Public Statements & Remarks

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