Proposed Rules, Guidance and Exemptive Orders

Dodd-Frank Proposed Rules and Advanced Notices

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. The Commission is also currently finalizing Dodd-Frank rules.

View Dodd-Frank Final Rules and Orders
View all Dodd-Frank Guidance, Questions and Answers, and Staff Letters
Currently Effective Staff Letters

To date, the CFTC has issued 91 proposed rules, 4 advanced notices of proposed rulemaking, 6 proposed exemptive orders and 1 other notices.

Proposed Rules

Publication
Date

Proposed Rule Details

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

Regarding Rulemaking: Volcker Rule

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

 

8/29/2018

83 FR 44001 // PDF Version
17 CFR Part 50
Amendments to Clearing Exemption for Swaps Entered Into by Certain Bank Holding Companies, Savings and Loan Holding Companies, and Community Development Financial Institutions
Comment File – Closing Date: 10/29/2018

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:  07/17/2018

Regarding Rulemaking: Volcker Rule

See also:

Draft Instructions for Preparing and Submitting Quantitative Measurement Information (PDF)
Draft Technical Specifications Guidance (PDF)

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

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


5/8/2017

82 FR 21330 // 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

Comment File - Closing Date: 5/8/2017

Regarding Rulemaking:  Internal Business Conduct Standards


3/16/2017

82 FR 13971 // PDF Version
17 CFR Parts 1, 23, and 40
Capital Requirements of Swap Dealers and Major Swap Participants
Comment File - Closing Date: 3/16/2017

Regarding Rulemaking:  Capital & Margin for Non-banks


1/25/2017

82 FR 8369 // PDF Version
17 CFR Part 49
Proposed Amendments To Swap Data Access Provisions and Certain Other Matters
Comment File - Closing Date: 3/27/2017

Regarding Rulemaking:  Conforming Amendments


1/23/2017

82 FR 7738 // PDF Version 
17 CFR Parts 3 and 9
Technical Amendments to Rules on Registration and Review of Exchange Disciplinary, Access Denial or Other Adverse Actions
Comment File - Closing Date: 3/24/2017

Regarding Rulemaking: Conforming Amendments


1/19/2017

82 FR 6356 // PDF Version
17 CFR Parts 1 and 23

Recordkeeping
Comment File - Closing Date: 3/20/2017

Regarding Rulemaking: Conforming Amendments


12/16/2016

81 FR 91252 // PDF Version
17 CFR Parts 1, 23, and 140
Capital Requirements of Swap Dealers and Major Swap Participants
Comment File - Closing Date: 2/28/2017

Regarding Rulemaking:  Capital & Margin for Non-banks


12/16/2016

81 FR 96704 // PDF Version
17 CFR Parts 1, 15, 17, 19, 37, 38, 140, 150 and 151
Position Limits for Derivatives
Comment File - Closing Date: 2/28/2017


10/18/2016

81 FR 71946 // PDF Version
17 CFR Parts 1 and 23
Cross-Border Application of the Registration Thresholds and External Business Conduct Standards Applicable to Swap Dealers and Major Swap Participants
Comment File - Closing Date: 12/19/2016


6/16/2016

81 FR 39506 // PDF Version
17 CFR Part 50
Clearing Requirement Determination Under Section 2(h) of the CEA for Interest Rate Swaps
Comment File - Closing Date: 7/18/2016


6/13/2016

81 FR 38458  // PDF Version
17 CFR Parts 37, 38, 150
Position Limits for Derivatives: Certain Exemptions and Guidance
Comment File - Closing Date:  7/13/2016


9/29/2015

80 FR 58365 // PDF Version
17 CFR Part 150

Aggregation of Positions
Comment File - Closing Date: 11/13/2015


8/31/2015

80 FR 52544 // PDF Version
17 CFR Part 45

Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps
Comment File - Closing Date: 10/30/2015
Regarding Rulemaking: Data Recordkeeping & Reporting Requirements


0/14/2015

80 FR 41376 // PDF Version
17 CFR Parts 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements

Comment File - Closing Date:  9/14/2015


3/28/2015

80 FR 10022 // PDF Version
17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150
Position Limits for Derivatives and Aggregation of Positions
Comment File - Closing Date: 3/28/2015


1/5/2015

80 FR 200 // PDF Version
17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150
Position Limits for Derivatives and Aggregation of Positions
Comment File - Closing Date: 1/22/2015


