SEF Registration Requirements and Core Principle Rulemaking, Interpretation & Guidance
The Commission has issued proposed rules to implement the SEF Registration Requirements and Core Principle rules, Interpretations, and Guidance under the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Additional information regarding SEF Registration Requirements and Core Principle Rulemaking, Interpretation & Guidance is provided below, including factsheets for each proposed rule, and details of meetings held between CFTC staff and outside parties.
Related Federal Register Releases
Proposed Rule: 84 FR 3350 // PDF Version
02/12/2019
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 // PDF Version
11/30/18
17 CFR Parts 9, 36, 37, 38, 39, and 43
Swap Execution Facilities and Trade Execution Requirement
Final Rule: 78 FR 36606 // PDF Version
6/04/2013
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
Effective Date: Monday, August 05, 2013
Final Rule: 78 FR 33476 // PDF Version
06/04/2013
17 CFR Part 37
Core Principles and Other Requirements for Swap Execution Facilities
Effective Date: Monday, August 05, 2013
----See Also----
78 FR 47154 // PDF Version
8/05/2013
17 CFR Part 37
Correction: Core Principles and Other Requirements for Swap Execution Facilities; Correction
Proposed Rule: 76 FR 77728 // PDF Version
12/14/2011
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
Proposed Rule: 76 FR 58186 // PDF Version
9/20/2011
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
Proposed Rule: 76 FR 1214 // PDF Version
1/7/2011
17 CFR Part 37 Core Principles and Other Requirements for Swap Execution Facilities
Comment File - Extended Date: 6/3/2011
Additional Information
Event: CFTC to Hold an Open Commission Meeting on November 5
Fact Sheet: Final Rulemaking Regarding Core Principles and Other Requirements for Swap Execution Facilities
Questions & Answers: Core Principles and Other Requirements for Swap Execution Facilities
Fact Sheet: 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
Q&A: 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
Event: Open Meeting to Consider Two Final Rules and One Proposal
Fact Sheet: Proposed Rule on Core Principles and Other Requirements for Swap Execution Facilities
Q&A: Core Principles and Other Requirements for Swap Execution Facilities
Event: Open Meeting on Eighth Series of Proposed Rules under the Dodd-Frank Act