Compliance Dates

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The Commodity Futures Trading Commission is in the process of implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

View Rules:

Final Rules

Rulemaking
Citation
Effective Date
Compliance Date
Rule Adoption Meeting
1/2/2013
Seriatim Vote
The Commission adopted a number of conforming amendments to integrate the CFTC's regulations more fully with the new framework created by the Dodd-Frank Act. The compliance date and effective date are the same.
2/19/2013
Seriatim Vote
This final rulemaking requires futures commission merchants (``FCMs''), certain introducing brokers (``IBs''), retail foreign exchange dealers (``RFEDs'') and certain other registrants that are members of designated contract markets (``DCMs'') or swap execution facilities (``SEFs'') to record all oral communications provided or received concerning quotes, solicitations, bids, offers, instructions, trading, and prices, that lead to the execution of a transaction in a commodity interest, whether communicated by telephone, voicemail, mobile device, or other digital or electronic media, and to keep those records for one year. This final rule also requires FCMs, IBs, RFEDs, and all members of a DCM or SEF to record and keep all written communications provided or received concerning quotes, solicitations, bids, offers, instructions, trading, and prices, that lead to the execution of a transaction in a commodity interest or related cash or forward transactions, whether communicated by telephone, voicemail, facsimile, instant messaging, chat rooms, electronic mail, mobile device, or other digital or electronic media, and to keep those written records for five years.
9/12/2011
View Meeting (7/7/2011)
The Commodity Futures Trading Commission (Commission) adopted rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). The Dodd-Frank Act, which amends the Commodity Exchange Act (CEA), includes provisions applicable to "a swap in an agricultural commodity (as defined by the [CFTC])." This release defined that term for purposes of the CEA or CFTC regulations.
12/31/2011
View Meeting (8/4/2011)
The Commodity Futures Trading Commission (Commission) finalized rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"). The Dodd-Frank Act provides that swaps in an agricultural commodity (as defined by the Commission) are prohibited unless entered into pursuant to a rule, regulation or order of the Commission adopted pursuant to certain provisions of the Commodity Exchange Act (CEA ). The Commission finalized rules that would, among other things, implement regulations whereby swaps in agricultural commodities may transact subject to the same rules as all other swaps. The rules for swaps in an agricultural commodity repealed and replaced the Commission’s regulations concerning the exemption of swap agreements.
8/15/2011
View Meeting (7/7/2011)
The Commodity Futures Trading Commission (Commission) adopted final rules pursuant to section 753 of the Dodd-Frank Wall Street Reform and Consumer Protection Act to implement amended subsections (c)(1) and (c)(3) of section 6 of the Commodity Exchange Act. These rules broadly prohibit fraud and manipulation in connection with any swap, or contract of sale of any commodity in interstate commerce, or contract for future delivery on or subject to the rules of any registered entity.
9/20/2011
View Meeting (7/7/2011)
The Commodity Futures Trading Commission (Commission) adopted regulations to implement new statutory provisions enacted by Title X of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These regulations apply to futures commission merchants, retail foreign exchange dealers, commodity trading advisors, commodity pool operators, introducing brokers, swap dealers and major swap participants. The Dodd-Frank Act provides the Commission with authority to implement regulations under sections 624 and 628 of the Fair Credit Reporting Act. The regulations implementing section 624 of the Fair Credit Reporting Act require CFTC-regulated entities to provide consumers with the opportunity to prohibit affiliates from using certain information to make marketing solicitations to consumers. The regulations implementing section 628 of the FCRA require CFTC-regulated entities that possess or maintain consumer report information in connection with their business activities to develop and implement written policies and procedures for the proper disposal of such information.
Clearing Exemption for Certain Swaps Entered Into by Cooperatives
9/23/2013
Seriatim Vote
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is adopting final regulations pursuant to its authority under section 4(c) of the Commodity Exchange Act (``CEA'') allowing cooperatives meeting certain conditions to elect not to submit for clearing certain swaps that such cooperatives would otherwise be required to submit for clearing in accordance with section 2(h)(1) of the CEA.
6/10/2013
Seriatim Vote
The Commodity Futures Trading Commission adopted regulations to exempt swaps between certain affiliated entities within a corporate group from the clearing requirement under the Commodity Exchange Act, enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The regulations include specific conditions, as well as reporting requirements, that affiliated entities must satisfy in order to elect the inter-affiliate exemption from required clearing.