12/4/2014

79 FR 71973 // PDF Version
17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150

Position Limits for Derivatives and Aggregation of Positions
Comment File – Closing Date:  01/22/2015

   


10/3/2014

79 FR 59898 // PDF Version
17 CFR Parts 23 and 140
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Comment File - Closing Date: 12/2/2014


12/12/2013

78 FR 75680 // PDF Version
17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150
Position Limits for Derivatives
Comment File - Closing Date: 02/10/2014


11/15/2013

78 FR 68946 // PDF Version
17 CFR Part 150
Aggregation of Positions
Comment File - Closing Date: 1/14/2014


8/16/2013

78 FR 50260 // PDF Version
17 CFR Parts 39, 140, and 190
Derivatives Clearing Organizations and International Standards
Comment File - Closing Date: 9/16/2013


4/8/2013

78 FR 20848 // PDF Version
17 CFR Part 23
Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees
Comment File - Closing Date: 6/7/2013



1/7/2013

78 FR 909 // PDF Version
17 CFR Chapter I

Further Proposed Guidance Regarding Compliance With Certain Swap Regulations
Comment File - Closing Date: 2/2/2013


1/2/2013

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


8/21/2012

77 FR 50425 // PDF Version
17 CFR Part 39
Clearing Exemption for Swaps Between Certain Affiliated Entities
Comment File - Closing Date: 9/20/2012

8/7/2012

77 FR 47169 // PDF Version
17 CFR Part 50
Clearing Requirement Determination Under Section 2(h) of the CEA
Comment File - Closing Date: 9/6/2012

Regarding Rulemaking: Clearing Requirment

7/17/2012

77 FR 41940 // PDF Version
17 CFR Part 39
Clearing Exemption for Certain Swaps Entered Into by Cooperatives
Comment File - Closing Date: 8/16/2012

Regarding Rulemakings: End-user Exception
                                       Clearing Requirement

7/12/2012

77 FR 41213 // PDF Version
17 CFR Chapter I
Cross-Border Application of Certain Swaps Provisions of the Commodity Exchange Act
Comment File - Closing Date: 8/27/2012

6/27/2012

77 FR 38229  // 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
Comment File - Closing Date: 7/27/2012

Regarding Rulemaking: Real-Time Reporting

6/15/2012

77 FR 35892 // 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
Comment File - Closing Date: 8/14/2012

5/30/2012

77 FR 31767 // PDF Version
17 CFR Part 151
Aggregation, Position Limits for Futures and Swaps
Comment File - Closing Date: 6/29/2012

Regarding Rulemaking: XXVI Position Limits, including Bona Fide Hedging Definition & Aggregate Limits

5/7/2012

77 FR 26709 // 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
Comment File - Closing Date: 6/6/2012
Regarding Rulemaking: XVI. Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation & Guidance

3/15/2012

77 FR 15460 // PDF Version

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

Comment File - Closing Date: 5/14/2012

Regarding Rulemaking: XVIII. Real Time Reporting

3/6/2012

77 FR 13450 // PDF Version

CFTC 17 CFR Part 162 and SEC 17 CFR Part 248
Identity Theft Red Flags Rules

Comment File - Closing Date: 5/7/2012

Regarding Rulemaking: XXI. Joint Rules w/ SEC

2/24/2012

77 FR 11345 // PDF Version

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

Comment File - Closing Date: 4/24/2012

Regarding Rulemaking: XXVII. Investment Adviser Reporting

2/14/2012

77 FR 8332 // PDF Version

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

Comment File - Closing Date: 4/16/2012

Regarding Rulemaking: XXVIII. Volcker Rule

12/14/2011

76 FR 77728 // 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 under Section 2(h)(8) of the Commodity Exchange Act

Comment File - Closing Date: 2/13/2012

Regarding Rulemaking: XII. DCM Core Principles
                                      XIII. SEF Registration

9/20/2011

76 FR 58186 // PDF Version

17 CFR Parts 37, 38, and 39
Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA

Comment File - Closing Date: 11/4/2011

Regarding Rulemaking: VIII. Process for Review of Swaps for Mandatory Clearing
                                     XIII. SEF Registration

