Public Meetings and 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 34 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
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 Swaps


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)