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Final Rules

Date
Final Rules
7/30/2014

79 FR 44125  //  Open PDF Version PDF Version

17 CFR Parts 1, 30, and 140 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

Effective Date: Wednesday, July 30, 2014
See also:
77 FR 67866 ,  11/14/2012  //  Open PDF Version PDF Version

17 CFR Parts 1, 3, 22, 30, and 140 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

78 FR 4093 ,  1/18/2013  //  Open PDF Version PDF Version

17 CFR Parts 1, 3, 22, 30 and 140 Extension of Comment Period for the Rulemaking Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

78 FR 68506 ,  11/14/2013  //  Open PDF Version PDF Version

17 CFR Parts 1, 3, 22, 30, and 140 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

79 FR 14174 ,  3/13/2014  //  Open PDF Version PDF Version

17 CFR Part 30 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

79 FR 26831 ,  5/12/2014  //  Open PDF Version PDF Version

17 CFR Part 1 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

7/15/2014

79 FR 41126  //  Open PDF Version PDF Version

17 CFR Part 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; Correction

Effective Date: Tuesday, July 15, 2014
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

77 FR 20128 ,  4/3/2012  //  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

5/12/2014

79 FR 26831  //  Open PDF Version PDF Version

17 CFR Part 1 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

Effective Date: Monday, May 12, 2014
See also:
77 FR 67866 ,  11/14/2012  //  Open PDF Version PDF Version

17 CFR Parts 1, 3, 22, 30, and 140 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

78 FR 4093 ,  1/18/2013  //  Open PDF Version PDF Version

17 CFR Parts 1, 3, 22, 30 and 140 Extension of Comment Period for the Rulemaking Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

78 FR 68506 ,  11/14/2013  //  Open PDF Version PDF Version

17 CFR Parts 1, 3, 22, 30, and 140 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

79 FR 14174 ,  3/13/2014  //  Open PDF Version PDF Version

17 CFR Part 30 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

79 FR 44125 ,  7/30/2014  //  Open PDF Version PDF Version

17 CFR Parts 1, 30, and 140 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

3/26/2014

79 FR 16672  //  Open PDF Version PDF Version

17 CFR Part 49 Swap Data Repositories--Access to SDR Data by Market Participants

Effective Date: Wednesday, March 26, 2014
3/13/2014

79 FR 14174  //  Open PDF Version PDF Version

17 CFR Part 30 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

Effective Date: Thursday, March 13, 2014
See also:
77 FR 67866 ,  11/14/2012  //  Open PDF Version PDF Version

17 CFR Parts 1, 3, 22, 30, and 140 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

78 FR 4093 ,  1/18/2013  //  Open PDF Version PDF Version

17 CFR Parts 1, 3, 22, 30 and 140 Extension of Comment Period for the Rulemaking Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

78 FR 68506 ,  11/14/2013  //  Open PDF Version PDF Version

17 CFR Parts 1, 3, 22, 30, and 140 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

79 FR 26831 ,  5/12/2014  //  Open PDF Version PDF Version

17 CFR Part 1 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

79 FR 44125 ,  7/30/2014  //  Open PDF Version PDF Version

17 CFR Parts 1, 30, and 140 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

1/31/2014

79 FR 5223  //  Open PDF Version PDF Version

Department of the Treasury Office of the Comptroller of the Currency 12 CFR Part 44; Board of Governors of the Federal Reserve System 12 CFR Part 248; Federal Deposit Insurance Corporation 12 CFR Part 351; Securities and Exchange Commission 17 CFR Part 255; Commodity Futures Trading Commission 17 CFR Part 75; Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities With Regard to Prohibitions and Restrictions on Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

Effective Date: Tuesday, April 01, 2014
1/31/2014

79 FR 5808  //  Open PDF Version PDF Version

17 CFR Part 75 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds

Effective Date: Tuesday, April 01, 2014
See also:
77 FR 8332 ,  2/14/2012  //  Open PDF Version PDF Version

17 CFR Part 75 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Covered Funds

1/14/2014

79 FR 2370  //  Open PDF Version PDF Version

17 CFR Part 42 Updates to Cross-References to Bank Secrecy Act Regulations

Effective Date: Tuesday, January 14, 2014