10/1/2012
View Meeting (3/20/2012)
The Commodity Futures Trading Commission (Commission) adopted rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules address: The documentation between a customer and a futures commission merchant that clears on behalf of the customer; the timing of acceptance or rejection of trades for clearing by derivatives clearing organizations and clearing members; and the risk management procedures of futures commission merchants, swap dealers, and major swap participants that are clearing members.
6/26/2012
View Meeting (5/18/2012)
The Commodity Futures Trading Commission ("Commission" or "CFTC") issued a final rule to repeal and replace the Commission's current regulations concerning commodity options. The Commission also issued an interim final rule (with a request for additional comment) that incorporates a trade option exemption into the final rules for commodity options (added Sec. 32.3). For a transaction to be within the trade option exemption, the option, the offeror (seller), and the offeree (buyer), as applicable, must satisfy certain eligibility requirements, including that the option, if exercised, be physically settled, that the option seller meet certain eligibility requirements, and that the option buyer be a commercial user of the commodity underlying the option, and certain other regulatory conditions.
4/24/2012
Seriatim Vote
The Commodity Futures Trading Commission (Commission) adopted amendments to its existing part 4 regulations and promulgated one new regulation regarding Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs). The Commission also adopted new data collections for CPOs and CTAs that are consistent with a data collection required under the Dodd-Frank Act for entities registered with both the Commission and the Securities and Exchange Commission. The adopted amendments rescind the exemption from registration; rescind relief from the certification requirement for annual reports provided to operators of certain pools offered only to qualified eligible persons (QEPs; modify the criteria for claiming relief); and require the annual filing of notices claiming exemptive relief under several sections of the Commission's regulations. Finally, the adopted amendments include new risk disclosure requirements for CPOs and CTAs regarding swap transactions. Please also see 77 FR 17328 (correction).
8/5/2013
View Meeting (5/16/2013)
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting new rules, guidance, and acceptable practices to implement certain statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''). The final rules, guidance, and acceptable practices, which apply to the registration and operation of a new type of regulated entity named a swap execution facility (``SEF''), implement the Dodd-Frank Act's new statutory framework that, among other requirements, adds a new section 5h to the Commodity Exchange Act (``CEA'' or ``Act'') concerning the registration and operation of SEFs, and adds a new section 2(h)(8) to the CEA concerning the execution of swaps on SEFs.
1/9/2012
View Meeting (10/18/2011)
The Commodity Futures Trading Commission (Commission) adopted final regulations to implement certain provisions of Title VII and Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act governing derivatives clearing organization (DCO) activities. The regulations establish the regulatory standards for compliance with DCO Core Principles A (Compliance), B (Financial Resources), C (Participant and Product Eligibility), D (Risk Management), E (Settlement Procedures), F (Treatment of Funds), G (Default Rules and Procedures), H (Rule Enforcement), I (System Safeguards), J (Reporting), K (Recordkeeping), L (Public Information), M (Information Sharing), N (Antitrust Considerations), and R (Legal Risk) set forth in Section 5b of the Commodity Exchange Act. The Commission also updated and added related definitions; adopted implementing rules for DCO chief compliance officers (CCOs); revised procedures for DCO applications including the required use of a new Form DCO; adopted procedural rules applicable to the transfer of a DCO registration; and added requirements for approval of DCO rules establishing a portfolio margining program for customer accounts carried by a futures commission merchant that is also registered as a securities broker-dealer. In addition, the Commission is adopted certain technical amendments to parts 21 and 39, and adopted certain delegation provisions under part 140.
8/20/2012
View Meeting (5/10/2012)
The Commodity Futures Trading Commission ("Commission" or "CFTC") adopted new and amended rules, guidance, and acceptable practices to implement certain statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"). The final rules, guidance and acceptable practices, which apply to the designation and operation of contract markets, implement the Dodd-Frank Act's new statutory framework that, among other things, amends section 5 of the Commodity Exchange Act ("the Act" or "CEA") concerning designation and operation of contract markets, and adds a new CEA section 2(h)(8) to mandate the listing, trading and execution of certain swaps on designated contract markets ("DCMs"). The proposed rules related to core principle 9 were not finalized in this release.
6/7/2013
Seriatim Vote
The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to make clear that each swap dealer (SD), major swap participant (MSP), and other Commission registrant with whom an associated person (AP) is associated is required to supervise the AP and is jointly and severally responsible for the activities of the AP with respect to customers common to it and any other SD, MSP or other Commission registrant.
