Final Rules, Guidance, Exemptive Orders & Other Actions

Dodd-Frank Final Rules, Final Guidance, Final Exemptive Orders, & Other Final Actions


The Commodity Futures Trading Commission is in the process of implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act. Under Dodd-Frank, in August 2010, the Commission began issuing proposed rules and soliciting public comment.

View Dodd-Frank Proposed Rules, Guidance and Exemptive Orders
View all Dodd-Frank Guidance, Advisories and Questions
Currently Effective Staff Letters

The finalization process is ongoing. The CFTC has now finalized 79 rules, exemptive orders and guidance actions and 7 other actions.

Final Rules, final guidance, final exemptive orders, and other final actions    

Publication
Date

Final Actions

Upcoming

PDF Version

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


Rulemaking: Capital & Margin
Upcoming

PDF Version
17 CFR Part 4
Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR

Rulemaking: Investment Adviser Reporting

10/21/2020

85 FR 67160 // PDF Version
17 CFR Parts 39 and 140
Registration with Alternative Compliance for Non-U.S. Derivatives Clearing Organizations

Effective Date: Friday, November 20, 2020

RulemakingDCOs

See also:
84 FR 34819, 7/19/2019 // PDF Version
17 CFR Parts 39 and 140
Registration with Alternative Compliance for Non-U.S. Derivatives Clearing Organizations

84 FR 49072, 9/18/2019 // PDF Version
17 CFR Parts 39 and 140 Registration with Alternative Compliance for Non-U.S. Derivatives Clearing Organizations

11/25/2020

Final Rule: 85 FR 75422 // PDF Version
11/25/2020
17 CFR Part 43 Real-Time Public Reporting Requirements
Effective Date: Monday, January 25, 2021


RulemakingReal-Time Reporting

See also:
85 FR 21516, 4/17/2020 // PDF Version
17 CFR Part 43 Amendments to the Real-Time Public Reporting Requirements

11/25/2020

Final Rule: 85 FR 75503 // PDF Version
11/25/2020
17 CFR Parts 45, 46, and 49 
Swap Data Recordkeeping and Reporting Requirements
Effective Date: Monday, January 25, 2021


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

See also:
85 FR 21578, 4/17/2020 // PDF Version
17 CFR Parts 45, 46, and 49
Amendments to the Swap Data Recordkeeping and Reporting Requirements

11/25/2020

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


RulemakingData Recordkeeping

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

9/15/2020

85 FR 57562 // PDF Version
17 CFR Parts 1, 23, and 140
Capital Requirements of Swap Dealers and Major Swap Participants
Effective Date: Monday, November 16, 2020


Rulemaking: Capital & Margin


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, 3/16/2017 // PDF Version
17 CFR Parts 1, 23, and 40
Capital Requirements of Swap Dealers and Major Swap Participants
9/14/2020

85 FR 56924 // PDF Version
17 CFR Part 23
Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants
Effective Date: Friday, November 13, 2020


Rulemaking: Cross-Border Application of Swaps Provisions


See also:
85 FR 952 , 1/8/2020 // 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

7/22/2020

85 FR 44170 // PDF Version
17 CFR Part 50
Exemption From the Swap Clearing Requirement for Certain Affiliated Entities--Alternative Compliance Frameworks for Anti-Evasionary Measures
Effective Date: Friday, August 21, 2020


Rulemaking: Exceptions and Exemptions


See also:
84 FR 70446, 12/23/2019 // PDF Version
17 CFR Part 50
Exemption From the Swap Clearing Requirement for Certain Affiliated Entities--Alternative Compliance Frameworks for Anti-Evasionary Measures

5/11/2020

85 FR 27674 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Effective Date: Wednesday, June 10, 2020

Rulemaking:
Capital & Margin

See also:
84 FR 56392, 10/22/2019 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

1/27/2020

85 FR 4800 // PDF Version
17 CFR Parts 1, 39, and 140
Derivatives Clearing Organization General Provisions and Core Principles
Effective Date: Sunday, January 26, 2020


