Public Meetings & Roundtables

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 CFTC began finalizing its Dodd-Frank rules in July 2011. The finalization process is ongoing.

View Dodd-Frank Proposed Rules
View Dodd-Frank Final Rules

The CFTC has held 48 open meetings and 26 public roundtables during its implementation of the Dodd-Frank Act.

Dodd-Frank Public Meetings

Date

Public Meeting

Proposed Actions

Final Actions

10/15/2020 Fifty First Meeting   17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
10/06/2020 Fiftieth Meeting   17 CFR Part 4 Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR
09/17/2020

Forty Ninth Meeting

 

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

17 CFR Part 43 Real-Time Public Reporting Requirements

17 CFR Parts 45, 46, and 49 Swap Data Recordkeeping and Reporting Requirements

17 CFR Parts 43, 45, and 49 Amendments to Regulations Relating to Certain Swap Data Repository and Data Reporting Requirements

07/23/2020

Forty Eighth Meeting

 

85 FR 56924: 17 CFR Part 23 Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants

07/22/2020

Forty Seventh Meeting

 

85 FR 57562: 17 CFR Parts 1, 23, and 140 Capital Requirements of Swap Dealers and Major Swap Participants

04/25/2020

Forty Sixth Meeting

85 FR 41463: 17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

85 FR 44693: 17 CFR Part 37 Post-Trade Name Give-Up on Swap Execution Facilities

85 FR 44170: 17 CFR Part 50 Exemption From the Swap Clearing Requirement for Certain Affiliated Entities--Alternative Compliance Frameworks for Anti-Evasionary Measures

04/14/2020

Forty Fifth Meeting

85 FR 26378 17 CFR Part 4 Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR


17 CFR Part 50 Amendments to Swap Clearing Requirement Exemptions

85 FR 27674 17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

02/20/2020 Forty Fourth Meeting

85 FR 21516 17 CFR Part 43 Amendments to the Real-Time Public Reporting Requirements

85 FR 21578 17 CFR Parts 45, 46, and 49 Amendments to the Swap Data Recordkeeping and Reporting Requirements

85 FR 21339 17 CFR Parts 23, 43, 45, and 49 Certain Swap Data Repository and Data Reporting Requirement

 
01/30/2020

Forty Third Meeting

85 FR 11596 17 CFR Parts 1, 15, 17, 19, 40, 140, 150 and 151 Position Limits for Derivatives

85 FR 9407: 17 CFR Parts 36, 37, and 43 Swap Execution Facility Requirements and Real-Time Reporting Requirements

 
12/18/2019 Forty Second Meeting

84 FR 72262: 17 CFR Part 37 Post-Trade Name Give-Up on Swap Execution Facilities

81 FR 952: 17 CFR Part 23 Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants

85 FR 4800: 17 CFR Parts 1, 39, and 140 Derivatives Clearing Organization General Provisions and Core Principles

12/10/2019 Forty First Meeting

84 FR 69446: 17 CFR Parts 1, 23, and 140 Capital Requirements of Swap Dealers and Major Swap Participants

84 FR 70446: 17 CFR Part 50 Exemption From the Swap Clearing Requirement for Certain Affiliated Entities--Alternative Compliance Frameworks for Anti-Evasionary Measures

 
10/16/2019 Fortieth  Meeting

84 FR 56392: 17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

84 FR 56950: 17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

 

07/11/2019

Thirty Ninth Meeting

84 FR 35376: 17 CFR Parts 39 and 140 Registration with Alternative Compliance for Non-U.S. Derivatives Clearing Organizations

84 FR 34819: 17 CFR Parts 3, 39 and 140 Exemption from Derivatives Clearing Organization Registration

84 FR 36434: Commodity Futures Trading Commission 17 CFR Part 41 Securities and Exchange Commission 17 CFR Part 242

 

03/25/2019

Thirty Eighth Meeting

 

84 FR 12065: 17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participant

84 FR 12450:  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

11/05/2018

Thirty Seventh Meeting

83 FR 61946:  17 CFR Parts 9, 36, 37, 38, 39, and 43 Swap Execution Facilities and Trade Execution Requirement

83 FR 56666: 17 CFR Part 1 De Minimis Exception to the Swap Dealer Definition

11/03/2016

Thirty Sixth Meeting

81 FR 85334: 17 CFR Parts 1, 38, 40, and 170 Regulation Automated Trading

 

09/07/2016

Thirty Fifth Meeting

 