9/17/2012
View Meeting (7/10/2012)
The Commodity Futures Trading Commission (Commission or CFTC) adopted final regulations to implement the exception to the clearing requirement available to swap counterparties meeting certain conditions under the Commodity Exchange Act (CEA), as amended by the Dodd-Frank Act.
4/17/2012
View Meeting (1/11/2012)
The Commodity Futures Trading Commission (Commission) adopted final rules to implement Section 4s(h) of the Commodity Exchange Act pursuant to Section 731 of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. These rules prescribe external business conduct standards for swap dealers and major swap participants.
12/21/2012
Seriatim Vote
On July 12, 2012, the Commodity Futures Trading Commission (``Commission'' or ``CFTC'') published for public comment, pursuant to section 4(c) of the Commodity Exchange Act (``CEA''), a proposed order (``Proposed Order'') that would grant market participants temporary conditional relief from certain provisions of the CEA, as amended by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'' or ``Dodd-Frank''), and the Commission also published its proposed interpretive guidance and policy statement (``Proposed Guidance'') regarding the cross-border application of the swap provisions of the CEA as added by Title VII of the Dodd-Frank Act. The Commission has determined to finalize the Proposed Order, with certain modifications and clarifications to address public comments. Under this final order (``Final Order''), a non-U.S. person that registers as a swap dealer (``SD'') or major swap participant (``MSP'') may delay compliance with certain entity-level requirements of the CEA (and Commission regulations promulgated thereunder), and non-U.S. SDs and MSPs and foreign branches of U.S. SDs and MSPs may delay compliance with certain transaction-level requirements of the CEA (and Commission regulations promulgated thereunder), subject to specified conditions. In addition, the Commission is separately proposing further guidance on certain specific aspects of the Proposed Guidance (``Further Proposed Guidance'').
2/21/2012
View Meeting (12/5/2011)
The Commodity Futures Trading Commission (Commission) issued final rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act to establish a registration system for foreign boards of trade that wish to provide their identified members or other participants located in the United States with direct access to their electronic trading and order matching systems.
6/4/2012
View Meeting (2/23/2012)
The Commodity Futures Trading Commission (Commission) adopted regulations to implement certain provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These regulations set forth reporting and recordkeeping requirements and daily trading records requirements for swap dealers (SDs) and major swap participants (MSPs). These regulations also set forth certain duties imposed upon SDs and MSPs registered with the Commission with regard to: Risk management procedures; monitoring of trading to prevent violations of applicable position limits; diligent supervision; business continuity and disaster recovery; disclosure and the ability of regulators to obtain general information; and antitrust considerations. In addition, these regulations establish conflicts-of-interest requirements for SDs, MSPs, futures commission merchants (FCMs), and introducing brokers (IBs) with regard to firewalls between research and trading and between clearing and trading. Finally, these regulations also require each FCM, SD, and MSP to designate a chief compliance officer, prescribe qualifications and duties of the chief compliance officer, and require that the chief compliance officer prepare, certify, and furnish to the Commission an annual report containing an assessment of the registrant's compliance activities.
3/31/2012
Seriatim Vote
The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) (collectively, Commissions) adopted rules under the Commodity Exchange Act and the Investment Advisers Act of 1940 to implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The new SEC rule requires investment advisers registered with the SEC that advise one or more private funds and have at least $150 million in private fund assets under management to file Form PF with the SEC. The new CFTC rule requires commodity pool operators (CPOs) and commodity trading advisors (CTAs) registered with the CFTC to satisfy certain CFTC filing requirements with respect to private funds, should the CFTC adopt such requirements, by filing Form PF with the SEC, but only if those CPOs and CTAs are also registered with the SEC as investment advisers and are required to file Form PF under the Advisers Act. The new CFTC rule also allows such CPOs and CTAs to satisfy certain CFTC filing requirements with respect to commodity pools that are not private funds, should the CFTC adopt such requirements, by filing Form PF with the SEC. Advisers must file Form PF electronically, on a confidential basis.
2/17/2012
View Meeting (12/5/2011)
The Commodity Futures Trading Commission (Commission) amended its regulations regarding the investment of customer segregated funds subject to Commission Regulation 1.25 (Regulation 1.25) and funds held in an account subject to Commission Regulation 30.7 (Regulation 30.7, and funds subject thereto, 30.7 funds). Certain amendments reflect the implementation of new statutory provisions enacted under Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The amendments address: certain changes to the list of permitted investments (including the elimination of in-house transactions), a clarification of the liquidity requirement, the removal of rating requirements, and an expansion of concentration limits including asset-based, issuer-based, and counterparty concentration restrictions. They also address revisions to the acknowledgment letter requirement for investment in a money market mutual fund (MMMF), revisions to the list of exceptions to the next-day redemption requirement for MMMFs, the elimination of repurchase and reverse repurchase agreements with affiliates, the application of customer segregated funds investment limitations to 30.7 funds, the removal of ratings requirements for depositories of 30.7 funds, the elimination of the option to designate a depository for 30.7 funds, and certain technical changes.
