Cross-Border Application of Swaps Provisions

 

The Commission has issued proposed guidance and a final exemptive order regarding the cross-border application of the swap provisions of the CEA as added by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Related Federal Register Releases

Proposed Rule: 81 FR 71946 // PDF Version
10/18/2016
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

Comparability Determination:   81 FR 63376 // PDF Version 
9/15/2016
17 CFR Chapter I
Comparability Determination for Japan: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Effective Date: Thursday, September 15, 2016

FInal Rule:   81 FR 34818 // PDF Version
5/31/2016
17 CFR Parts 23
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants—Cross-Border Application of the Margin Requirements
Effective Date: Monday, August 01, 2016

Proposed Rule: 80 FR 41376 // PDF Version
7/14/2015
17 CFR Chapter I
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements
Effective Date: Monday, September 14, 2015

Interpretive Guidance and Policy Statement: 78 FR 45292 // PDF Version
7/26/2013
17 CFR Chapter I
Interpretive Guidance and Policy Statement Regarding Compliance With Certain Swap Regulations
Effective Date: Friday, July 26, 2013

Exemptive Order: 78 FR 43785 // PDF Version
7/22/2013
17 CFR Chapter I
Exemptive Order Regarding Compliance With Certain Swap Regulations
Effective Date: Saturday, July 13, 2013
Comment File - Closing Date: 8/21/2013

Final Order: 78 FR 858 // PDF Version
1/7/2013
17 CFR Chapter 1
Final Exemptive Order Regarding Compliance With Certain Swap Regulations
Effective Date: Friday, December 21, 2012

Further Proposed Guidance: 78 FR 909 // PDF Version
1/7/2013
17 CFR Chapter I
Further Proposed Guidance Regarding Compliance With Certain Swap Regulations
Comment File - Closing Date: 2/6/2013

Notice of Proposed Exemptive Order: 77 FR 41110 // PDF Version
7/12/2012
17 CFR Chapter I
Exemptive Order Regarding Compliance With Certain Swap Regulations
Comment File - Closing Date: 8/13/2012

Proposed Interpretive Guidance and Policy Statement: 77 FR 41213 // PDF Version
7/12/2012
17 CFR Chapter I
Cross-Border Application of Certain Swaps Provisions of the Commodity Exchange Act
Comment File - Closing Date: 8/27/2012

Additional Information

Fact Sheet: Comparability Determination for Japan Uncleared Swap Margin Rules for Substituted Compliance Purposes

Event: CFTC to Hold an Open Commission Meeting on September 8th to Consider System Safeguards Testing Requirements Final Rules and a Comparability Determination for Japan Uncleared Swap Margin Rules for Substituted Compliance Purposes

Fact Sheet: Exemptive Order Regarding Compliance with Certain Swap Regulations

Fact Sheet: Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations

Event: CFTC to Hold Open Meeting to Consider Cross-Border Final Guidance; and Cross-Border Phase-In Exemptive Order

CFTC Approves Exemptive Order on Cross-Border Application of the Swaps Provisions of Dodd-Frank

CFTC Approves Proposed Interpretive Guidance on Cross-Border Application of the Swaps Provisions of the Dodd-Frank Act

Event: CFTC and SEC Staffs Public Roundtable Discussion on International Issues relating to the Implementation of Title VII of the Dodd-Frank Act