81 FR 64272: 17 CFR Parts 37, 38, and 49 System Safeguards Testing Requirements

12/16/2015

Thirty Fourth Meeting

80 FR 80139: 17 CFR Parts 37, 38, and 49 System Safeguards Testing Requirements

80 FR 80113: 17 CFR Part 39 System Safeguards Testing Requirements for Derivatives Clearing Organizations

81 FR 636: 17 CFR Parts 23 and 140 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

11/24/2015

Thirty Third Meeting

80 FR 78824:  17 CFR Parts 1, 38, 40, and 170, Regulation Automated Trading

 

09/17/2014

Thirty Second Meeting

79 FR 59898:  17 CFR Parts 23 and 140 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

79 FR 57767:  17 CFR Part 1 Exclusion of Utility Operations-Related Swaps With Utility Special Entities From De Minimis

11/05/2013

Thirty First Meeting


78 FR 75680: 17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives

78 FR 68946: 17 CFR Part 150 Aggregation of Positions

 

07/12/2013

Thirtieth Meeting

 

78 FR 43785:  17 CFR Chapter I Exemptive Order Regarding Compliance with Certain Swap Regulations

78 FR 45292:  17 CFR Chapter I Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations

05/16/2013

Twenty-Ninth Meeting

 

78 FR 32866:  17 CFR Part 43 Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades

78 FR 33476:  17 CFR Part 37 Core Principles and Other Requirements for Swap Execution Facilities

78 FR 36606:  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

78 FR 31890:  Anti-disruptive Practices Authority

07/10/2012

Twenty-Eighth Meeting

77 FR 41940:  17 CFR Part 39 Clearing Exemption for Certain Swaps Entered into by Cooperatives

77 FR 42559:  17 CFR Part 39 End-User Exception to the Clearing Requirement for Swaps

  77 FR 48207:  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

05/10/2012

Twenty-Seventh Meeting

 

77 FR 36611:  17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contract Market

04/18/2012

Twenty-Sixth Meeting

 

77 FR 30596:  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''

77 FR 25320:  17 CFR Parts 3, 32, and 33 Final and Interim Final Rulemaking Regarding Commodity Options

03/20/2012

Twenty-Fifth Meeting

 

77 FR 21278:  17 CFR Parts 1, 23, 37, 38, and 39 Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management

02/23/2012

Twenty-Fourth Meeting

77 FR 15460:  17 CFR Part 43 Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades

77 FR 20128:  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

01/11/2012

Twenty-Third Meeting

77 FR 8332:  17 CFR Part 75 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Covered Funds

77 FR 2708:  Performance of Registration Functions by National Futures Association With Respect to Swap Dealers and Major Swap Participants


77 FR 6336:  17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions


77 FR 9734:  17 CFR Parts 4 and 23 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties

 

77 FR 2613:  17 CFR Parts 1, 3, 23, and 170 Registration of Swap Dealers and Major Swap Participants

12/20/2011

Twenty-Second Meeting

 

77 FR 1182:  17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data

77 FR 2136:  17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements

76 FR 42508:  17 CFR Chapter 1 Effective Date for Swap Regulation

12/05/2011

Twenty-First Meeting

76 FR 77728:  17 CFR Parts 37 and 38 Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available To Trade

76 FR 78776:  17 CFR Parts 1 and 30 Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions

76 FR 80674:  17 CFR Part 48 Registration of Foreign Boards of Trade

10/18/2011

Twentieth Meeting

76 FR 65999:  17 CFR Chapter 1 Effective Date for Swap Regulation

76 FR 69334:  17 CFR Parts 1, 21, 39, and 140 Derivatives Clearing Organization General Provisions and Core Principles

76 FR 71626:  17 CFR Parts 1, 150 and 151 Position Limits for Futures and Swaps

09/08/2011

Nineteenth Meeting

76 FR 58176:  17 CFR Part 23 Swap Transaction Compliance and Implementation Schedule: Trading Documentation and Margining Requirements Under Section 4s of the CEA


76 FR 58186:  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

 

08/04/2011

Eighteenth Meeting

 

76 FR 49291:  17 CFR Part 35 Agricultural Swaps

76 FR 54538:  17 CFR Part 49 Swap Data Repositories: Registration Standards, Duties and Core Principles

76 FR 53172:  17 CFR Part 165 Whistleblower Incentives and Protection

07/19/2011

Seventeenth Meeting

76 FR 45730:  17 CFR Parts 1, 23, and 39 Customer Clearing Documentation and Timing of Acceptance for Clearing

76 FR 45724:  17 CFR Parts 1 and 23 Clearing Member Risk Management

76 FR 44776:  17 CFR Part 40 Provisions Common to Registered Entities

76 FR 44464:  17 CFR Parts 39 and 140 Process for Review of Swaps for Mandatory Clearing

76 FR 44262:  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

07/07/2011

Sixteenth Meeting

 