Rulemakings: DCO Core Principles and
Systemically Important DCO Rules

4/1/2019

84 FR 12065 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participant
Effective Date: Monday, April 1, 2019


Rulemaking:
Capital & Margin

4/1/2019

84 FR 12450 // PDF Version
17 CFR Part 1
De Minimis Exception to the Swap Dealer Definition--Swaps Entered Into by Insured Depository Institutions in Connection With Loans to Customers
Effective Date: Monday, April 1, 2019


Rulemaking: Further definition of Swap Dealer, Major Swap Participant, Security-Based Swap Dealer, and Major Security-Based Swap Participant

11/26/2018

83 FR 60341 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Effective Date: Wednesday, December 26, 2018


Rulemaking: Capital & Margin

See also:----
83 FR 23842, 5/23/2018 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

11/13/2018

83 FR 56666 // PDF Version
17 CFR Part 1
De Minimis Exception to the Swap Dealer Definition
Effective Date: Tuesday, November 13, 2018

Rulemaking:
Further definition of Swap Dealer, Major Swap Participant, Security-Based Swap Dealer, and Major Security-Based Swap Participant

See also:
83 FR 27444, 6/12/2018 // PDF Version
17 CFR Part 1 De Minimis Exception to the Swap Dealer Definition

8/27/2018

83 FR 43510 // PDF Version
17 CFR Part 3
Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants
Effective Date: Wednesday, September 26, 2018


Rulemaking: Capital & Margin

See also:
82 FR 21330, 5/8/2017 // PDF Version
17 CFR Part 3
Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments

06/12/18

83 FR 27410 // PDF Version
17 CFR Part 49
Amendments to the Swap Data Access Provisions of Part 49 and Certain Other Matters
Effective Date: Monday, August 13, 2018

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

See also:
82 FR 8369 // PDF Version
17 CFR Part 49
Proposed Amendments To Swap Data Access Provisions and Certain Other Matters
Effective Date: Wednesday, January 25, 2017

 

09/29/2017

82 FR 45433 // PDF Version
17 CFR Part 38
Commission Delegated Authority Provisions for Designated Contract Markets' System Safeguards Requirements
Effective Date: Friday, September 29, 2017


Rulemaking: Process for Designated Contract Market and Swap Execution Facility to Make a Swap Available to Trade

12/16/2016

81 FR 91454 // PDF Version
17 CFR Part 150
Aggregation of Positions
Effective Date: Tuesday, February 14, 2017

Rulemaking:
Position Limits for Derivatives and Aggregation of Positions

11/16/2016

81 FR 80563 // PDF Version
17 CFR Part 3
Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates
Effective Date: Wednesday, November 16, 2016


Rulemaking: Business Conduct Standards - Internal

See also:
81 FR 53343, 8/12/2016 // PDF Version
17 CFR Part 3 Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates

10/14/2016

81 FR 71202 // PDF Version
17 CFR Part 50
Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps
Effective Date: Tuesday, December 13, 2016

Rulemaking:
Clearing Requirement

6/27/2016

81 FR 41736 // PDF Version
17 CFR Part 45
Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps
Effective Date: Wednesday, July 27, 2016

Rulemaking:
Data Recordkeeping

5/31/2016

81 FR 34818 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements; Agency Information Collection Activities: Proposed Collection, Comment Request: Final Rule, Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements; Final Rule and Notice
Effective Date: Monday, August 01, 2016


Rulemakings: Capital & Margin and
Cross-Border Application of Swaps Provisions

01/2/2016

81 FR 636 // PDF Version
17 CFR Parts 23 and 140
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Effective Date: Friday, April 01, 2016


Rulemaking: Capital & Margin

09/26/2014

79 FR 57767 // PDF Version
17 CFR Part 1
Exclusion of Utility Operations-Related Swaps with Utility Special Entities from De Minimis Threshold for Swaps with Special Entities
Effective Date: Monday, October 27, 2014


Rulemaking: Registration - Swap Dealers and Major Swap Participants

1/31/2014

79 FR 5808 // PDF Version
17 CFR Part 75
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds
Effective Date: Tuesday, April 01, 2014


