Outline of Final Dodd-Frank Title VII Rules the CFTC May
Consider in 2011 and the First Quarter of 2012
|
Remainder of 2011 |
• Clearinghouse Rules • Data Recordkeeping and Reporting • End-User Exception • Entity Definitions/Registration • External Business Conduct • Internal Business Conduct (Duties, Recordkeeping and Chief Compliance Officers) • Position Limits • Product Definitions/Commodity Options • Real-Time Reporting • Segregation for Cleared Swaps • Trading – Designated Contract Markets and Foreign Boards of Trade |
|
First Quarter 2012 |
• Capital and Margin • Client Clearing Documentation and Risk Management • Conforming Rules • Disruptive Trading Practices • Governance and Conflict of Interest • Internal Business Conduct (Documentation) • Investment of Customer Funds • Swap Execution Facilities • Segregation for Uncleared Swaps • Straight-Through Trade Processing • |
Note: This outline is tentative and for preliminary purposes, and is subject to change.
Last Updated: September 9, 2011