8/1/2011

76 FR 45730 // PDF Version

17 CFR Parts 1, 23, and 39
Customer Clearing Documentation and Timing of Acceptance for Clearing

Comment File - Closing Date: 9/30/2011

Regarding Rulemaking: VII. DCO Core Principles

See Also

76 FR 47529 // PDF Version

Correction: 17 CFR Parts 1, 23, and 39
Customer Clearing Documentation and Timing of Acceptance for Clearing; Correction

8/1/2011

76 FR 45724 // PDF Version

17 CFR Parts 1 and 23
Clearing Member Risk Management

Comment File - Closing Date: 9/30/2011

Regarding Rulemaking: VII. DCO Core Principles

6/9/2011

76 FR 33818 // PDF Version

17 CFR Parts 22 and 190
Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions

Comment File - Closing Date: 8/8/2011

Regarding Rulemaking: VI. Segregation & Bankruptcy

See Also

76 FR 35141 // PDF Version

Correction: 17 CFR Parts 22 and 190
Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions; Correction

6/7/2011

76 FR 33066 // PDF Version

17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166
Adaptation of Regulations to Incorporate Swaps

Comment File - Closing Date: 8/8/2011

Regarding Rulemaking: XXXI. Conforming Amendments

See Also:

Related Document: Adaptation of Regulations - Redline

5/23/2011

76 FR 29818 // PDF Version

Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Part 240
Further Definition of "Swap,'' "Security-Based Swap,'' and "Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap Agreement Recordkeeping

Comment File - Closing Date: 7/22/2011

Regarding Rulemaking: XXI. Joint Rules w/ SEC

See Also:

76 FR 32880 // PDF Version

Correction: CFTC 17 CFR Part 1 and SEC 17 CFR Part 240
Further Definition of "Swap,'' "Security-Based Swap,'' and "Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap Agreement Recordkeeping

5/12/2011

76 FR 27802 // PDF Version

17 CFR Parts 1, 23, and 140
Capital Requirements of Swap Dealers and Major Swap Participants

Comment File - Closing Date: 7/11/2011

Regarding Rulemaking: V. Capital & Margin for Non-banks

4/28/2011

76 FR 23732 // PDF Version

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

Comment File - Extended Date: 7/11/2011

Regarding Rulemaking: V. Capital & Margin for Non-banks

See Also:

76 FR 27621 // PDF Version

Comments Extension
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Comment File - Closing Date: 7/11/2011

See Also:

76 FR 58176 // PDF Version

17 CFR Part 23
Swap Transaction Compliance and Implementation Schedule: Trading Documentation and Margining Requirements under Section 4s of the CEA

Comment File - Closing Date: 11/4/2011

Regarding Rulemaking: IV. Internal Business Conduct
                                     V. Capital and Margin for Non-Banks

See Also:

77 FR 41109 // PDF Version

Comments Extension

17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Comment FileExtended Date: 9/14/2012

4/25/2011

76 FR 22833 // PDF Version

17 CFR Part 46
Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps

Comment File - Closing Date: 6/9/2011

Regarding Rulemaking: XVII. Data Recordkeeping

3/18/2011

76 FR 14943 // PDF Version

Antidisruptive Practices Authority (Proposed Interpretive Order)

Comment File - Closing Date: 5/17/2011

Regarding Rulemaking: XXIV. Disruptive Trading Practices

3/10/2011

76 FR 13101 // PDF Version

17 CFR Parts 23, 37, 38, and 39
Requirements for Processing, Clearing, and Transfer of Customer Positions

Comment File - Extended Date: 6/3/2011

Regarding Rulemaking: VII. DCO Core Principles

3/9/2011

76 FR 12888 // PDF Version

17 CFR Part 3
Registration of Intermediaries

Comment File - Extended Date: 6/3/2011

Regarding Rulemaking: XXXI. Conforming Amendments

3/3/2011

76 FR 11701 // PDF Version

17 CFR Part 4
Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act

Comment File - Extended Date: 6/3/2011

Regarding Rulemaking: XXXI. Conforming Amendments

2/11/2011

76 FR 8068 // PDF Version

Commodity Futures Trading Commission 17 CFR Part 4 Securities and Exchange Commission 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