Rulemaking: Volcker Rule

12/02/2013

78 FR 72476 // PDF Version
17 CFR Parts 39, 140, and 190
Derivatives Clearing Organizations and International Standards
Effective Date: Tuesday, December 31, 2013


Rulemakings: DCO Core Principles and
Systemically Important DCO Rules

11/6/2013

78 FR 66621 // PDF Version
17 CFR Parts 23 and 190
Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy
Effective Date: Monday, January 06, 2014

Rulemaking:
Segregation & Bankruptcy for both Cleared and Uncleared Swaps

10/28/2013

78 FR 64173 // PDF Version
17 CFR Part 23
Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees
Effective Date: Wednesday, November 27, 2013

Rulemaking:
Registration - Swap Dealers and Major Swap Participants

8/22/2013

78 FR 52286 // PDF Version
17 CFR Part 50
Clearing Exemption for Certain Swaps Entered Into by Cooperatives
Effective Date: Monday, September 23, 2013


Rulemaking: Exceptions and Exemptions

8/22/2013

78 FR 52308 // PDF Version
17 CFR Part 4
Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators
Effective Date: Thursday, August 22, 2013


Rulemaking
: Investment Adviser Reporting

8/15/2013

78 FR 49663 // PDF Version
17 CFR Part 39
Enhanced Risk Management Standards for Systemically Important Derivatives Clearing Organizations
Effective Date: Tuesday, October 15, 2013

Rulemaking: Clearing Requirement
 

7/26/2013

78 FR 45292 // PDF Version
17 CFR Chapter I
Interpretive Guidance and Policy Statement Regarding Compliance With Certain Swap Regulations
Effective Date: Friday, July 26, 2013


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

7/22/2013

78 FR 43785 // PDF Version
17 CFR Chapter I
Exemptive Order Regarding Compliance With Certain Swap Regulations
Effective Date: Saturday, July 13, 2013

Rulemaking:
Cross-Border Application of Swaps Provisions

6/4/2013

78 FR 36606 // PDF Version
17 CFR Parts 37 and 38
Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available to Trade, Swap Transaction Compliance and Implementation Schedule, and Trade Execution Requirement Under the Commodity Exchange Act
Effective Date: Monday, August 05, 2013

Rulemakings:
SEF Registration Requirements and Core Principle Rulemaking, Interpretation & Guidance and
Process for Designated Contract Market or Swap Execution Facility to make a Swap Available to Trade

6/4/2013

78 FR 33476 // PDF Version
17 CFR Part 37
Core Principles and Other Requirements for Swap Execution Facilities
Effective Date: Monday, August 05, 2013

Rulemaking:
SEF Registration Requirements and Core Principle Rulemaking, Interpretation & Guidance

See also:
78 FR 47154 // PDF Version
17 CFR Part 37
Core Principles and Other Requirements for Swap Execution Facilities; Correction
Effective Date: Monday, August 05, 2013

5/31/2013

78 FR 32866 // PDF Version
17 CFR Part 43
Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades
Effective Date: Tuesday, July 30, 2013


Rulemaking: Real-Time Reporting

See also:
78 FR 42436 // PDF Version
17 CFR Part 43
Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Correction
Effective Date: Tuesday, July 30, 2013 

5/28/2013

78 FR 31890 // PDF Version
Antidisruptive Practices Authority
Effective Date: Tuesday, May 28, 2013


Rulemaking: Disruptive Trading Practices

4/19/2013

78 FR 23638 // PDF Version
Commodity Futures Trading Commission 17 CFR Part 162
Securities and Exchange Commission 17 CFR Part 248
Identity Theft Red Flags Rules
Effective Date: Monday, May 20, 2013


Rulemaking: Joint Rules w/ SEC

4/11/2013

78 FR 21749 // PDF Version
17 CFR Part 50
Clearing Exemption for Swaps Between Certain Affiliated Entities
Effective Date: Monday, June 10, 2013