9/20/2011
View Meeting (7/7/2011)
The Commission adopted reporting regulations that require physical commodity swap and swaption reports. The new regulations require routine position reports from clearing organizations, clearing members and swap dealers and also apply to reportable swap trader positions.
11/5/2012
Seriatim Vote
The Commodity Futures Trading Commission (Commission) is amending its regulations governing the operations and activities of commodity pool operators (CPOs) and commodity trading advisors (CTAs) in order to have those regulations reflect changes made to the Commodity Exchange Act (CEA) by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
1/17/2012
N/A
View Meeting (10/18/2011)
The Commodity Futures Trading Commission (Commission) adopted regulations establishing position limits for 28 exempt and agricultural commodity futures and options contracts and the physical commodity swaps that are economically equivalent to such contracts. The final rule was vacated by the United States District Court for the District of Columbia in International Swaps and Derivatives Ass’n v. CFTC, Civil Action No. 11-cr-2146 (RLW) (D.D.C. September 28, 2012). The Commission is appealing the District Court’s decision.
9/20/2011
View Meeting (7/7/2011)
The Commodity Futures Trading Commission (Commission) amended its rules to implement new statutory provisions enacted by titles VII and X of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act). Section 1093 of the Dodd-Frank Act provides for certain amendments to title V of the Gramm-Leach-Bliley Act (the "GLB Act"). The GLB Act sets forth certain protections for the privacy of consumer financial information and was amended by the Dodd-Frank Act to affirm the Commission’s jurisdiction in this area. The amendments broaden the scope of part 160 to cover two new entities created by title VII of the Dodd-Frank Act: swap dealers and major swap participants.
7/30/2013
View Meeting (5/16/2013)
The Commodity Futures Trading Commission is adopting regulations to implement certain statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Specifically, in accordance with section 727 of the Dodd-Frank Act, the Commission is adopting regulations that define the criteria for grouping swaps into separate swap categories and establish methodologies for setting appropriate minimum block sizes for each swap category. In addition, the Commission is adopting further measures under the Commission's regulations to prevent the public disclosure of the identities, business transactions and market positions of swaps market participants.
8/5/2013
N/A
View Meeting (5/16/2013)
The Commodity Futures Trading Commission (``Commission'') is adopting regulations that establish a process for a designated contract market (``DCM'') or swap execution facility (``SEF'') to make a swap subject to the trade execution requirement pursuant to the Commodity Exchange Act (``CEA''). The Commission is also adopting regulations to establish a schedule to phase in compliance with the trade execution requirement. The schedule will provide additional time for compliance with this requirement.
9/26/2011
View Meeting (7/19/2011)
The Commodity Futures Trading Commission (Commission) adopted regulations to implement certain provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These regulations establish the process by which the Commission will review swaps to determine whether the swaps are required to be cleared.
9/26/2011
View Meeting (7/19/2011)
The Commodity Futures Trading Commission (Commission) adopted regulations to implement certain statutory provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Commission also is amended its existing regulations governing the submission of new products, rules, and rule amendments. The final regulations establish the procedural framework for the submission of new products, rules, and rule amendments by designated contract markets, derivatives clearing organizations, swap execution facilities, and swap data repositories. In addition, the final regulations prohibit event contracts involving certain excluded commodities, establish special submission procedures for certain rules proposed by systemically important derivatives clearing organizations, and stay the certifications and the approval review periods of novel derivative products pending jurisdictional determinations.
Protection of Collateral of Counterparties To Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy
1/6/2014
Seriatim Vote
The Commodity Futures Trading Commission (the ``Commission'') is issuing final rules implementing new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Dodd-Frank Act''). Specifically, the final rule contained herein imposes requirements on swap dealers (``SDs'') and major swap participants (``MSPs'') with respect to the treatment of collateral posted by their counterparties to margin, guarantee, or secure uncleared swaps. Additionally, the final rule includes revisions to ensure that, for purposes of subchapter IV of chapter 7 of the Bankruptcy Code, securities held in a portfolio margining account that is a futures account or a Cleared Swaps Customer Account constitute ``customer property''; and owners of such account constitute ``customers.''
