Data Recordkeeping

Data Recordkeeping & Reporting Requirements

The Commission finalized rules to implement the Dodd-Frank Wall Street Reform and Consumer Protection Act regarding Data Recordkeeping and Reporting Requirements.

Additional information regarding Data Recordkeeping & Reporting Requirements is provided below, including factsheets for each rule, and details of meetings held between CFTC staff and outside parties.

Related Federal Register Releases

Final Rule: 85 FR 75503 // PDF Version
11/25/2020
17 CFR Parts 45, 46, and 49 
Swap Data Recordkeeping and Reporting Requirements
Effective Date: Monday, January 25, 2021

See also:
85 FR 21578, 4/17/2020 // PDF Version
17 CFR Parts 45, 46, and 49
Amendments to the Swap Data Recordkeeping and Reporting Requirements

Proposed Rule: 85 FR 21578 // PDF Version
04/17/2020
17 CFR Parts 45, 46, and 49
Amendments to the Swap Data Recordkeeping and Reporting Requirements
Comment File – Closing Date: 5/20/2020
Extended Date: 5/22/2020

Final Rule: 81 FR 41736 // PDF Version
06/27/2016
17 CFR Part 45 Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps
Effective Date: Wednesday, July 27, 2016

Proposed Rule:  80 FR 52544 // PDF Version
8/31/2015
17 CFR Part 45 Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps
Comment File
- Closing Date: 10/30/2015

Final Rule: 77 FR 35200 // PDF Version
6/12/2012
17 CFR Part 46 Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps
Effective Date: August 13, 2012

Final Rule: 77 FR 2136 // PDF Version
1/13/2012
17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements
Effective Date: March 13, 2012

Proposed Rule: 76 FR 22833 // PDF Version
4/25/2011
17 CFR Part 46 Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps
Comment File - Closing Date: 6/9/2011

Interim Final Rule: 75 FR 78892 // PDF Version
12/17/2010
17 CFR Part 44 Reporting Certain Post-Enactment Swap Transactions
Comment File - Closing Date: 1/18/2011

Proposed Rule: 75 FR 76573 // PDF Version
12/8/2010
17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements
Comment File - Extended Date: 6/3/2011

Interim Final Rule: 75 FR 63080 // PDF Version
10/14/2010
17 CFR Part 44 Reporting Certain Pre-Enactment Swap Transactions
Effective Date: October 14, 2010

Additional Information

Parts 43 and 45 Technical Specifications – Final

Draft Technical Specifications for Public Comment

Division of Swap Dealer and Intermediary Oversight Responds to Frequently Asked Questions (FAQs) Regarding Commission Forms CPO-PQR and CTA-PR

Fact Sheet: Proposed Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps

No-Action Letter 13-10
April 8, 2013
Parts 43, 45 and 46 of the CFTC’s regulations

Division of Market Oversight Advisory
March 8, 2013

No-Action Letter 12-41
December 5, 2012
Part 43, Part 45 and Part 46 of the CFTC's regulations

No-Action Letter 12-32
November 19, 2012
Part 43, Part 45 and Part 46 of the CFTC's regulations

11/29/2012
Frequently Asked Questions (FAQ) on the Reporting of Cleared Swaps-Revised

10/10/2012
Frequently Asked Questions (FAQ) on the Reporting of Cleared Swaps - Withdrawn

10/09/2012
Q&A: On Start of Swap Data Reporting

Fact Sheet: Final Rule on Swap Data Recordkeeping and Reporting Requirements

Q&A: Final Rulemaking on Swap Data Recordkeeping and Reporting

Event: Open Meeting to Consider Two Final Rules

Fact Sheet: Proposed Rule on Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps

Q&A: Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps

Event: Open Meeting on Thirteenth Series of Proposed Rules under the Dodd-Frank Act

Fact Sheet: Interim Final Rule Regarding Reporting of Certain Post-Enactment Swap Transactions

Q&A: Interim Final Rule Regarding Reporting of Certain Post-Enactment Swap Transactions

