Business Conduct Standards with Counterparties

The Commission issued final rules to implement section 4s(h) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules prescribe external business conduct standards for swap dealers and major swap participants.

Information regarding Business Conduct Standards with Counterparties is provided below.  

Related Federal Register Releases

Final Rule: 81 FR 80563 // PDF Version
11/16/2016
17 CFR Part 3
Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates
Effective Date: Wednesday, November 16, 2016

See also:

81 FR 53343, 8/12/2016 // PDF Version
17 CFR Part 3
Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates

Final Rule: 77 FR 9734 // PDF Version
2/17/2012
17 CFR Parts 4 and 23 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
Effective Date: Tuesday, April 17, 2012

Proposed Rule: 75 FR 80638 // PDF Version
12/22/2010
17 CFR Parts 23 and 155 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
Comment File - Extended Date: 6/3/2011

Additional Information

EBSA Letter to CFTC Regarding: Business Conduct Standards Rules

Fact Sheet: Final Rules Regarding Business Conduct Standards for Swap Dealers and Major Swap Participants Dealing with Counterparties

Q&A: Business Conduct Standards for Swap Dealers and Major Swap Participants with Counterparties Final Rulemaking

Event: Open Meeting on Three Final Rules, One Proposed Rule and a Delegation of Authority Order

Fact Sheet: Proposed Rules Regarding Business Conduct Standards for Swap Dealers and Major Swap Participants Dealing with Counterparties

Q&A: External Business Conduct Standards for Swap Dealers and Major Swap Participants Dealings with Counterparties

