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: 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

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