Comment File - Closing Date: 4/12/2011

Regarding Rulemaking: XXVII. Investment Adviser Reporting

2/11/2011

76 FR 7976 // PDF Version

17 CFR Parts 4, 145, and 147
Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations

Comment FIle - Closing Date: 4/12/2011

Regarding Rulemaking: XXVII. Investment Adviser Reporting

2/8/2011

76 FR 6708 // PDF Version

17 CFR Part 23
Orderly Liquidation Termination Provision in Swap Trading Relationship Documentation for Swap Dealers and Major Swap Participants

Comment File - Extended Date: 6/3/2011

Regarding Rulemaking: IV. Business Conduct Standards - Internal

2/8/2011

76 FR 6715 // PDF Version

17 CFR Part 23
Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants

Comment File - Closing Date: 4/11/2011

Regarding Rulemaking: IV. Business Conduct Standards - Internal

See Also:

76 FR 58176 // PDF Version
17 CFR Part 23
Swap Transaction Compliance and Implementation Schedule: Trading Documentation and Margining Requirements Under Section 4s of the CEA
Comment File - Closing Date: 11/4/2011

2/3/2011

76 FR 6095 // PDF Version

17 CFR Parts 3, 32, 33, and 35
Commodity Options and Agricultural Swaps

Comment File - Extended Date: 6/3/2011

Regarding Rulemaking: XIX. Agricultural Swaps

1/26/2011

76 FR 4752 // PDF Version

17 CFR Parts 1, 150 and 151
Position Limits for Derivatives

Comment File - Closing Date: 3/28/2011

Regarding Rulemaking: XXVI. Position Limits

1/20/2011

76 FR 3698 // PDF Version

17 CFR Part 39
Risk Management Requirements for Derivatives Clearing Organizations

Comment File - Closing Date: 3/21/2011

Regarding Rulemaking: VII. DCO Core Principles

See Also:

76 FR 16588 // PDF Version

Correction: 17 CFR Part 39
Risk Management Requirements for Derivatives Clearing Organizations; Correction

 

76 FR 16587 // PDF Version

Comments Extension: 17 CFR Part 39
Risk Management Requirements for Derivatives Clearing Organizations

1/7/2011

76 FR 1214 // PDF Version

17 CFR Part 37
Core Principles and Other Requirements for Swap Execution Facilities

Comment File - Extended Date: 6/3/2011

Regarding Rulemaking: XIII. SEF Registration

1/6/2011

76 FR 722 // PDF Version

17 CFR Parts 1, 37, 38, 39, and 40
Governance Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities; Additional Requirements Regarding the Mitigation of Conflicts of Interest

Comment File - Extended Date: 6/3/2011

Regarding Rulemaking: IX. Governance & Possible Limits

12/28/2010

75 FR 81519 // PDF Version

17 CFR Part 23
Confirmation, Portfolio Reconciliation, and Portfolio Compression Requirements for Swap Dealers and Major Swap Participants

Comment File - Extended Date: 6/3/2011

Regarding Rulemaking: IV. Business Conduct Standards - Internal

12/23/2010

75 FR 80898 // PDF Version

17 CFR Part 49
Swap Data Repositories

Comment File - Extended Date: 6/3/2011

Regarding Rulemaking: XVI. Swap Data Repositories Registration

12/23/2010

75 FR 80747 // PDF Version

17 CFR Part 39
End-User Exception to Mandatory Clearing of Swaps

Comment File - Extended Date: 6/3/2011

Regarding Rulemaking: XI. End-user Exception

12/22/2010

75 FR 80638 // PDF Version

17 CFR Parts 23 and 155
Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties

Comment File - Extended Date: 6/3/2011

Regarding Rulemaking: III. Business Conduct Standards w/ Counterparties

12/22/2010

75 FR 80572 // PDF Version

17 CFR Parts 1, 16, and 38
Core Principles and Other Requirements for Designated Contract Markets

Comment File - Extended Date: 6/3/2011

Regarding Rulemaking: XII. DCM Core Principles

See Also:

76 FR 14825 // PDF Version

Comments Extension: 17 CFR Parts 1, 16, and 38
Core Principles and Other Requirements for Designated Contact Markets

