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Final Rules

Date
Final Rules
4/27/2012

77 FR 25320  //  Open PDF Version PDF Version

17 CFR Parts 3, 32, and 33 Commodity Options

Effective Date: Tuesday, June 26, 2012
See also:
76 FR 6095 ,  2/3/2011  //  Open PDF Version PDF Version

17 CFR Parts 3, 32, 33, and 35 Commodity Options and Agricultural Swaps

76 FR 25274 ,  5/4/2011  //  Open PDF Version PDF Version

17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

4/9/2012

77 FR 21278  //  Open PDF Version PDF Version

17 CFR Parts 1, 23, 37, 38, and 39 Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management

Effective Date: Monday, October 01, 2012
See also:
76 FR 45724 ,  8/1/2011  //  Open PDF Version PDF Version

17 CFR Parts 1 and 23 Clearing Member Risk Management

76 FR 45730 ,  8/1/2011  //  Open PDF Version PDF Version

17 CFR Parts 1, 23, and 39 Customer Clearing Documentation and Timing of Acceptance for Clearing

4/3/2012

77 FR 20128  //  Open PDF Version PDF Version

17 CFR Parts 1, 3, and 23 Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants

Effective Date: Monday, June 04, 2012
See also:
75 FR 70152 ,  11/17/2010  //  Open PDF Version PDF Version

17 CFR Part 1 Implementation of Conflicts of Interest Policies and Procedures by Futures Commission Merchants and Introducing Brokers

75 FR 70881 ,  11/19/2010  //  Open PDF Version PDF Version

17 CFR Part 3 Designation of a Chief Compliance Officer; Required Compliance Policies; and Annual Report of a Futures Commission Merchant, Swap Dealer, or Major Swap Participant

75 FR 71379 ,  11/23/2010  //  Open PDF Version PDF Version

17 CFR Parts 3, 23 and 170 Registration of Swap Dealers and Major Swap Participants

75 FR 71391 ,  11/23/2010  //  Open PDF Version PDF Version

17 CFR Part 23 Implementation of Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants

75 FR 76666 ,  12/9/2010  //  Open PDF Version PDF Version

17 CFR Part 23 Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants

76 FR 25274 ,  5/4/2011  //  Open PDF Version PDF Version

17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

3/26/2012

77 FR 17328  //  Open PDF Version PDF Version

17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations

See also:
76 FR 7976 ,  2/11/2011  //  Open PDF Version PDF Version

17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations; Proposed Rule

*Note – This Proposed Rule contains forms which are not displayed in the HTML version.  To see the complete proposal, download the PDF version.

77 FR 11252 ,  2/24/2012  //  Open PDF Version PDF Version

17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations

2/24/2012

77 FR 11252  //  Open PDF Version PDF Version

17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations

Effective Date: Tuesday, April 24, 2012
See also:
76 FR 7976 ,  2/11/2011  //  Open PDF Version PDF Version

17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations; Proposed Rule

*Note – This Proposed Rule contains forms which are not displayed in the HTML version.  To see the complete proposal, download the PDF version.

77 FR 17328 ,  3/26/2012  //  Open PDF Version PDF Version

17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations

2/17/2012

77 FR 9734  //  Open PDF Version PDF Version

17 CFR Parts 4 and 23 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties

Effective Date: Tuesday, April 17, 2012
See also:
75 FR 80638 ,  12/22/2010  //  Open PDF Version PDF Version

17 CFR Parts 23 and 155 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties

76 FR 25274 ,  5/4/2011  //  Open PDF Version PDF Version

17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

2/7/2012

77 FR 6336  //  Open PDF Version PDF Version

17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions

Effective Date: Monday, April 09, 2012
See also:
76 FR 33818 ,  6/9/2011  //  Open PDF Version PDF Version

17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions

76 FR 35141 ,  6/16/2011  //  Open PDF Version PDF Version

17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions; Correction

 

*Note – This Correction contains charts which are not displayed in the HTML version. To see the complete correction, download the PDF version.

1/25/2012

77 FR 3590  //  Open PDF Version PDF Version

17 CFR Parts 3 and 23 Registration of Swap Dealers and Major Swap Participants; Correction

Effective Date: Monday, March 19, 2012
See also:
75 FR 71397 ,  11/23/2010  //  Open PDF Version PDF Version

17 CFR Part 23 Regulations Establishing and Governing the Duties of Swap Dealers and Major Swap Participants

76 FR 25274 ,  5/4/2011  //  Open PDF Version PDF Version

17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

77 FR 2613 ,  1/19/2012  //  Open PDF Version PDF Version

17 CFR Parts 1, 3, 23, and 170 Registration of Swap Dealers and Major Swap Participants

1/20/2012

77 FR 2909  //  Open PDF Version PDF Version

17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data

Effective Date: Friday, March 09, 2012
See also:
75 FR 76139 ,  12/7/2010  //  Open PDF Version PDF Version

17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data

75 FR 76930 ,  12/10/2010  //  Open PDF Version PDF Version

17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data Correction

76 FR 25274 ,  5/4/2011  //  Open PDF Version PDF Version

17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

77 FR 1182 ,  1/9/2012  //  Open PDF Version PDF Version

17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data

1/19/2012

77 FR 2613  //  Open PDF Version PDF Version

17 CFR Parts 1, 3, 23, and 170 Registration of Swap Dealers and Major Swap Participants

Effective Date: Monday, March 19, 2012
See also:
75 FR 71379 ,  11/23/2010  //  Open PDF Version PDF Version

17 CFR Parts 3, 23 and 170 Registration of Swap Dealers and Major Swap Participants

76 FR 25274 ,  5/4/2011  //  Open PDF Version PDF Version

17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

77 FR 3590 ,  1/25/2012  //  Open PDF Version PDF Version

17 CFR Parts 3 and 23 Registration of Swap Dealers and Major Swap Participants; Correction

1/13/2012

77 FR 2136  //  Open PDF Version PDF Version

17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements

Effective Date: Tuesday, March 13, 2012
See also:
75 FR 76573 ,  12/8/2010  //  Open PDF Version PDF Version

17 CFR Part 45  Swap Data Recordkeeping and Reporting Requirements

76 FR 25274 ,  5/4/2011  //  Open PDF Version PDF Version

17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

1/9/2012

77 FR 1182  //  Open PDF Version PDF Version

17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data

Effective Date: Friday, March 09, 2012
See also:
75 FR 76139 ,  12/7/2010  //  Open PDF Version PDF Version

17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data

75 FR 76930 ,  12/10/2010  //  Open PDF Version PDF Version

17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data Correction

76 FR 25274 ,  5/4/2011  //  Open PDF Version PDF Version

17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

77 FR 2909 ,  1/20/2012  //  Open PDF Version PDF Version

17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data