Proposed Rules
17 CFR Part 23 Confirmation, Portfolio Reconciliation, and Portfolio Compression Requirements for Swap Dealers and Major Swap Participants
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
PDF Version
17 CFR Part 23 Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants
17 CFR Part 39 End-User Exception to Mandatory Clearing of Swaps
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
PDF Version
17 CFR Part 39 End-User Exception to the Clearing Requirement for Swaps
17 CFR Part 49 Swap Data Repositories
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
PDF Version
17 CFR Part 49 Swap Data Repositories: Registration Standards, Duties and Core Principles
17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contract Markets
Note:
The off-market volume data referenced by the Commission in the Federal Register release for the notice of proposed rulemaking for “Core Principles and Other Requirements for Designated Contract Markets,” 75 Fed. Reg. 80572, 80588-89 (Dec. 22, 2010), pertaining to proposed regulation 38.502(a) (“Minimum Centralized Market Trading Percentage Requirement”) is now available via the link below. As provided in the Federal Register release extending the comment period for the proposed rulemaking, 76 Fed. Reg 14825 (Mar. 18, 2011), the Commission will accept and consider comments pertaining to this data through April 18, 2011. Please submit comments via any one of the methods provided in the notice of extension. Download the “off-market volume data spreadsheet” here
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17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contact Markets
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17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
PDF Version
17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contract Markets
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17 CFR Part 38 Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management; Core Principles and Other Requirements for Designated Contract Markets; Correction
17 CFR Parts 23 and 155 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
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
PDF Version
17 CFR Parts 4 and 23 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
17 CFR Part 1 Securities and Exchange Commission 17 CFR Part 240 Further Definition of ``Swap Dealer,'' ``Security-Based Swap Dealer,'' ``Major Swap Participant,'' ``Major Security-Based Swap Participant'' and ``Eligible Contract Participant''
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
PDF Version
Commodity Futures Trading Commission 17 CFR Part 1; Securities and Exchange Commission 17 CFR Part 240 Further Definition of ``Swap Dealer,'' ``Security-Based Swap Dealer,'' ``Major Swap Participant,'' ``Major Security-Based Swap Participant'' and ``Eligible Contract Participant''
PDF Version
17 CFR Part 1 Further Definition of ``Swap Dealer,'' ``Security-Based Swap Dealer,'' ``Major Swap Participant,'' ``Major Security-Based Swap Participant'' and ``Eligible Contract Participant''; Correction
17 CFR Part 44 Reporting Certain Post-Enactment Swap Transactions
17 CFR Parts 1, 21, and 39 Information Management Requirements for Derivatives Clearing Organizations
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
PDF Version
17 CFR Parts 1, 21, 39, and 140 Derivatives Clearing Organization General Provisions and Core Principles
17 CFR Parts 1 and 39 General Regulations and Derivatives Clearing Organizations
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17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
PDF Version
17 CFR Parts 1, 21, 39, and 140 Derivatives Clearing Organization General Provisions and Core Principles
17 CFR Part 30 Foreign Futures and Options Contracts on a Non-Narrow-Based Security Index; Commission Certification Procedures
PDF Version
17 CFR Part 30 Foreign Futures and Options Contracts on a Non-Narrow-Based Security Index; Commission Certification Procedures
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data Correction
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17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
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
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
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17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
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17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data; Correction
Acceptance of Public Submissions on a Study Mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act, Section 719(b)
17 CFR Part 23 Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants
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
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
17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements
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
PDF Version
17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
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17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data Correction
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17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
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17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data; Correction
17 CFR Part 165 Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act
PDF Version
17 CFR Part 165 Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act
17 CFR Parts 23 and 190 Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy
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
17 CFR Part 190 Protection of Cleared Swaps Customers Before and After Commodity Broker Bankruptcies
Public Input for the Study Regarding the Oversight of Existing and Prospective Carbon Markets
17 CFR Parts 3, 23 and 170 Registration of Swap Dealers and Major Swap Participants
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
PDF Version
17 CFR Parts 1, 3, 23, and 170 Registration of Swap Dealers and Major Swap Participants
PDF Version
