Governance & Conflicts of Interest

The Commission has issued proposed rules to implement provisios in the Dodd-Frank Wall Street Reform and Consumer Protection Act related to governance and conflict of interest.  The Comment Period is closed

A list of proposed rules for this topic, along with other related Federal Register notices, is provided below.

Related Federal Register Releases

Proposed Rule: 76 FR 722 // PDF Version
1/6/2011
17 CFR Parts 1, 37, 38, 39, and 40 Governance Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities; Additional Requirements Regarding the Mitigation of Conflicts of Interest
Comment File - Extended Date: 6/3/2011

Proposed Rule: 75 FR 63732 // PDF Version
10/18/2010
17 CFR Parts 1, 37, 38, 39, and 40 Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities Regarding the Mitigation of Conflicts of Interest
Comment File - Extended Date: 6/3/2011

Additional Information

Fact Sheet: Proposed Rule on Governance Requirements for DCOs, DCMSs and SEFs, & Additional Requirements Regarding the Mitigation of Conflict of Interest

Q&A: Governance Requirements for DCOs, DCMSs and SEFs

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

Fact Sheet: Proposal to Mitigate Potential Conflicts of Interest in the Operation of Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities

Q&A: Governance and Conflicts of Interest

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

Event: CFTC-SEC Roundtable on Governance and Conflicts of Interest in the Clearing and Listing of Swaps