Rulemaking:
Exceptions and Exemptions

4/8/2013

78 FR 20788 // 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
Effective Date: Friday, June 07, 2013

4/2/2013

78 FR 19879 // PDF Version
Final Order in Response to 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 Regulatory Commission or the Public Utility Commission of Texas From Certain Provisions of the Commodity Exchange Act Pursuant to the Authority Provided in the Act
Effective Date: Tuesday, April 02, 2013

4/2/2013

78 FR 19670 // PDF Version
Order Exempting, Pursuant to Authority of the Commodity Exchange Act, Certain Transactions Between Entities Described in the Federal Power Act, and Other Electric Cooperatives
Effective Date: Tuesday, April 02, 2013

1/23/2013

78 FR 17 // PDF Version
17 CFR Part 23
Business Conduct and Documentation Requirements for Swap Dealers and Major Swap Participants; Extension of Compliance Date

Comment File - Closing Date: 2/1/2013


Rulemaking: Business Conduct Standards - Internal

1/7/2013

8 FR 858 // PDF Version
17 CFR Chapter I
Final Exemptive Order Regarding Compliance With Certain Swap Regulations
Effective Date: Friday, December 21, 2012

Ru
lemaking:
Cross-Border Application of Swaps Provisions

12/21/2012

77 FR 75523 // PDF Version
17 CFR Part 1
Adaptation of Regulations To Incorporate Swaps--Records of Transactions
Effective Date: Tuesday, February 19, 2013


Rulemaking: Conforming Amendments

See also:
78 FR 21045// PDF Version
17 CFR Part 1 Adaptation of Regulations to Incorporate Swaps--Records of Transactions; Correction
Effective Date: Tuesday, April 09, 2013

12/13/2012

77 FR 74284 // PDF Version
17 CFR Parts 39 and 50
Clearing Requirement Determination Under Section 2(h) of the CEA
Effective Date: Monday, February 11, 2013

Rulemaking:
Clearing Requirement

11/2/2012

77 FR 66288// PDF Version
17 CFR Parts 1, 4, 5, 7, 8, 15, 16, 18, 21, 22, 36, 38, 41, 140, 145, 155, and 166
Adaptation of Regulations To Incorporate Swaps
Effective Date: Wednesday, January 02, 2013


Rulemaking: Conforming Amendments

10/25/2012

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


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

9/11/2012

7 FR 55904 // PDF Version
17 CFR Part 23
Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants
Effective Date: Tuesday, November 13, 2012


Rulemaking:
Business Conduct Standards - Internal

See also:
78 FR 21045 // PDF Version
17 CFR Part 23 Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants; Correction
Effective Date: Tuesday, April 09, 2013

9/5/2012

77 FR 54355 // PDF Version
17 CFR Part 4
Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act
Effective Date: Monday, November 05, 2012


Rulemaking: Conforming Amendments

8/28/2012

77 FR 51898 // PDF Version
17 CFR Part 3
Registration of Intermediaries
Effective Date: Monday, October 29, 2012


Rulemaking: Conforming Amendments

8/13/2012

77 FR 48207 // PDF Version
Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Parts 230, 240 and 241
Further Definition of ``Swap,'' ``Security-Based Swap,'' and ``Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Effective Date: Friday, October 12, 2012


Rulemaking:
Further Definition of "Swap," "Security-Based Swap," "Security Based Swap Agreement," and Mixed Swaps

7/30/2012

77 FR 44441 // PDF Version
17 CFR Part 50
Swap Transaction Compliance and Implementation Schedule: Clearing Requirement under Section 2(h) of the CEA
Effective Date: Friday, September 28, 2012


Rulemakings: Process for Review of Swaps for Mandatory Clearing and Clearing Requirement

 

7/19/2012

77 FR 42559 // PDF Version
17 CFR Part 39
End-User Exception to the Clearing Requirement for Swaps
Effective Date: Friday, September 17, 2012


Rulemaking:
Exceptions and Exemptions

6/19/2012

77 FR 36611 // PDF Version
17 CFR Parts, 1, 16, and 38
Core Principles and Other Requirements for Designated Contract Markets
Effective Date: Monday, August 20, 2012


