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SPEECHES & TESTIMONY

  • CFTC Dodd-Frank Update

    Final Rules & Guidance

    • Agricultural Commodity Definition
    • Agricultural Swaps
    • Anti-Manipulation
    • Business Affiliate Marketing and Disposal of Consumer Information
    • Client Clearing Documentation, Straight Through Processing, Clearing Member Risk Management
    • Commodity Options
    • Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
    • Derivatives Clearing Organization - General Provisions and Core Principles
    • Designated Contract Markets – Core Principles
    • End-User Exception
    • External Business Conduct Standards
    • Foreign Boards of Trade – Registration
    • Implementation Phasing for Clearing
    • Internal Business Conduct Standards (Risk Management, Recordkeeping, & CCOs)
    • Investment Advisor Reporting on Form PF (Jt. with SEC)
    • Investment of Customer Funds (Regulation 1.25)
    • Large Trader Reporting for Physical Commodity Swaps
    • Position Limits for Futures and Swaps
    • Privacy of Consumer Financial Information
    • Process for Review of Swaps for Mandatory Clearing
    • Process for Rule Certifications for Registered Entities (Part 40)
    • Real-Time Reporting for Swaps
    • Removal of References to or Reliance on Credit Ratings
    • Reporting Certain Post-Enactment Swap Transactions (IFR)
    • Reporting of Historical Swaps
    • Reporting Pre-Enactment Swap Transactions (IFR)
    • Retail Commodity Transactions – Interpretive Guidance on “Actual Delivery”
    • Retail Foreign Exchange Intermediaries – Regulations & Registration
    • Retail Foreign Exchange Transactions – Conforming Amendments
    • Segregation for Cleared Swaps
    • Swap, Security-Based Swap, Security-Based Swap Agreement -- Further Definitions (Jt. with SEC)
    • Swap Data Recordkeeping and Reporting Requirements
    • Swap Data Repositories – Core Principles, Duties & Registration
    • Swap Dealers and Major Swap Participants – Registration
    • Swap Dealers, Major Swap Participants, and Eligible Contract Participants - Further Definitions (Jt. with SEC)
    • Whistleblowers

    Proposed Rules & Guidance

    • Block Rule
    • Capital for Swap Dealers & Major Swap Participants
    • Clearing Exemption for Cooperatives
    • Clearing Requirement Determinations
    • Conforming Rules
    • Cross-Border Application
    • DCMs – Core Principle 9
    • Disruptive Trade Practices
    • Governance and Conflict of Interest (DCM, DCO, & SEF)
    • Identify Theft (Jt. with SEC)
    • Internal Business Conduct (Documentation, Confirmation, & Portfolio Reconciliation)
    • Margin for Uncleared Swaps
    • Segregation for Uncleared Swaps
    • Swap Data Repository Indemnification Interpretation
    • Swap Execution Facilities – Core Principles, Registration, and Process for “Made Available to Trade” Determinations
    • Systemically Important Clearing Organizations – Additional Provisions
    • Volcker Rule

    Yet to be Proposed Rules & Guidance

    • Inter-Affiliate Clearing for Financial Entities
    • RTO/ISO Exemptive Relief
    • 201(f) Exemptive Relief
    • Stress Testing under Section 165

    Final Orders

    • Delegation to National Futures Association (NFA) – Certain exemptions for Commodity Pool Operators
    • Delegation to NFA - Foreign Exchange Intermediary Registration function
    • Delegation to NFA - Swap Dealer & MSP Registration function
    • Exemptive orders – Effective Date for Swaps Regulation
    • Treatment of Grandfather Relief Petitions - Exempt Boards of Trade & Exempt Commercial Markets
    • Treatment of Grandfather Relief Petitions – Transactions done in Reliance on 2(h)

    Studies & Reports

    • Feasibility of Requiring Use of Standardized Algorithmic Descriptions for Financial Derivatives (Jt. with SEC)
    • International Swap Regulation (Jt. with SEC)
    • Risk Management Supervision of Designated Clearing Entities (Jt. With Board of Governors of the Federal Reserve System and the SEC)
    • Study on Oversight of Carbon Markets (Jt. with various other Agencies)

    Last Updated: July 25, 2012



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