SEF Registration

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

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

Fact Sheet:  Notice of Proposed Rulemaking on Swap Execution Facilities and the Trade Execution Requirement

EventCFTC 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

Event: CFTC to Hold Open Meeting to Consider Trade Execution Rules; Anti-Disruptive Trading Practices Guidance

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