Rulemaking:
DCM Core Principle Rulemaking, Interpretation & Guidance

06/12/2012

77 FR 35200 // PDF Version
17 CFR Part 46
Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps
Effective Date: Monday, August 13, 2012


Rulemaking:
Data Recording & Reporting Requirements

07/13/2012

77 FR 41260 // PDF Version
17 CFR Chapter I
Second Amendment to July 14, 2011 Order for Swap Regulation
Effective Date: Tuesday, July 03, 2012

5/23/2012

77 FR 30596 // PDF
17 CFR Part 240
Further Definition of ‘‘Swap Dealer,’’ ‘‘Security-Based Swap Dealer,’’ ‘‘Major Swap Participant,’’ ‘‘Major Security-Based Swap Participant’’ and ‘‘Eligible Contract Participant’’
Effective Date: Monday, July 23, 2012

Comment File – Closing Date: 7/23/2012

Rulemaking:
Further definition of Swap Dealer, Major Swap Participant, Security-Based Swap Dealer, and Major Security-Based Swap Participant

See also:
77 FR 39626 // PDF Version
17 CFR Part 1
Further Definition of ``Swap Dealer,'' ``Security-Based Swap Dealer,'' ``Major Swap Participant,'' ``Major Security-Based Swap Participant'' and ``Eligible Contract Participant''; Correction: July 5, 2012

4/27/2012

77 FR 25320 // PDF Version
17 CFR Parts 3, 32, and 33
Commodity Options
Effective Date: Tuesday, June 26, 2012

Comment File - Closing Date: 6/26/2012

Rulemaking:
Commodity Options

NOTE: The Interim Final Rule portion of this rule closed for comment on June 26, 2012

4/9/2012

77 FR 21278 // PDF Version
17 CFR Parts 1,23,37,38, and 39
Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management
Effective Date: October 1, 2012


Rulemaking:
DCO Core Principles

4/3/2012

77 FR 20128 // PDF Version
17 CFR Parts 1,3, and 23
Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants
Effective Date: Monday, June 4, 2012


Rulemaking: Business Conduct Standards - Internal

2/24/2012

77 FR 11252 // PDF Version
17 CFR Parts 4, 145 and 147
Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
Effective Date: Tuesday, April 24, 2012


Rulemaking:
Investment Adviser Reporting


See also:
77 FR 17328 // PDF Version
17 CFR Parts 4, 145, and 147
Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations; Correction: April 26, 2012

2/17/2012

77 FR 9734 // PDF Version
17 CFR Parts 4 and 23
Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
Effective Date: April 17, 2012


Rulemaking:
Business Conduct Standards with Counterparties

2/7/2012

77 FR 6336 // PDF Version
17 CFR Parts 22 and 190
Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
Effective Date: Monday, April 9, 2012

 

1/19/2012

77 FR 2613 // PDF Version
17 CFR Parts 3, 23 and 170
Registration of Swap Dealers and Major Swap Participants
Effective Date: Monday, March 19, 2012


Rulemaking:
Registration - Swap Dealers and Major Swap Participants

See also:
77 FR 2708 // PDF Version
Performance of Registration Functions by National Futures Association With Respect to Swap Dealers and Major Swap Participants
Effective Date: Thursday, January 19, 2012

1/13/2012

77 FR 2136 // PDF Version
17 CFR Part 45
Swap Data Recordkeeping and Reporting Requirements
Effective Date: March 13, 2012


Rulemaking:
Data Recordkeeping & Reporting Requirements

1/9/2012

77 FR 1182 // PDF Version
17 CFR Part 43
Real-Time Public Reporting of Swap Transaction Data
Effective Date: Friday, March 9, 2012


Rulemaking:
Real Time Reporting

See also:
77 FR 2909 // PDF Version
17 CFR Part 43
Real-Time Public Reporting of Swap Transaction Data; Correction: January, 20, 2012

77 FR 48060 // PDF Version
17 CFR Part 43
Real-Time Public Reporting of Swap Transaction Data; Correction: August 13, 2012