76 FR 41398:  17 CFR Part 180 Prohibition on the Employment, or Attempted Employment, of Manipulative and Deceptive Devices and Prohibition on Price Manipulation

76 FR 41048:  17 CFR Part 1 Agricultural Commodity Definition

76 FR 43879:  17 CFR Part 162 Business Affiliate Marketing and Disposal of Consumer Information Rules

76 FR 43874:  17 CFR Part 160 Privacy of Consumer Financial Information; Conforming Amendments Under Dodd-Frank Act

76 FR 43851:  17 CFR Parts 15 and 20 Large Trader Reporting for Physical Commodity Swaps

Large Trader Reporting for Physical Commodity Swaps

06/14/2011

Fifteenth Meeting

76 FR 35372:  17 CFR Chapter 1 Effective Date for Swap Regulation

 

04/27/2011

Fourteenth Meeting

76 FR 33066:  17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166 Adaptation of Regulations to Incorporate Swaps

76 FR 33818:  17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions

76 FR 27802: 17 CFR Parts 1, 23, and 140 Capital Requirements of Swap Dealers and Major Swap Participants

76 FR 29818:  17 CFR Part 240 Further Definition of ‘‘Swap,’’ ‘‘Security-Based Swap,’’ and ‘‘Security-Based Swap Agreement’’; Mixed Swaps; Security-Based Swap Agreement Recordkeeping


76 FR 27621:  17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

04/12/2011

Thirteenth Meeting

76 FR 23732:  17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

 

02/24/2011

Twelfth Meeting

76 FR 11701:  17 CFR Part 4 Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act

76 FR 13101:  17 CFR Parts 23, 37, 38, and 39 Requirements for Processing, Clearing, and Transfer of Customer Positions

76 FR 12888:  17 CFR Part 3 Registration of Intermediaries

76 FR 14943:  Antidisruptive Practices Authority, Proposed Interpretive Order

76 FR 14826:  17 CFR Chapter I Antidisruptive Practices Authority

 

01/26/2011

Eleventh Meeting

76 FR 8068:  17 CFR Part 4 Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF

76 FR 7976:  17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations

 

01/20/2011

Tenth Meeting

76 FR 6095:  17 CFR Parts 3, 32, 33, and 35 Commodity Options and Agricultural Swap

76 FR 6708:  17 CFR Part 23 Orderly Liquidation Termination Provision in Swap Trading Relationship Documentation for Swap Dealers and Major Swap Participants

 

01/13/2011

Ninth Meeting

76 FR 4752:  17 CFR Parts 1, 150 and 151 Position Limits for Derivatives

76 FR 6715:  17 CFR Part 23 Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants

 

12/16/2010

Eighth Meeting

76 FR 722:  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


75 FR 81519:  17 CFR Part 23 Confirmation, Portfolio Reconciliation, and Portfolio Compression Requirements for Swap Dealers and Major Swap Participants

76 FR 3698:  17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations

76 FR 4752:  17 CFR Parts 1, 150 and 151; Position Limits for Derivatives

 

12/09/2010

Seventh Meeting

75 FR 80747: 17 CFR Part 39 End-User Exception to Mandatory Clearing of Swaps

76 FR 722: 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

75 FR 80638:  17 CFR Parts 23 and 155 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties; Proposed Rule

75 FR 78892: 17 CFR Part 44 Reporting Certain Post-Enactment Swap Transactions

12/01/2010

Sixth Meeting

75 FR 76666; 17 CFR Part 23 Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap
Participants

75 FR 80572: 17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contract Markets

75 FR 77576: 17 CFR Parts 1 and 39 General Regulations and Derivatives Clearing Organizations

75 FR 80174: 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’’

 

11/19/2010

Fifth Meeting

75 FR 75162:  17 CFR Part 190 Protection of Cleared Swaps Customers Before and After Commodity Broker Bankruptcies

75 FR 75432:  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

75 FR 76140:  17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data

75 FR 76930:  17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data (Correction)

75 FR 80898: 17 CFR Part 49 Swap Data Repositories

 

11/10/2010

Fourth Meeting

75 FR 70974: 17 CFR Part 48 Registration of Foreign Boards of Trade

75 FR 70881: 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

75 FR 71397: 17 CFR Part 23 Regulations Establishing and Governing the Duties of Swap Dealers and Major Swap Participants

