DSIO Proposed Rules 2020, 2019, & 2018

2020

7/10/2020

85 FR 41463 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Comment File – Closing Date: 9/8/2020

See also:

84 FR 56950, 10/24/2019 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

85 FR 19878, 4/9/2020 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

85 FR 41346, 7/10/2020 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

6/12/2020

85 FR 35820 // PDF Version
17 CFR Part 3
Exemption From Registration for Certain Foreign Persons Acting as Commodity Pool Operators of Offshore Commodity Pools
Comment File
Closing Date: 8/11/2020

6/12/2020

85 FR 36000 // PDF Version
17 CFR Parts 1, 4, 41, and 190
Bankruptcy Regulations
Comment File
Closing Date: 7/13/2020

5/4/2020

85 FR 26378 // PDF Version
17 CFR Part 4
Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR
Comment File
Closing Date: 6/15/2020

4/17/2020

85 FR 21516 // PDF Version
17 CFR Part 43
Amendments to the Real-Time Public Reporting Requirements
Comment File – Closing Date: 5/20/2020
Extended Date: 5/22/2020

See also:

85 FR 22690, 4/23/2020 // PDF Version
17 CFR Chapter I
Extension of Currently Open Comment Periods for Rulemakings in Response to the COVID-19 Pandemic

2/28/2020

85 FR 12120 // PDF Version
Department of the Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2020-0002] RIN 1557-AE67; Federal Reserve System 12 CFR Part 248 [Docket No. R-1694] RIN 7100-AF70; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AF17; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE93; Securities and Exchange Commission 17 CFR Part 255 [Release No. BHCA-8; File No. S7-02-20] RIN 3235-AM70 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Comment File – Closing Date: 4/1/2020

1/8/2020

85 FR 952 // PDF Version
17 CFR Part 23
Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants; Proposed Rule
Comment File – Closing Date: 3/9/2020

2019

12/19/2019

84 FR 69446 // PDF Version
17 CFR Parts 1, 23, and 140
Capital Requirements of Swap Dealers and Major Swap Participants
Comment File – Closing Date: 3/3/2020

See also:

81 FR 91252, 12/16/2016 // PDF Version
17 CFR Parts 1, 23, and 140
Capital Requirements of Swap Dealers and Major Swap Participants

82 FR 13971, // PDF Version
17 CFR Parts 1, 23, and 40
Capital Requirements of Swap Dealers and Major Swap Participants

10/24/2019

84 FR 56950 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Comment File – Closing Date:12/23/2019

10/22/2019

84 FR 56392 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Comment File – Closing Date:12/23/2019

7/5/2019

84 FR 32105 // PDF Version
17 CFR Part 30
Foreign Futures and Options Transactions
Comment File – Closing Date: 8/5/2019

02/08/2019

84 FR 2778 // PDF Version
DEPARTMENT OF TREASURY Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0029] RIN 1557-AE47; FEDERAL RESERVE SYSTEM 12 CFR Part 248 [Docket No. R-1643] RIN 7100-AF 33; FEDERAL DEPOSIT INSURANCE CORPORATION 12 CFR Part 351 RIN 3064-AE88; COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 75 RIN 3038-AE72; SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 255 [Release no. BHCA-5; File no. S7-30-18] RIN 3235-AM43 Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds
Comments File – Closing Date: 03/11/2019


See also:

83 FR 33432, 7/17/2018 // PDF Version

Department of Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0010] RIN 1557-AE27; Federal Reserve System 12 CFR Part 248 [Docket No. R-1608] RIN 7100-AF 06; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AE67; Securities and Exchange Commission 17 CFR Part 255 [Release no. BHCA-3; File no. S7-14-18] RIN 3235-AM10; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE72 Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

83 FR 45860, 9/11/2018 // PDF Version
DEPARTMENT OF TREASURY Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0010] RIN 1557-AE27; FEDERAL RESERVE SYSTEM 12 CFR Part 248 [Docket No. R-1608] RIN 7100-AF 06; FEDERAL DEPOSIT INSURANCE CORPORATION 12 CFR Part 351 RIN 3064-AE67; COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 75 RIN 3038-AE72; SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 255 [Release no. BHCA-3; File no. S7-14-18] RIN 3235-AM10 Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds 

2018

12/10/2018

83 FR 63450 // PDF Version

Privacy of Consumer Financial Information--Amendment To Conform Regulations to the Fixing America's Surface Transportation Act
Comments File – Closing Date: 2/8/2019

10/18/2018

82 FR 52902 // PDF Version
17 CFR Part 4 Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors
Comment File – Closing Date: 12/17/2018

9/11/2018

83 FR 45860 // PDF Version
DEPARTMENT OF TREASURY Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0010] RIN 1557-AE27; FEDERAL RESERVE SYSTEM 12 CFR Part 248 [Docket No. R-1608] RIN 7100-AF 06; FEDERAL DEPOSIT INSURANCE CORPORATION 12 CFR Part 351 RIN 3064-AE67; COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 75 RIN 3038-AE72; SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 255 [Release no. BHCA-3; File no. S7-14-18] RIN 3235-AM10 Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Comment File – Closing Date: 10/17/2018

See also:

83 FR 33432, 7/17/2018 // PDF Version
Department of Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0010] RIN 1557-AE27; Federal Reserve System 12 CFR Part 248 [Docket No. R-1608] RIN 7100-AF 06; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AE67; Securities and Exchange Commission 17 CFR Part 255 [Release no. BHCA-3; File no. S7-14-18] RIN 3235-AM10; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE72 Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

7/30/2018

83 FR 36484 // PDF Version
17 CFR Part 23
Segregation of Assets Held as Collateral in Uncleared Swap Transactions
Comment File – Closing Date: 9/28/2018

7/17/2018

83 FR 33432 // PDF Version
Department of Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0010] RIN 1557-AE27; Federal Reserve System 12 CFR Part 248 [Docket No. R-1608] RIN 7100-AF 06; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AE67; Securities and Exchange Commission 17 CFR Part 255 [Release no. BHCA-3; File no. S7-14-18] RIN 3235-AM10; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE72 Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Comment File – Closing Date: 9/17/2018

7/3/2018

83 FR 31078 // PDF Version
17 CFR Part 1
Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations
Comment File – Closing Date: 9/4/2018

6/12/2018

83 FR 27444 // PDF Version
17 CFR Part 1
De Minimis Exception to the Swap Dealer Definition

Comment File - Closing Date: 8/13/2018

5/23/2018

83 FR 23842 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Comment File – Closing Date: 7/23/2018