12/23/2011

76 FR 80674 // PDF Version
17 CFR Part 48
Registration of Foreign Boards of Trade
Effective Date: Tuesday, February 21, 2012


Regarding Rulemaking:
FBOT Registration

12/23/2011

76 FR 80233 // PDF Version
17 CFR Chapter 1
Amendment to July 14, 2011 Order for Swap Regulation
Effective Date: Friday, December 23, 201
1


Rulemaking: Conforming Amendments

12/19/2011

76 FR 78776 // PDF Version
17 CFR Parts 1 and 30
Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions
Effective Date: Thursday February 17, 2012


Rulemaking:
Alternatives to Credit Ratings

12/14/2011

76 FR 77670 // PDF Version
17 CFR Part 1
Interim Final Interpretation: Retail Commodity Transactions Under Commodity Exchange Act

Comment File - Closing Date: 2/13/2012

Rulemaking:
Real-Time Reporting

See also:
78 FR 52426 // PDF Version
17 CFR Part 1
Retail Commodity Transactions Under Commodity Exchange Act
Effective Date: Friday, August 23, 2013

11/18/2011

76 FR 71626 // PDF Version
17 CFR Parts 1, 150 and 151
Position Limits for Futures and Swaps
Effective Date: Tuesday, January 17, 2012

Comment File - Closing Date: 1/17/2012

Rulemaking:
Position Limits

NOTE: The Interim Final Rule portion of this rule closed for comment on January 17, 2012

11/16/2011

76 FR 71128 // PDF Version
CFTC 17 CFR Part 4 and SEC 17 CFR Parts 275 and 279
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
Effective Date: Saturday, March 31, 2012


Rulemaking:
Investment Adviser Reporting

11/8/2011

76 FR 69334 // PDF Version
17 CFR Parts 1, 21, 39, and 140
Derivatives Clearing Organization General Provisions and Core Principles
Effective Date: Monday, January 9, 2012

Rulemaking:
DCO Core Principles

9/12/2011

76 FR 56103 // PDF Version
17 CFR Part 5
Retail Foreign Exchange Transactions; Conforming Changes to Existing Regulations in Response to the Dodd-Frank Wall Street Reform and Consumer Protection Act
Effective Date: Monday, September 12, 2011

Rulemaking:
Foreign Currency (Retail Off Exchange)

9/1/2011

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

Rulemaking:
Swap Data Repositories Registration

8/25/2011

76 FR 53172 // PDF Version
17 CFR Part 165
Final Rules for Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act
Effective Date: Monday, October 24, 2011

Rulemaking:
Whistleblowers

8/10/2011

76 FR 49291 // PDF Version
17 CFR Part 35
Agricultural Swaps
Effective Date: Saturday, December 31, 2011

Rulemaking:
Agricultural Swaps

7/27/2011

76 FR 44776 // PDF Version
17 CFR Part 40
Provisions Common to Registered Entities
Effective Date: Monday, September 26, 2011

Rulemaking:
Rule Certification & Approval Procedures (applicable to DCMs, DCOs, SEFs)

See also:
76 FR 45666 // PDF Version
Correction: 17 CFR Part 40
Provisions Common to Registered Entities; Correction

7/26/2011

76 FR 44464 // PDF Version
17 CFR Parts 39 and 140
Process for Review of Swaps for Mandatory Clearing
Effective Date: Monday, September 26, 2011

Rulemaking:
Process for Review of Swaps for Mandatory Clearing

7/25/2011

76 FR 44262 // PDF Version
17 CFR Parts 1 and 4
Removing Any Reference to or Reliance on Credit Ratings in Commission Regulations; Proposing Alternatives to the Use of Credit Ratings
Effective Date: Friday, September 23, 2011

Rulemaking:
Alternatives to Credit Ratings

7/22/2011

76 FR 43851 // PDF Version
17 CFR Parts 15 and 20
Large Trader Reporting for Physical Commodity Swaps
Effective Date: Tuesday, September 20, 2011

