Dodd-Frank Act | CFTC

CFTC Rulemakings Pages Moved

In order to improve performance, the Dodd-Frank Rulemaking pages have been moved. The previous URLs (found below) will display re-directs to the new URLs.


Comprehensive Regulation of Swap Dealers & Major Swap Participants:
I.	Registration
II.	Definitions, such as Swap Dealer, Major Swap Participant, Security-Based Swap Dealer, and Major Security-Based Swap Participant, to be Written Jointly with SEC
III.	Business Conduct Standards with Counterparties
IV.	Internal Business Conduct Standards
V.	Capital & Margin for Non-banks
VI.	Segregation & Bankruptcy for both Cleared and Uncleared Swaps


Clearing:
VII.	DCO Core Principle Rulemaking, Interpretation & Guidance
VIII.	Process for Review of Swaps for Mandatory Clearing
IX.	Governance & Possible Limits on Ownership & Control
X.	Systemically Important DCO Rules Authorized Under Title VIII
XI.	End-user Exception


Trading:
XII.	DCM Core Principle Rulemaking, Interpretation & Guidance
XIII.	SEF Registration Requirements and Core Principle Rulemaking, Interpretation & Guidance
XIV.	New Registration Requirements for Foreign Boards of Trade
XV.	Rule Certification & Approval Procedures (applicable to DCMs, DCOs, SEFs)


Data:
XVI.	Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation & Guidance
XVII.	Data Recordkeeping & Reporting Requirements
XVIII.	Real Time Reporting


Particular Products:
XIX.	Agricultural Swaps
XX.	Foreign Currency (Retail Off Exchange)
XXI.	Joint Rules with SEC, such as “Swap” and “Security-Based Swap”
XXII.	Portfolio Margining Procedures


Enforcement:
XXIII.	Anti-Manipulation
XXIV.	Disruptive Trading Practices
XXV.	Whistleblowers


Position Limits:
XXVI.	Position Limits, including Large Trader Reporting, Bona Fide Hedging Definition & Aggregate Limits


Other Titles:
XXVII.	Investment Adviser Reporting
XXVIII.	Volcker Rule
XXIX.	Reliance on Credit Ratings
XXX.	Fair Credit Reporting Act and Disclosure of Nonpublic Personal Information

General Submissions