Event: Open Meeting on Seventh Series of Proposed Rules under the Dodd-Frank Act

Fact Sheet: Proposed Rule on Swap Data Recordkeeping & Recording

Q&A: Swap Data Recordkeeping and Reporting Requirements

Event: Open Meeting on Fifth Series of Proposed Rules under the Dodd-Frank Act

Date
SUBMISSION
06/22/2011
BG Group Meeting with CFTC Staff PDF Image
BG Group, From External Meeting on 6/22/2011
06/17/2011
OTC Product Identification, Classification, and Registration PDF Image
FIX Protocol, From External Meeting on 6/17/2011
06/08/2011
GS1 Proposal to the SEC, CFTC, and OFR Regarding Unique Identification and Reference Data - Technical Details PDF Image
JM Smucker Co. / GS1 / Financial InterGroup, From External Meeting on 6/8/2011
06/08/2011
GS1 Response to the SIFMA-led Solicitation of Interest PDF Image
JM Smucker Co. / GS1 / Financial InterGroup, From External Meeting on 6/8/2011
06/08/2011
Excerpts from ASIA Project PDF Image
JM Smucker Co. / GS1 / Financial InterGroup, From External Meeting on 6/8/2011
06/08/2011
Questions from GS1 to the global SOI steering committee - May 2011 PDF Image
JM Smucker Co. / GS1 / Financial InterGroup, From External Meeting on 6/8/2011
06/07/2011
OTC Swap Exposure Management - triResolve PDF Image
TriOptima, From External Meeting on 6/7/2011
05/18/2011
35365PJDi_Giammarino[1]_775 PDF Image
From External Meeting on 5/18/2011
05/09/2011
Product Representation for Standardized Derivatives PDF Image
ISDA, From External Meeting on 5/9/2011
04/27/2011
OFR/SEC/CFTC Meeting PDF Image
GS1, From External Meeting on 4/27/2011
04/21/2011
04/08/2011
April 11 Mtg. Summary with Rabobank_752 PDF Image
From External Meeting on 4/8/2011
03/01/2011
03/01/2011
Where is the Value in High Frequency Trading? PDF Image
Álvaro Cartea and José Penalva
02/02/2011
02022011 NFP_473 PDF Image
NFP Energy End Users, From External Meeting on 2/2/2011
11/30/2010
Conference Call PDF Image
Blackrock
11/30/2010
BlackRock-Conference call 11-30-2010_368 PDF Image
BlackRock, From External Meeting on 11/30/2010
11/30/2010
TradeExecutionLiquidity_368 PDF Image
BlackRock, From External Meeting on 11/30/2010
11/30/2010
Tiers of trade sizesCDSv2_368 PDF Image
BlackRock, From External Meeting on 11/30/2010
11/24/2010
11/17/2010
11/17/2010
OTC Derivative Data November 2010 NASDAQ OMX_334 PDF Image
NASDAQ OMX, From External Meeting on 11/17/2010
11/03/2010
Meeting Participants PDF Image
OTC Derivatives Regulators? Forum
11/03/2010
11/03/2010
Meeting Participants PDF Image
OTC Derivatives Regulators? Forum
11/03/2010
Proposed Agenda PDF Image
OTC Derivatives Regulators? Forum
11/03/2010
DTCC Derivatives Repository Ltd_ODRF_PUBLIC_329 PDF Image
DTCC, From External Meeting on 11/3/2010
11/03/2010
ODRF_3 Nov Meeting_TR Attendees (3 Nov)_329 PDF Image
OTC Derivatives Regulators’ Forum, From External Meeting on 11/3/2010
11/03/2010
Summary of ODRF meeting_2 -3 Nov_Final_329 PDF Image
OTC Derivatives Regulators Forum, From External Meeting on 11/3/2010
11/03/2010
ODRF_ 3 Nov Agenda_TR Session (22 October)_329 PDF Image
OTC Derivatives Regulators’ Forum, From External Meeting on 11/3/2010
10/28/2010
10/19/2010
(10-19-10) Presentation Materials - BlackRock_182 PDF Image
BlackRock, From External Meeting on 10/19/2010
09/17/2010
Comments of American Benefits Council Provided at 9-17 CFTC Meeting_25 PDF Image
American Benefits Council, From External Meeting on 9/17/2010
09/17/2010
Agenda of 9-17 CFTC-SEC Meeting with Pension Plans_25 PDF Image
American Benefits Council, From External Meeting on 9/17/2010
09/15/2010
09/15/2010
CFTC Agenda - September 15 20101 (2)_26 PDF Image
NFP Energy End User Coalition, From External Meeting on 9/15/2010
09/01/2010
dmb argus_72 PDF Image
Argus Oil Market Regulation Summit 2010
08/03/2010
Title VII Rulemakings PDF Image
SEC/CFTC and ISDA/SIFMA