75 FR 71391:  17 CFR Part 23 Implementation of Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants

75 FR 71379:  17 CFR Parts 3, 23 and 170 Registration of Swap Dealers and Major Swap Participants

75 FR 75728:  17 CFR Part 165 Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act

 

10/26/2010

Third Meeting

75 FR 67301:  17 CFR Chapter I Antidisruptive Practices Authority Contained in the Dodd-Frank Wall Street Reform and Consumer Protection Act

 
75 FR 67657:  17 CFR Part 180 Prohibition of Market Manipulation

 
75 FR 67277:  17 CFR Parts 39 and 140 Process for Review of Swaps for Mandatory Clearing

 

75 FR 67254:  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

 

75 FR 67642:  17 CFR Parts 1 and 30 Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions

 

75 FR 67282:  17 CFR Part 40 Provisions Common to Registered Entities

 

10/19/2010

Second Meeting

75 FR 59666:  17 CFR Part 35 Agricultural Swaps

  75 FR 65586:  17 CFR Part 1 Agricultural Commodity Definition

75 FR 66018:  17 CFR Part 162 Business Affiliate Marketing and Disposal of Consumer Information Rules 

75 FR 66014:  17 CFR Part 160 Privacy of Consumer Financial Information; Conforming Amendments Under Dodd-Frank Act

 

10/01/2010

First Meeting

75 FR 63732:  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 

75 FR 63113:  17 CFR Parts 39 and 140 Financial Resources Requirements for Derivatives Clearing Organizations

75 FR 63080:  17 CFR Part 44 Interim Final Rule for Reporting Pre-Enactment Swap Transactions

 

Dodd-Frank Public Roundtables

Date

Dodd-Frank Public Roundtables

07/15/2015

CFTC’s Division of Market Oversight to Host Public Roundtable Regarding the Made Available to Trade Process

03/05/2015

CFTC Staff to Host Public Roundtable on Recovery and Orderly Wind-Down of Derivatives Clearing Organizations

06/19/2014

CFTC Staff to Host Public Roundtable June 19, 2014 Regarding Position Limits for Physical Commodity Derivatives

04/03/2014

CFTC Staff to Host Public Roundtable to Discuss Dodd-Frank End-User Issues

02/05/2013

CFTC Staff to Host a Public Roundtable to Discuss Proposed Rulemaking Enhancing Protections Afforded Customers and Funds Deposited by Customers

01/31/2013

CFTC Staff to Host Public Roundtable to Discuss the "Futurization of Swaps"

08/09/2012

CFTC Staff to Host a Public Roundtable to Discuss Additional Customer Protections

06/05/2012

CFTC Staff to Host a Public Roundtable to Discuss Proposed Regulations Implementing Core Principle 9 for Designated Contract Markets

05/31/2012

CFTC Staff to Host a Public Roundtable to Discuss the Proposed Volcker Rule

03/01/2012

Day 2: CFTC Staff Public Roundtable to Discuss Additional Customer Collateral Protections

02/29/2012

Day 1: CFTC Staff Public Roundtable to Discuss Additional Customer Collateral Protections

01/30/2012

“Available to Trade” Provision for Swap Execution Facilities and Designated Contract Markets

08/01/2011

International Issues relating to the Implementation of Title VII of the Dodd-Frank Act (CFTC and SEC)

07/06/2011

Proposed Changes to Registration and Compliance Regime for Commodity Pool Operators and Commodity Trading Advisors

06/16/2011

Proposed Dealer and Major Participant Definitions under Dodd-Frank Act (CFTC and SEC)

06/08/2011

Swap Data Recordkeeping and Reporting Requirements

06/03/2011

Protection of Cleared Swaps Customer Collateral

05/03/2011

Day 2: Discussion on Dodd-Frank Implementation (CFTC and SEC)

05/02/2011

Day 1: Discussion on Dodd-Frank Implementation (CFTC and SEC)

01/28/2011

Swap Data Recordkeeping and Reporting Requirements

12/10/2010

Capital and Margin for Swaps and Security-Based Swaps (CFTC and SEC)

12/02/2010

Disruptive Trading Practices

10/22/2010

Customer Collateral Protection

10/22/2010

Credit Default Swaps (CFTC and SEC)

09/15/2010

Swap Execution Facilities and Security-Based Swap Execution Facilities (CFTC and SEC)

09/14/2010

Swap Data, Swap Data Repositories and Real Time Reporting (CFTC and SEC)

08/20/2010

Governance and Conflicts of Interest in the Clearing and Listing of Swaps (CFTC and SEC)