3/9/2012
View Meeting (12/20/2011)
The Commodity Futures Trading Commission (Commission) adopted regulations under Part 43 to implement certain statutory provisions enacted by the Dodd-Frank Wall Street Reform and Consumer Protection Act. Specifically, the Commission adopted rules to implement a framework for the real-time public reporting of swap transaction and pricing data for all swap transactions.
10/29/2012
Seriatim Vote
The Commodity Futures Trading Commission (Commission) is adopting regulations to further implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) regarding registration of intermediaries. Specifically, the Commission is adopting certain conforming amendments to the Commission's regulations regarding the registration of intermediaries, consistent with other Commission rulemakings issued pursuant to the Dodd-Frank Act, and other non- substantive, technical amendments to its regulations.
9/23/2011
View Meeting (7/19/2011)
The Commodity Futures Trading Commission (Commission) implemented new provisions of Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act by removing references to or reliance on credit ratings, and replacing any such reference with an appropriate alternative standard.
12/17/2010
View Meeting (12/9/2010)
The Commodity Futures Trading Commission (Commission) published for comment an interim final rule to implement new statutory provisions introduced by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Section 723 of the Dodd-Frank Act amends Section 2 of the Commodity Exchange Act (CEA) by adding new Section 2(h)(5)(B), which directs that rules adopted by the Commission under this section shall provide for the reporting of "transition" swaps--that is, swaps entered into on or after the date of enactment of the Dodd-Frank Act and prior to the effective date of swap data reporting rules to implement Section 2(h)(5)(B)--to a registered swap data repository ("SDR") or to the Commission. Each category of data is subject to a reporting timetable specified in Section 2(h)(5). In order to ensure the preservation of data pending implementation of rules implementing the swap data reporting provisions of Section 2(h)(5)(B), the Commission adopted an interim final rule directing specified counterparties to post-enactment, or transition, swap transactions entered into prior to the effective date of the swap data reporting and recordkeeping rules implementing Section 2(h)(5)(B) of the CEA to retain information pertaining to the terms of such swaps
10/14/2010
View Meeting (10/1/2010)
The Commodity Futures Trading Commission (Commission) published an interim final rule to implement new statutory provisions introduced by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"). Section 729 of the Dodd-Frank Act requires the CFTC to adopt, within 90 days of enactment of the Dodd-Frank Act, an interim final rule for the reporting of swap transactions entered into before July 21, 2010 whose terms had not expired as of that date ("pre-enactment unexpired swaps"). Pursuant to this mandate, the CFTC adopted an interim final rule requiring specified counterparties to pre-enactment unexpired swap transactions to report certain information related to such transactions to a registered swap data repository or to the Commission by the compliance date to be established in reporting rules required under Section2(h)(5) of the CEA, or within 60 days after an SDR becomes registered under Section 21 of the CEA, whichever occurs first. An interpretive note to the rule advises that counterparties that may be required to report to an SDR or the CFTC will need to preserve information pertaining to the terms of such swaps.
10/18/2010
Seriatim Vote
The Commodity Futures Trading Commission (Commission) adopted regulations and amendments to existing regulations to establish requirements for, among other things, registration, disclosure, recordkeeping, financial reporting, minimum capital, and other operational standards with respect to off-exchange transactions in foreign currency with members of the retail public.
9/12/2011
Seriatim Vote
The Commodity Futures Trading Commission (Commission) amended its regulations governing off-exchange foreign currency transactions with members of the retail public (i.e., retail forex transactions). These amendments incorporate into Part 5 of the Commission's regulations changes made to the Commodity Exchange Act (CEA) by the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Commission also issued certain related technical interpretations of various provisions of the CEA as amended by the Dodd-Frank Act with respect to retail forex transactions.
4/9/2012
View Meeting (1/11/2012)
The Commodity Futures Trading Commission (Commission) adopted final regulations to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Specifically, these regulations impose requirements on futures commission merchants and derivatives clearing organizations regarding the treatment of cleared swaps customer contracts (and related collateral), and make conforming amendments to bankruptcy provisions applicable to commodity brokers under the Commodity Exchange Act.