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

Date
SUBMISSION
01/11/2012
Transcript: Open Meeting on Two Final Rule Proposals Under The Dodd-Frank Wall Street Reform and Consumer Protection Act PDF Image
CFTC
11/03/2011
11-3-11 AFR CFA CFTC Business Conduct Letter_1128 PDF Image
From External Meeting on 11/3/2011
10/05/2011
Re: SEC-CFTC and Pension Fund Meeting on Business Conduct Standards PDF Image
CALPERS, CPERA, WIB, TRST, MSERS, From External Meeting on 10/5/2011
10/05/2011
Documents from 10/5 meeting PDF Image
JP Morgan, From External Meeting on 10/5/2011
10/04/2011
Church Alliance Cover Letter PDF Image
Church Alliance, From External Meeting on 10/4/2011
10/04/2011
The Church Alliance Follow Up to Meeting on September 9 at CFTC PDF Image
Church Alliance, From External Meeting on 10/4/2011
10/04/2011
Special Entity Definition – Opt-In for Church Plans PDF Image
Church Group, From External Meeting on 10/4/2011
10/04/2011
Church Plans – Definitions and Legislative History PDF Image
Church Alliance, From External Meeting on 10/4/2011
10/04/2011
061_JohnsFrank_1094 PDF Image
From External Meeting on 10/4/2011
09/19/2011
Re: Proposed Regulations on Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants, File Number S7-25-11 PDF Image
Retirement Funds, From External Meeting on 9/19/2011
09/16/2011
Re: Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants (File No. S7-25-11) PDF Image
Consumer Federation of America, From External Meeting on 9/16/2011
09/16/2011
Re: Business Conduct Standards for Securities-Based Swap Dealers and Major Securities Based Swap Participants; File Number S7-25-11 PDF Image
Better Markets, From External Meeting on 9/16/2011
09/15/2011
Agency exemptive authority PDF Image
ABC-CIEBA, From External Meeting on 9/15/2011
09/09/2011
Proposed Agenda for CFTC Meeting PDF Image
Church Alliance, From External Meeting on 9/9/2011
09/09/2011
The Church Alliance: A History PDF Image
Church Alliance, From External Meeting on 9/9/2011
09/07/2011
SEC Hearing on The State of Municipal Securities Market PDF Image
Andrew Kalotay Associates, From External Meeting on 9/7/2011
08/30/2011
Re: File Number S7-25-11/ Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants with Counterparties PDF Image
American Benefits Council, From External Meeting on 8/30/2011
08/30/2011
Re: Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants; File Number S7-25-11; RIN 3235-AL10 PDF Image
BlackRock, From External Meeting on 8/30/2011
08/30/2011
Re: Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants (File No. S7-25-11) PDF Image
Consumer Federation of America / Americans for Financial Reform, From External Meeting on 8/30/2011
08/30/2011
Levin comment ltr on SEC swap dealer business conduct standards (8-29-11)_1126 PDF Image
From External Meeting on 8/30/2011
08/29/2011
Re: Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants (File No. S7-25-11) PDF Image
Consumer Federation of America / Americans for Financial Reform, From External Meeting on 8/29/2011
06/06/2011
FW: CFTC meeting regarding the business conduct standards PDF Image
American Benefits Council, From External Meeting on 6/6/2011
04/12/2011
SDs and MSPs Should Not be Treated as Identical Twins PDF Image
BlackRock, From External Meeting on 4/12/2011
04/08/2011
April 11 Mtg. Summary with Rabobank_752 PDF Image
From External Meeting on 4/8/2011
04/05/2011
Swap and Security-Based Swap Execution Facilities; File Number $7-06-11; R1N Number 3038-AD18; RIN Number 3038-AD26; R1N Number 3038-AD25 PDF Image
Colin D Lloyd
02/09/2011
Comment on proposed rules for Business Conduct Standards for Swap Dealers and Major Swap Participants with Counterparties PDF Image
Skadden Arps, From External Meeting on 2/9/2011
12/09/2010
Transcript of Open Meeting on the Seven Series of Proposed Rulemakings Under the Dodd-Frank Act PDF Image
CFTC
12/03/2010
Use of the Term "Advisor" in Sections 731 and 764 of the Dodd-Frank Wall Street Reform and Consumer Protection Act PDF Image
Morgan Stanley
10/29/2010
The Fiduciary Reference PDF Image
The Committee for the Fiduciary Standard
10/22/2010
Definition of the Term ?Fiduciary? PDF Image
Department of Labor
10/22/2010
Business Conduct Standards PDF Image
SIFMA
10/19/2010
APPLICABILITY OF BUSINESS CONDUCT STANDARDS TO ERISA PLANS PDF Image
American Benefits Council
10/14/2010
Agenda for Morgan Stanley Meeting with SEC PDF Image
Morgan Stanley
10/14/2010
Morgan Stanley Agenda_173 PDF Image
Morgan Stanley, From External Meeting on 10/14/2010
09/29/2010
Natural Gas Supply Association PDF Image
Natural Gas Supply Association
09/29/2010
NGSA CFTC Comments_09.28.2010_100 PDF Image
Natural Gas Supply Association (NGSA), From External Meeting on 9/29/2010
09/17/2010
Comments of American Benefits Council Provided at 9-17 CFTC Meeting PDF Image
ABC
09/17/2010
Agenda of 9-17 CFTC-SEC Meeting with Pension Plans PDF Image
PPPS
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
09/17/2010
Comments of American Benefits Council Provided at 9-17 CFTC Meeting_25 PDF Image
American Benefits Council, From External Meeting on 9/17/2010
09/15/2010
Meeting Summary with Morgan Stanley_14 PDF Image
Morgan Stanley, From External Meeting on 9/15/2010
09/14/2010
NCFC Grain Farmer Co-op Hedging_7 PDF Image
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
09/14/2010
NCFC Fuel Farmer Co-op Hedging_7 PDF Image
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
09/14/2010
NCFC Hedging Fertilizer_7 PDF Image
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
09/14/2010
NCFC Hedging Dairy_7 PDF Image
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
09/14/2010
Dodd-Frank OTC Derivatives 2010_7 PDF Image
National Council of Farmer Cooperatives (NCFC), From External Meeting on 9/14/2010
09/08/2010
comments regarding certain business conduct standards PDF Image
American Benefits Council
09/02/2010
Comments on Business Conduct Standards PDF Image
Ropes & Gray LLP
09/01/2010
Argus Oil Market Regulation Summit 2010 PDF Image
Argus
09/01/2010
dmb argus_72 PDF Image
Argus Oil Market Regulation Summit 2010
08/31/2010
Email from Richard Matta of Groom Law Group PDF Image
Groom Law Group
08/31/2010
Partial list of DOL individual exemptions PDF Image
Groom Law Group
08/31/2010
1996 letter from DOL to the OCC re fiduciary standards for investing in derivatives PDF Image
Groom Law Group
08/30/2010
Dodd-Frank Meets ERISA? The Impact of Wall Street Reform on Plan Investments - Pension & Benefits Reporter PDF Image
Groom Law Group
08/30/2010
NAST Request for Information -- Swap Advisors PDF Image
NAST
08/30/2010
Article 13. Interest Rate Swap Agreements for Governmental Units PDF Image
NAST
08/30/2010
Email PDF Image
Peter Shapiro
08/30/2010
The State of North Carolina Interest Rate Exchange Agreement Policy PDF Image
NAST
08/30/2010
ERISA for Securities Professionals PDF Image
Groom Law Group
08/26/2010
Part 4, item (m) of the ISDA Schedule to the 2002 Master Agreement PDF Image
ISDA
08/26/2010
Generic Derivatives Risk Disclosure Statement Generated by Industry Participants PDF Image
Exhibit A
08/25/2010
Swap Dealer and Major Swap Participants - Business Conduct Requirements - External PDF Image
NFA
08/25/2010
Swap Master Agreements PDF Image
EEI
08/17/2010
Written Testimony before Senate Banking Committee PDF Image
MSRB
08/17/2010
Geithner Derivatives Letter PDF Image
MSRB
08/17/2010
Prepared Oral Testimony before Senate Banking Committee PDF Image
MSRB
08/13/2010
Tennessee SWAP GuidelinesBanking Committee PDF Image
Tennessee Comptroller of the Treasury
08/12/2010
August 12 Meeting - Discussion Topics PDF Image
Public Pension Groups
08/09/2010
Title VII discussion with SEC/CFTC PDF Image
Swap Financial Group
08/09/2010
A Special Investigation of the Bethlehem Area School District, Lehigh/Northampton Counties PDF Image
Americans for Financial Reform (AFR), Consumer Federation of America (CFA), AFL-CIO, AFSCME, and SEIU
08/09/2010
Agenda for SEC Meeting PDF Image
Americans for Financial Reform (AFR), Consumer Federation of America (CFA), AFL-CIO, AFSCME, and SEIU
08/09/2010
Briefing for SEC/CFTC Joint Working Group PDF Image
Swap Financial Group
08/05/2010
Business Conduct Rules PDF Image
NFA
08/05/2010
Blackline of SEA 1934 provisions relevant to MSRB PDF Image
MSRB
08/05/2010
OTC Code of Conduct PDF Image
ICE
08/05/2010
Rulebook Chapter 4 Rule Enforcement PDF Image
CME
08/04/2010
National Futures Association's Business Conduct Rules PDF Image
National Futures Association