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: 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: 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