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Proposed Rules

Date
Proposed Rules
12/12/2013
78 FR 75680 // PDF Image PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives


11/15/2013
78 FR 68946 // PDF Image PDF Version

17 CFR Part 150 Aggregation of Positions


11/13/2013
78 FR 67985 // PDF Image PDF Version

17 CFR Part 170 Membership in a Registered Futures Association


11/08/2013
78 FR 67078 // PDF Image PDF Version

17 CFR Part 170 Membership in a Registered Futures Association


08/16/2013
78 FR 50260 // PDF Image PDF Version

17 CFR Parts 39, 140, and 190 Derivatives Clearing Organizations and International Standards


04/08/2013
78 FR 20848 // PDF Image PDF Version

17 CFR Part 23 Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees


01/18/2013
78 FR 4093 // PDF Image PDF Version

17 CFR Parts 1, 3, 22, 30 and 140 Extension of Comment Period for the Rulemaking Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations


01/07/2013
78 FR 909 // PDF Image PDF Version

17 CFR Chapter I Further Proposed Guidance Regarding Compliance With Certain Swap Regulations


01/02/2013
78 FR 17 // PDF Image PDF Version

17 CFR Part 23 Business Conduct and Documentation Requirements for Swap Dealers and Major Swap Participants; Extension of Compliance Date


11/14/2012
77 FR 67866 // PDF Image PDF Version

17 CFR Parts 1, 3, 22, 30, and 140 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations


10/02/2012
77 FR 60113 // PDF Image PDF Version

Commodity Futures Trading Commission and Securities and Exchange Commission Acceptance of Public Submissions Regarding the Study of Stable Value Contracts


08/28/2012
77 FR 52137 // PDF Image PDF Version

Proposed Order and Request for Comment on a Petition From Certain Independent System Operators and Regional Transmission Organizations To Exempt Specified Transactions Authorized by a Tariff or Protocol Approved by the Federal Energy Commission or the Public Utility Commission of Texas From Certain Provisions of the Commodity Exchange Act


08/23/2012
77 FR 50998 // PDF Image PDF Version

Proposal To Exempt Certain Transactions Involving Not-for-Profit Electric Utilities; Request for Comments


08/21/2012
77 FR 50425 // PDF Image PDF Version

17 CFR Part 39 Clearing Exemption for Swaps Between Certain Affiliated Entities


08/07/2012
77 FR 47169 // PDF Image PDF Version

17 CFR Part 50 Clearing Requirement Determination Under Section 2(h) of the CEA


07/26/2012
77 FR 43968 // PDF Image PDF Version

17 CFR Parts 15, 17, 18, and 20 Ownership and Control Reports, Forms 102/102S, 40/40S, and 71


07/17/2012
77 FR 41940 // PDF Image PDF Version

17 CFR Part 39 Clearing Exemption for Certain Swaps Entered Into by Cooperatives


07/12/2012
77 FR 41109 // PDF Image PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants


07/12/2012
77 FR 41110 // PDF Image PDF Version

17 CFR Chapter I Exemptive Order Regarding Compliance With Certain Swap Regulations


07/12/2012
77 FR 41213 // PDF Image PDF Version

17 CFR Chapter I Cross-Border Application of Certain Swaps Provisions of the Commodity Exchange Act


06/27/2012
77 FR 38229 // PDF Image PDF Version

17 CFR Part 43 Rules Prohibiting the Aggregation of Orders To Satisfy Minimum Block Sizes or Cap Size Requirements, and Establishing Eligibility Requirements for Parties to Block Trades


06/15/2012
77 FR 35892 // PDF Image PDF Version

17 CFR Parts 3 and 23 Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants


05/30/2012
77 FR 31767 // PDF Image PDF Version

17 CFR Part 151 Aggregation, Position Limits for Futures and Swaps


05/16/2012
77 FR 28819 // PDF Image PDF Version

17 CFR Chapter 1 Second Amendment to July 14, 2011 Order for Swap Regulation


05/07/2012
77 FR 26709 // PDF Image 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


03/15/2012
77 FR 15460 // PDF Image PDF Version

17 CFR Part 43 Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades


03/06/2012
77 FR 13450 // PDF Image PDF Version

Commodity Futures Trading Commission 17 CFR Part 162 Securities and Exchange Commission 17 CFR Part 248 Identity Theft Red Flags Rules


02/24/2012
77 FR 11345 // PDF Image PDF Version

17 CFR Part 4 Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators


02/14/2012
77 FR 8332 // PDF Image PDF Version

17 CFR Part 75 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Covered Funds


See Also:

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