12/21/2010

75 FR 80174 // PDF Version

17 CFR Part 1 Securities and Exchange Commission 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"

Comment File - Extended Date: 6/3/2011

Regarding Rulemaking: II. Definitions

12/15/2010

75 FR 78185 // PDF Version

17 CFR Parts 1, 21, and 39
Information Management Requirements for Derivatives Clearing Organizations

Comment File -  Extended Date: 6/3/2011

Regarding Rulemaking: VII. DCO Core Principles

12/13/2010

75 FR 77576 // PDF Version

17 CFR Parts 1 and 39
General Regulations and Derivatives Clearing Organizations

Comment File -  Extended Date: 6/3/2011

Regarding Rulemaking: VII. DCO Core Principles

12/9/2010

75 FR 76666 // PDF Version

17 CFR Part 23
Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants

Comment File -  Extended Date: 6/3/2011

Regarding Rulemaking: Internal Business Conduct Standards

12/8/2010

75 FR 76573 // PDF Version

17 CFR Part 45
Swap Data Recordkeeping and Reporting Requirements

Comment File -  Extended Date: 6/3/2011

Regarding Rulemaking: XVII. Data Recordkeeping

12/7/2010

75 FR 76139 // PDF Version

17 CFR Part 43
Real-Time Public Reporting of Swap Transaction Data

Comment File – Closing Date: 2/7/2011

Regarding Rulemaking: XVIII. Real Time Reporting

See Also:

75 FR 76930 // PDF Version

Correction: 17 CFR Part 43
Real-Time Public Reporting of Swap Transaction Data Correction

12/6/2010

75 FR 75728 // PDF Version

17 CFR Part 165
Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act

Comment File – Closing Date: 2/4/2011

Regarding Rulemaking: XXV. Whistleblowers

See Also:

76 FR 4569 // PDF Version

Correction: 17 CFR Part 165
Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act

12/3/2010

75 FR 75432 // 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

Comment FileExtended Date: 6/3/2011

Regarding Rulemaking: VI. Segregation & Bankruptcy

11/23/2010

75 FR 71397 // PDF Version

17 CFR Part 23
Regulations Establishing and Governing the Duties of Swap Dealers and Major Swap Participants

Comment FileExtended Date: 6/3/2011

Regarding Rulemaking: IV. Business Conduct Standards - Internal

11/23/2010

75 FR 71391 // PDF Version

17 CFR Part 23
Implementation of Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants

Comment FileExtended Date: 6/3/2011

Regarding Rulemaking: IV. Business Conduct Standards - Internal

11/23/2010

75 FR 71379 // PDF Version

17 CFR Parts 3, 23 and 170
Registration of Swap Dealers and Major Swap Participants

Comment FileExtended Date: 6/3/2011

Regarding Rulemaking: I. Registration

11/19/2010

75 FR 70881 // PDF Version

17 CFR Part 3
Designation of a Chief Compliance Officer; Required Compliance Policies; and Annual Report of a Futures Commission Merchant, Swap Dealer, or Major Swap Participant

Comment FileExtended Date: 6/3/2011

Regarding Rulemaking: IV. Business Conduct Standards - Internal

11/19/2010

75 FR 70973 // PDF Version

17 CFR Part 48
Registration of Foreign Boards of Trade

Comment FileExtended Date: 6/3/2011

Regarding Rulemaking: XIV. FBOT Registration

11/17/2010

75 FR 70152 // PDF Version

17 CFR Part 1
Implementation of Conflicts of Interest Policies and Procedures by Futures Commission Merchants and Introducing Brokers

