DCOs

DCOs

The Commission issued final rules to implement rules for derivatives clearing organizations under the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Additional information regarding DCO Core Principles and related clearing rules is provided below, including factsheets for each proposed rule, and details of meetings held between CFTC staff and outside parties.

Related Federal Register Releases

Proposed Rule: PDF Version
Upcoming
17 CFR Parts 1, 39, and 140
Derivatives Clearing Organization General Provisions and Core Principles

Final Rule: 77 FR 21278 // PDF Version
4/9/2012
17 CFR Parts 1,23,37,38, and 39
Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management
Effective Date: October 1, 2012

Final Rule: 76 FR 69334 // PDF Version
11/8/2011
17 CFR Parts 1, 21, 39, and 140 Derivatives Clearing Organization General Provisions and Core Principles
Effective Date: January 9, 2012

Proposed Rule: 76 FR 47529 // PDF Version
8/5/2011
17 CFR Parts 1, 23, and 39 Customer Clearing Documentation and Timing of Acceptance for Clearing; Correction
Comment File – Closing Date: 9/30/2011

Proposed Rule: 76 FR 45730 // PDF Version
8/1/2011
17 CFR Parts 1, 23, and 39 Customer Clearing Documentation and Timing of Acceptance for Clearing
Comment File – Closing Date: 9/30/2011

Proposed Rule: 76 FR 45724 // PDF Version
8/1/2011
17 CFR Parts 1 and 23 Clearing Member Risk Management
Comment File – Closing Date: 9/30/2011

Proposed Rule: 76 FR 3698 // PDF Version
1/20/2011
17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations
Comment FileExtended Date: 6/3/2011
----See Also:----
     Comments Extension: 76 FR 16587 // PDF Version
     3/24/2011
     17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations
     Correction: 76 FR 16588 // PDF Version
     3/24/2011
     17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations; Correction

Proposed Rule: 76 FR 13101 // PDF Version
3/10/2011
17 CFR Parts 23, 37, 38, and 39 Requirements for Processing, Clearing, and Transfer of Customer Positions
Comment FileExtended Date: 6/3/2011

Proposed Rule: 75 FR 78185 // PDF Version
12/15/2010
17 CFR Parts 1, 21, and 39 Information Management Requirements for Derivatives Clearing Organizations
Comment File – Extended Date: 6/3/2011

Proposed Rule: 75 FR 77576 // PDF Version
12/13/2010
17 CFR Parts 1 and 39 General Regulations and Derivatives Clearing Organizations
Comment File – Extended Date: 6/3/2011

Proposed Rule: 75 FR 63113 // PDF Version
10/14/2010
17 CFR Parts 39 and 140 Financial Resources Requirements for Derivatives Clearing Organizations
Comment File – Extended Date: 6/3/2011

Additional Information

CFTC Order, Re: Motion for Stay of Final Rule by Bloomberg L.P.

Fact Sheet: Final Rule: Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management
Q&A: Final Rule: Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management

Event: CFTC to Hold Open Meeting to Consider One Final Rule

Fact Sheet: Final Rule on Derivatives Clearing Organization General Provisions and Core Principles
Q&A: Final Rule on Derivatives Clearing Organization General Provisions and Core Principles

Event: Open Meeting on Two Final Rules and One Proposed Amendment

Fact Sheet: Proposed Rule on Customer Clearing Documentation and Timing of Acceptance for Clearing
Q&A: Proposed Rule on Customer Clearing Documentation and Timing of Acceptance for Clearing

Fact Sheet: Proposed Rule on Clearing Member Risk Management
Q&A: Proposed Rule on Clearing Member Risk Management

Event: Open Meeting on Three Final Rule Proposals and Two Proposed Rules under the Dodd-Frank Act

Fact Sheet: Proposed Rule Regarding Requirements for Processing, Clearing, and Transfer of Customer Positions
Q&A: Proposed Rule Regarding Requirements for Processing, Clearing, and Transfer of Customer Positions

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

Fact Sheet: Proposed Rule for Risk Management Requirements for Derivatives Clearing Organizations
Q&A: Risk Management Requirements for Derivatives Clearing Organizations

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

Fact Sheet: Proposed Rule for Derivative Clearing Organization Definitions, Procedures and Core Principles
Q&A: Derivative Clearing Organization Definitions, Procedures and Core Principles

Fact Sheet: Proposed Rules on Reporting, Recordkeeping, Public Information and Information Sharing Requirements for DCOs
Q&A: Reporting, Recordkeeping, Public Information and Information Sharing Requirements for DCOs
Chart: Proposed Reporting, Recordkeeping, Public Information, and Information Sharing Requirements for DCOs

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

Fact Sheet for Proposed Rule on Financial Resources Requirements for DCOs and SIDCOs
Q&A: Proposed Rulemaking Questions and Answers: DCOs and SIDCOs

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