Rulemaking:
Large Swaps Trader Reporting

7/22/2011

76 FR 43874 // PDF Version
17 CFR Part 160
Privacy of Consumer Financial Information; Conforming Amendments under Dodd-Frank Act
Effective Date: Tuesday, September 20, 2011


Rulemaking:
Fair Credit Reporting Act and Gramm-Leach Bliley Act

7/22/2011

76 FR 43879 // PDF Version
17 CFR Part 162
Business Affiliate Marketing and Disposal of Consumer Information Rules
Effective Date: Tuesday September 20, 2011


Rulemaking:
Fair Credit Reporting Act and Gramm-Leach Bliley Act

7/19/2011

76 FR 42508 // PDF Version
17 CFR Chapter 1
Effective Date for Swap Regulation
Effective Date: Thursday, July 14, 2011

7/14/2011

76 FR 41398 // PDF Version
17 CFR Part 180
Prohibition on the Employment, or Attempted Employment, of Manipulative and Deceptive Devices - Prohibition on Price Manipulation
Effective Date: Monday, August 15, 2011


Rulemaking:
Anti-Manipulation

7/13/2011

76 FR 41048 // PDF Version
17 CFR Part 1
Agricultural Commodity Definition
Effective Date: Monday, September 12, 2011


Rulemaking:
Agricultural Commodity Definition

12/17/2010

75 FR 78892 // PDF Version
17 CFR Part 44
Interim Final Rule: Reporting Certain Post-Enactment Swap Transactions
Effective Date: Friday, December 17, 2010

Comment File - Closing Date: 1/18/2011

Rulemaking:
Data Recordkeeping & Reporting Requirements

10/14/2010

75 FR 63080 // PDF Version
17 CFR Part 44
Interim Final Rule for Reporting Pre-Enactment Swap Transactions
Effective Date: Thursday, October 14, 2010

Comment File - Closing Date: 11/15/2010

Rulemaking:
Swap Data Repositories Registration

9/10/2010

75 FR 55410 // PDF Version
17 CFR Parts 1, 3, 4, 5, 10, 140, 145, 147, 160, and 166
Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries
Effective Date: Monday, October 18, 2010


Rulemaking:
Foreign Currency (Retail Off Exchange)

See also:
75 FR 55310 // PDF Version
Performance of Registration Functions by National Futures Association With Respect to Retail Foreign Exchange Dealers and Associated Persons
Effective Date: Friday, September 10, 2010


Rulemaking:
Foreign Currency (Retail Off Exchange)

 Other Final Actions
 

Publication
Date

Other Final Actions

05/26/2020

Amended and Restated Order of Limited Purpose Designation for Cargill, Incorporated

06/20/2018

Amended and Restated Order of a Limited Purpose Designation for State Street Bank and Trust Company

02/20/2018

Order of Exemption re: U.S. Bank National Association

10/31/2017

82 FR 50309 // PDF Version
17 CFR Part 1
Order Establishing a New De Minimis Threshold Phase-In Termination Date

6/13/2017

Commission Statement Concerning a Request for an Interpretation as to Whether a Particular Agreement Is a Swap, Security-Based Swap, or Mixed Swap 

Requesting Submission

10/18/2016

81 FR 71605 // PDF Version
17 CFR Part 1
Order Establishing De Minimis Threshold Phase-In Termination Date

12/19/2013

Order re: State Street Bank and Trust Company

10/30/2013

Notice Regarding LEIs that may be used to Comply with CFTC LEI Requirements

10/29/2013

Order of Limited Purpose Designations for Cargill, Incorporated and an Affiliate

4/09/2013

Order re: Treatment of Funds Held in Connection with Clearing by ICE Clear Europe Limited of Credit Default Swaps

1/14/2013

Order: ICE Clear Credit 4d(f) Portfolio Margining

9/4/2012

77 FR 53870 // PDF Version
Availability of a Legal Entity Identifier Meeting the Requirements of the Regulations of the Commodity Futures Trading Commission and Designation of Provider of Legal Entity Identifiers To Be Used in the Recordkeeping and Swap Data Reporting.