Publication
Date
|
Proposed Rule Details
|
7/10/2020 |
85 FR 41463// PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants Comment File - Closing Date: 09/08/2020
See also:
84 FR 56950, 10/24/2019 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
85 FR 19878, 4/9/2020 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
85 FR 41346, 7/10/2020 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Rulemaking: Capital & Margin
|
5/12/2020
|
85 FR 27955 // PDF Version
17 CFR Part 50
Swap Clearing Requirement Exemptions Comment File – Closing Date: 7/13/2020
See also:
83 FR 44001, 8/29/2018 // 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
Rulemaking: Exceptions and Exemptions
|
5/4/2020
|
85 FR 26378 // PDF Version 17 CFR Part 4
Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR Comment File – Closing Date: 6/15/2020
Rulemaking: Investment Adviser Reporting
|
04/17/2020
|
85 FR 21516 // PDF Version
17 CFR Part 43
Amendments to the Real-Time Public Reporting Requirements Comment File – Closing Date: 5/20/2020
Extended Date: 5/22/2020
See also:
85 FR XXXX, 4/16/2020 // PDF Version
17 CFR Chapter I
Extension of Currently Open Comment Periods for Rulemakings in Response to the COVID-19 Pandemic
Rulemaking: Real-Time Reporting
|
04/17/2020
|
85 FR 21578 // PDF Version
17 CFR Parts 45, 46, and 49
Amendments to the Swap Data Recordkeeping and Reporting Requirements Comment File – Closing Date: 5/20/2020
Extended Date: 5/22/2020
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
84 FR 35847, 7/25/2019 // PDF Version
17 CFR Parts 23, 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements; Extension of Comment Period
84 FR 57831, 10/29/2019 // PDF Version
17 CFR Parts 23, 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements
85 FR XXXX, 4/16/2020 // PDF Version
17 CFR Chapter I
Extension of Currently Open Comment Periods for Rulemakings in Response to the COVID-19 Pandemic
85 FR 21339, 4/17/2020 // PDF Version
17 CFR Parts 23, 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements
Rulemaking: Data Recordkeeping
|
04/17/2020
|
85 FR 21339 // PDF Version
17 CFR Parts 23, 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements
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
84 FR 35847, 7/25/2019 // PDF Version
17 CFR Parts 23, 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements; Extension of Comment Period
84 FR 57831, 10/29/2019 // PDF Version
17 CFR Parts 23, 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements
85 FR XXXX, 2/20/2020 // PDF Version
17 CFR Parts 23, 43, 45, and 49
Certain Swap Data Repository and Data Reporting Requirements
Rulemaking: Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation & Guidance
|
2/27/2020
|
85 FR 11596 // PDF Version
17 CFR Parts 1, 15, 17, 19, 40, 140, 150 and 151
Position Limits for Derivatives Comment File – Closing Date:4/29/2020
Regarding Rulemaking: Position Limits for Derivatives and Aggregation of Positions
|
02/19/2020
|
85 FR 9407 // PDF Version 17 CFR Parts 36, 37, and 43
Swap Execution Facility Requirements and Real-Time Reporting Requirements Comment File – Closing Date 4/20/2020
Regarding Rulemaking: SEF Registration Requirements and Core Principle Rulemaking, Interpretation & Guidance
|
1/8/2020
|
85 FR 952 // PDF Version
17 CFR Part 23
Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants; Proposed Rule Comment File – Closing Date:3/9/2020
Regarding Rulemakings: Cross-Border Application of Swaps Provisions
|
12/31/2019
|
84 FR 72262 // PDF Version 17 CFR Chapter I
Post-Trade Name Give-Up on Swap Execution Facilities Comment File - Closing Date: 3/2/2020
See also:
83 FR 61571 , 11/30/2018 // PDF Version 17 CFR Chapter I
Post-Trade Name Give-Up on Swap Execution Facilities
84 FR 3350 , 2/12/2019 // PDF Version 17 CFR Chapter I
Post-Trade Name Give-Up on Swap Execution Facilities
Regarding Rulemakings: SEF Registration Requirements and Core Principle Rulemaking, Interpretation & Guidance
|
12/23/2019
|
84 FR 70446 // PDF Version 17 CFR Part 50
Exemption From the Swap Clearing Requirement for Certain Affiliated Entities--Alternative Compliance Frameworks for Anti-Evasionary Measures Comment File - Closing Date: 2/21/2020
Regarding Rulemaking : Exceptions and Exemptions
|
12/19/2019
|
84 FR 69446 // PDF Version
17 CFR Parts 1, 23, and 140
Capital Requirements of Swap Dealers and Major Swap Participants Comment File – Closing Date: 3/3/2020
Regarding Rulemakings: Exceptions and Exemptions and Capital & Margin
|
10/24/2019
|
84 FR 56950 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants Comment File - Closing Date: 12/23/2019
Regarding Rulemakings: Capital & Margin
|
10/22/2019
|
84 FR 56392 // PDF Version
17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants Comment File – Closing Date: 12/23/2019
Regarding Rulemakings: Capital & Margin
|
7/19/2019
|
84 FR 34819 // PDF Version 17 CFR Parts 39 and 140
Registration With Alternative Compliance for Non-U.S. Derivatives Clearing Organizations Comment File – Closing Date: 9/17/2019
Regarding Rulemakings: DCOs
|
5/16/2019
|
84 FR 22226 // PDF Version 17 CFR Parts 1, 39, and 140
Derivatives Clearing Organization General Provisions and Core Principle Comment File – Closing Date: 7/15/2019
|
05/13/2019
|
84 FR 21044 // PDF Version 17 CFR Parts 23, 43, 45, and 49
Proposed Amendments to the Commission’s Regulations Relating to Certain Swap Data Repository and Data Reporting Requirement Comment File – Closing Date: 07/29/2019
|
02/12/2019
|
84 FR 3350 // PDF Version 17 CFR Parts 9, 36, 37, 38, 39, and 43
Swap Execution Facilities and Trade Execution Requirement
Extension of comment period Comment File – Closing Date: 03/15/2019
See also:
83 FR 61946 ,11/30/18 // PDF Version 17 CFR Parts 9, 36, 37, 38, 39, and 43
Swap Execution Facilities and Trade Execution Requirement
Regarding Rulemakings: Process for Designated Contract Market and Swap Execution Facility to Make a Swap Available to Trade
SEF Registration Requirements and Core Principle Rulemaking, Interpretation & Guidance
|
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
|
5/23/2018
|
83 FR 23842 // PDF Version 17 CFR Part 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
|
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
|
7/14/2015
|
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 Requirement
|
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 Fil e - 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 File - Extended 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 File - Extended 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 File - Extended 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 File - Extended 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 File - Extended 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 File - Extended 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 File - Extended 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 File - Extended 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 File - Extended 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 File - Extended 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
|