositories Registration

Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation & Guidance

The Commission issued final rules to implement the Registration Provisions and Core Principles for Swap Data Respositories in § 728 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

The Commission finalized an Interpretive Statement regarding the Confidentiality and indemnification provisions of § 21(d) of the Commodity Exchange Act.

Additional information and details of meetings held between CFTC staff and outside parties.  

Related Federal Register Releases

Final Rule: 85 FR 75601 // PDF Version
11/25/2020
17 CFR Parts 43, 45, and 49 
Certain Swap Data Repository and Data Reporting Requirements
Effective Date: Monday, January 25, 2021

See also:
84 FR 21044, 5/13/2019 // PDF Version
17 CFR Parts 23, 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements

Proposed Rule:  85 FR 21339 // PDF Version
4/17/2020
17 CFR Parts 23, 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements

Propose Rule: 84 FR 21044 // PDF Version
5/13/2019
17 CFR Parts 23, 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements
Comment File – Extended Date:1/27/2020

See also:

84 FR 35847, // PDF Version
17 CFR Parts 23, 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements; Extension of Comment Period

84 FR 57831, // PDF Version
17 CFR Parts 23, 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements

Interim Final Rule:  79 FR 16672 // PDF Version
3/26/2014
17 CFR Part 49
Swap Data Repositories--Access to SDR Data by Market Participants
Comment File - Closing Date: 4/25/2014
Effective Date: Wednesday, March 26, 2014

Proposed Interpretative Statement: 77 FR 26709 // PDF Version
17 CFR Part 49
Swap Data Repositories: Interpretative Statement Regarding the Confidentiality and Indemnification Provisions of Section 21(d) of the Commodity Exchange Act
Comment File - Closing Date: 6/6/2012

Interpretive Statement: 77 FR 65177 // PDF Version
10/25/2012
Swap Data Repositories: Interpretative Statement the Confidentiality and Indemnification Provisions of the Commodity Exchange Act
Effective Date: Thursday, October 25, 2012

Final Rule: 76 FR 54538 // PDF Version
9/1/2011
17 CFR Part 49
Swap Data Repositories: Registration Standards, Duties and Core Principles
Effective Date: Monday, October 31, 2011

Proposed Rule: 75 FR 80898 // PDF Version
12/23/2010
17 CFR Part 49
Swap Data Repositories
Comment File - Extended Date: 6/3/2011

Proposed Rule: 75 FR 63080 // PDF Version
10/14/2010
17 CFR Part 44
Interim Final Rule for Reporting Pre-Enactment Swap Transactions
Comment File - Closing Date: 11/15/2010

Additional Information

Fact Sheet: Final Rules Regarding Registration and Regulation of Swap Data Repositories

Q&A: Final Rulemaking on Part 49 (SDRs)

Event: Open Meeting on Three Final Rule Proposals under the Dodd-Frank Act

Fact Sheet: Proposed Rule on Registration and Regulation of Swap Data Repositories

Q&A: Registration and Regulation of Swap Data Repositories

Event: Open Meeting on Fifth Series of Proposed Rules under the Dodd-Frank Act

Fact Sheet for Interim Final Rule Regarding Reporting of Pre-enactment Swap Transactions

Final Rulemaking Q&A: Interim Final Rule

Event: Open Meeting on First Series of Proposed Rules under the Dodd-Frank Act

Date
SUBMISSION
03/14/2012
Evercore 2012 Boca Dinner Attendees_1440 PDF Image
From External Meeting on 3/14/2012
08/04/2011
Transcript: Open Meeting on Three Final Rule Proposals Under the Dodd-Frank Act PDF Image
CFTC
11/19/2010
Transcript of Open Meeting on the Fifth Series of Proposed Rulemakings Under the Dodd-Frank Act PDF Image
CFTC
11/03/2010
Trade Repositories PDF Image
DTCC
11/03/2010
Meeting Participants PDF Image
OTC Derivatives Regulators? Forum
11/03/2010
Meeting Participants PDF Image
OTC Derivatives Regulators? Forum
11/03/2010
Proposed Agenda PDF Image
OTC Derivatives Regulators? Forum
11/03/2010
Summary of ODRF meeting_2 -3 Nov_Final_329 PDF Image
OTC Derivatives Regulators Forum, From External Meeting on 11/3/2010
11/03/2010
DTCC Derivatives Repository Ltd_ODRF_PUBLIC_329 PDF Image
DTCC, From External Meeting on 11/3/2010
11/03/2010
ODRF_3 Nov Meeting_TR Attendees (3 Nov)_329 PDF Image
OTC Derivatives Regulators’ Forum, From External Meeting on 11/3/2010
11/03/2010
ODRF_ 3 Nov Agenda_TR Session (22 October)_329 PDF Image
OTC Derivatives Regulators’ Forum, From External Meeting on 11/3/2010
10/19/2010
Swap Execution Facility (SEF) discussion PDF Image
BlackRock
10/19/2010
(10-19-10) Presentation Materials - BlackRock_182 PDF Image
BlackRock, From External Meeting on 10/19/2010
10/13/2010
Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation and Guidance PDF Image
SNL Energy
10/12/2010
Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation and Guidance PDF Image
SNL Energy
10/08/2010
Re: XVI. Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation & Guidance PDF Image
IntercontinentalExchange
09/17/2010
Comments of American Benefits Council Provided at 9-17 CFTC Meeting PDF Image
ABC
09/17/2010
Agenda of 9-17 CFTC-SEC Meeting with Pension Plans PDF Image
PPPS
09/17/2010
Comments of American Benefits Council Provided at 9-17 CFTC Meeting_25 PDF Image
American Benefits Council, From External Meeting on 9/17/2010
09/17/2010
Agenda of 9-17 CFTC-SEC Meeting with Pension Plans_25 PDF Image
American Benefits Council, From External Meeting on 9/17/2010
09/01/2010
Argus Oil Market Regulation Summit 2010 PDF Image
Argus
09/01/2010
dmb argus_72 PDF Image
Argus Oil Market Regulation Summit 2010
07/29/2010
Uploading Portfolios to triResolve - Getting Started PDF Image
TriOptima
07/29/2010
Interest Rate Trade Repository Report PDF Image
TriOptima
07/29/2010
Interest Rate Trade Reporting Repository (irTrr) Data Fields Specification PDF Image
TriOptima
07/29/2010
DTCC Deriv/SERV Trade Information Warehouse (TIW) from Depository Trust & Clearing Corporation PDF Image
DTCC