Comment FileExtended Date: 6/3/2011

Regarding Rulemaking: IV. Business Conduct Standards - Internal

11/3/2010

75 FR 67642 // 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

Comment FileExtended Date: 6/3/2011

Regarding Rulemaking: XXIX. Alternatives to Credit Ratings

11/3/2010

75 FR 67657 // PDF Version

17 CFR Part 180
Prohibition of Market Manipulation

Comment File - Closing Date: 1/3/2011

Regarding Rulemaking: XXIII. Anti-Manipulation

11/2/2010

75 FR 67254 // 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

Comment File - Closing Date: 12/2/2010

Regarding Rulemaking: XXIX. Alternatives to Credit Ratings

11/2/2010

75 FR 67258 // PDF Version

17 CFR Parts 15 and 20
Position Reports for Physical Commodity Swaps

Comment File - Closing Date: 12/2/2010

Regarding Rulemaking: XXXII. Large Swaps Trader Reporting

11/2/2010

75 FR 67277 // PDF Version

17 CFR Parts 39 and 140
Process for Review of Swaps for Mandatory Clearing

Comment FileExtended Date: 6/3/2011

Regarding Rulemaking: VIII. Process for Review of Swaps

11/2/2010

75 FR 67282 // PDF Version

17 CFR Part 40
Provisions Common to Registered Entities

Comment File - Closing Date: 1/3/2011

Regarding Rulemaking: XV. Rule Certification

10/27/2010

75 FR 66018 // PDF Version

17 CFR Part 162
Business Affiliate Marketing and Disposal of Consumer Information Rules

Comment File - Closing Date: 12/27/2010

Regarding Rulemaking: XXX. FCRA and GLB

10/27/2010

75 FR 66014 // PDF Version

17 CFR Part 160
Privacy of Consumer Financial Information; Conforming Amendments Under Dodd-Frank Act

Comment File - Closing Date: 12/27/2010

Regarding Rulemaking: XXX. FCRA and GLB

10/26/2010

75 FR 65586 // PDF Version

17 CFR Part 1
Agricultural Commodity Definition

Comment File - Extended Date: 6/3/2011

Regarding Rulemaking: XIX. Agricultural Swaps

10/18/2010

75 FR 63732 // PDF Version

17 CFR Parts 1, 37, 38, 39, and 40
Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities Regarding the Mitigation of Conflicts of Interest

Comment File - Extended Date: 6/3/2011

Regarding Rulemaking: IX. Governance & Possible Limits

10/14/2010

75 FR 63113 // PDF Version

17 CFR Parts 39 and 140
Financial Resources Requirements for Derivatives Clearing Organizations

Comment File - Extended Date: 6/3/2011

Regarding Rulemaking: VII. DCO Core Principles
                                      X. Systemically Important DCO Rules

Proposed Exemptive Orders

Publication
Date

Proposed Order Details


8/28/2012

77 FR 52137 // 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
Comment File - Closing Date: 9/27/2012


8/23/2012

77 FR 50998 // PDF Version
Proposal To Exempt Certain Transactions Involving Not-for-Profit Electric Utilities; Request for Comments
Comment File - Closing Date: 9/24/2012

7/12/2012

77 FR 41110 // PDF Version
17 CFR Chapter I
Exemptive Order Regarding Compliance With Certain Swap Regulations
Comment File - Closing Date: 8/13/2012

5/16/2012

77 FR 28819 // PDF Version
17 CFR Chapter 1

Second Amendment to July 14, 2011 Order for Swap Regulation
Comment File - Closing Date: 5/30/2012

10/25/2011

76 FR 65999 // PDF Version

17 CFR Chapter 1
Effective Date for Swap Regulation

Comment File - Closing Date: 11/25/2011                                

6/17/2011

76 FR 35372 // PDF Version

17 CFR Chapter 1
Effective Date for Swap Regulation

Comment File - Closing Date: 7/1/2011

Advanced Notices of Proposed Rulemaking

Publication
Date

Advanced Notice Details

12/2/2010

75 FR 75162 // PDF Version

17 CFR Part 190
Protection of Cleared Swaps Customers Before and After Commodity Broker Bankruptcies

Comment File - Closing Date: 1/18/2011

Regarding Rulemaking: VI. Segregation & Bankruptcy

11/2/2010

75 FR 67301 // PDF Version

17 CFR Part 1
Antidisruptive Practices Authority Contained in the Dodd-Frank Wall Street Reform and Consumer Protection Act

Comment File - Closing Date: 1/3/2011

Regarding Rulemaking: VI. Disruptive Trading Practices

See Also:

76 FR 14826 // PDF Version

Notice: 17 CFR Chapter I
Antidisruptive Practices Authority (Advance Notice of Proposed Rulemaking; Notice of Termination)

9/28/2010

75 FR 59666 // PDF Version

17 CFR Part 35
Agricultural Swaps

Comment File - Closing Date: 10/28/2010

Regarding Rulemaking: XIX. Agricultural Swaps

8/20/2010

75 FR 51429 // PDF Version

Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Part 240 Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act

Comment File - Closing Date: 9/20/2010

Regarding Rulemaking: II. Definitions
XXI. Joint Rules w/ SEC

Other Notices

Publication
Date

Notice Details

5/4/2011

76 FR 25274 // PDF Version

17 CFR Chapter 1
Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

Comment File - Closing Date: 6/3/2011