3/13/2012
View Meeting (12/20/2011)
The Commodity Futures Trading Commission (Commission) adopted rules under Part 45 to implement the Commodity Exchange Act (CEA) relating to swap data recordkeeping and reporting requirements. These sections of the CEA were added by the Dodd-Frank Wall Street Reform and Consumer Protection Act. The rules adopted apply to swap data recordkeeping and reporting requirements for swap data repositories, derivatives clearing organizations, designated contract markets, swap execution facilities, swap dealers, major swap participants, and swap counterparties who are neither swap dealers nor major swap participants.
8/13/2012
Seriatim Vote
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') adopted rules under Part 46 to further implement the Commodity Exchange Act (``CEA'' or ``Act'') with respect to the new statutory framework regarding swap data recordkeeping and reporting established by the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''). The Dodd-Frank Act, directs that rules adopted by the Commission shall provide for the reporting of data relating to swaps entered into before the date of enactment of the Dodd-Frank Act, the terms of which have not expired as of the date of enactment of the Dodd-Frank Act (``pre-enactment swaps'') and data relating to swaps entered into on or after the date of enactment of the Dodd-Frank Act and prior to the compliance date specified in the Commission's final swap data reporting rules (``transition swaps''). These final rules establish swap data recordkeeping and reporting requirements for pre-enactment swaps and transition swaps.
10/31/2011
View Meeting (8/4/2011)
The Commodity Futures Trading Commission (Commission) adopted regulations to implement section 21 of the Commodity Exchange Act (CEA), which establishes registration requirements, statutory duties, core principles and certain compliance obligations for registered swap data repositories.
3/19/2012
View Meeting (1/11/2012)
The Commodity Futures Trading Commission (Commission) adopted regulations under the Commodity Exchange Act (CEA) that establish the process for the registration of swap dealers (SDs) and major swap participants (MSPs) and that require SDs and MSPs to become and remain members of a registered futures association. The Commission also adopted regulations that define an "associated person" of an SD or MSP as a natural person and that implement the prohibition on an SD or MSP permitting an associated person who is statutorily disqualified from registration from effecting or being involved in effecting swaps on behalf of the SD or MSP.
7/23/2012
View Meeting (4/18/2012)
In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act''), the Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission (``SEC'') (collectively, the ``Commissions''), in consultation with the Board of Governors of the Federal Reserve System (``Board''), are adopting new rules and interpretive guidance under the Commodity Exchange Act (``CEA''), and the Securities Exchange Act of 1934 (``Exchange Act''), to further define the terms ``swap dealer,'' ``security-based swap dealer,'' ``major swap participant,'' ``major security-based swap participant,'' and ``eligible contract participant.''
Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees
11/27/2013
Seriatim Vote
The Commodity Futures Trading Commission is adopting an amendment to its regulations to clarify certain responsibilities of a swap dealer or major swap participant regarding its employees who solicit, accept or effect swaps in a clerical or ministerial capacity.
9/28/2012
Seriatim Vote
The Commodity Futures Trading Commission (Commission or CFTC) adopted regulations to establish a schedule to phase in compliance with the clearing requirement under new section 2(h)(1)(A) of the Commodity Exchange Act (CEA or Act), enacted under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). The schedule will provide additional time for compliance with this requirement.
10/12/2012
View Meeting (7/10/2012)
In accordance with section 712(a)(8), section 712(d)(1), sections 712(d)(2)(B) and (C), sections 721(b) and (c), and section 761(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"), the Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") (collectively, "Commissions"), in consultation with the Board of Governors of the Federal Reserve System ("Board"), jointly adopted new rules and interpretations under the Commodity Exchange Act ("CEA") and the Securities Exchange Act of 1934 ("Exchange Act") to further define the terms "swap," "security-based swap," and "security-based swap agreement" (collectively, "Product Definitions"); regarding "mixed swaps;" and governing books and records with respect to "security-based swap agreements." The CFTC requested comment on its interpretation concerning forwards with embedded volumetric optionality, contained in Section II.B.2.(b)(ii).
10/24/2011
View Meeting (8/4/2011)
The Commodity Futures Trading Commission (Commission) adopted final rules and new forms to implement Section 23 of the Commodity Exchange Act (CEA), entitled "Commodity Whistleblower Incentives and Protection." The rules implement the Dodd-Frank Wall Street Reform and Consumer Protection Act’s requirement that the Commission establish a Whistleblower program that requires the Commission to pay an award, under regulations prescribed by the Commission and subject to certain limitations, to eligible Whistleblowers who voluntarily provide the Commission with original information about a violation of the CEA that leads to the successful enforcement of a covered judicial or administrative action, or a related action.


Compliance Dates

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