17 CFR Parts 3 and 23 Registration of Swap Dealers and Major Swap Participants; Correction
17 CFR Part 23 Implementation of Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants
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
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
17 CFR Part 23 Regulations Establishing and Governing the Duties of Swap Dealers and Major Swap Participants
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
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
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
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
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
17 CFR Part 48 Registration of Foreign Boards of Trade
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
17 CFR Part 1 Implementation of Conflicts of Interest Policies and Procedures by Futures Commission Merchants and Introducing Brokers
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
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
Request for Comment on a Proposal to Exempt, Pursuant to the Authority in Section 4(c) of the Commodity Exchange Act, the Trading and Clearing of Certain Products Related to the CBOE Gold ETF Volatility Index and Similar Products
PDF Version
Order Exempting the Trading and Clearing of Certain Products Related to the CBOE Gold ETF Volatility Index and Similar Products
17 CFR Parts 1 and 30 Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions
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
17 CFR Part 180 Prohibition of Market Manipulation
PDF Version
17 CFR Part 180 Prohibition on the Employment, or Attempted Employment, of Manipulative and Deceptive Devices and Prohibition on Price Manipulation
17 CFR Parts 1 and 4 Removing Any Reference to or Reliance on Credit Ratings in Commission Regulations; Proposing Alternatives to the Use of Credit Ratings
PDF Version
17 CFR Parts 1 and 4 Removing Any Reference to or Reliance on Credit Ratings in Commission Regulations; Proposing Alternatives to the Use of Credit Ratings
17 CFR Parts 15 and 20 Position Reports for Physical Commodity Swaps
PDF Version
17 CFR Parts 15 and 20 Large Trader Reporting for Physical Commodity Swaps
17 CFR Parts 39 and 140 Process for Review of Swaps for Mandatory Clearing
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
PDF Version
17 CFR Parts 39 and 140 Process for Review of Swaps for Mandatory Clearing
17 CFR Part 40 Provisions Common to Registered Entities
PDF Version
17 CFR Part 40 Provisions Common to Registered Entities; Correction
17 CFR Chapter I Antidisruptive Practices Authority Contained in the Dodd-Frank Wall Street Reform and Consumer Protection Act
17 CFR Part 160 Privacy of Consumer Financial Information; Conforming Amendments Under Dodd-Frank Act
PDF Version
17 CFR Part 160 Privacy of Consumer Financial Information; Conforming Amendments Under Dodd-Frank Act
17 CFR Part 162 Business Affiliate Marketing and Disposal of Consumer Information Rules
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17 CFR Part 162 Business Affiliate Marketing and Disposal of Consumer Information Rules
17 CFR Part 1 Agricultural Commodity Definition
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
17 CFR Parts 1, 37, 38, 39, and 40 Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities Regarding the Mitigation of Conflicts of Interest
PDF Version
17 CFR Parts 1, 37, 38, 39, and 40 Governance Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities; Additional Requirements Regarding the Mitigation of Conflicts of Interest
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
17 CFR Part 44 Interim Final Rule for Reporting Pre-Enactment Swap Transactions
17 CFR Parts 39 and 140 Financial Resources Requirements for Derivatives Clearing Organizations
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
Request for Comment on Options for a Proposed Exemptive Order Relating to the Trading and Clearing of Precious Metal Commodity-Based ETFs; Concept Release
Petition of the National Futures Association, Pursuant to Rule 13.2, to the U.S. Commodity Futures Trading Commission To Amend of the Rule 4.5
Notice Regarding the Treatment of Petitions Seeking Grandfather Relief for Trading Activity Done in Reliance Upon Section 2(h)(1)-(2) of the Commodity Exchange Act
Orders Regarding the Treatment of Petitions Seeking Grandfather Relief for Exempt Commercial Markets and Exempt Boards of Trade
17 CFR Part 4 Commodity Pool Operations: Relief From Compliance With Certain Disclosure, Reporting and Recordkeeping Requirements for Registered CPOs of Commodity Pools Listed for Trading on a National Securities Exchange; CPO Registration Exemption for Certain Independent Directors or Trustees of These Commodity Pools; Correction
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17 CFR Part 4 Commodity Pool Operators: Relief From Compliance With Certain Disclosure, Reporting and Recordkeeping Requirements for Registered CPOs of Commodity Pools Listed for Trading on a National Securities Exchange; CPO Registration Exemption for Certain Independent Directors or Trustees of These Commodity Pools
PDF Version
17 CFR Part 4 Commodity Pool Operators: Relief From Compliance With Certain Disclosure, Reporting and Recordkeeping Requirements for Registered CPOs of Commodity Pools Listed for Trading on a National Securities Exchange; CPO Registration Exemption for Certain Independent Directors or Trustees of These Commodity Pools
17 CFR Part 16 Account Ownershp and Control Report
PDF Version
17 CFR Part 16 Account Ownership and Control Report; Notice of Public Meeting
17 CFR Part 4 Commodity Pool Operators: Relief From Compliance With Certain Disclosure, Reporting and Recordkeeping Requirements for Registered CPOs of Commodity Pools Listed for Trading on a National Securities Exchange; CPO Registration Exemption for Certain Independent Directors or Trustees of These Commodity Pools
PDF Version
17 CFR Part 4 Commodity Pool Operations: Relief From Compliance With Certain Disclosure, Reporting and Recordkeeping Requirements for Registered CPOs of Commodity Pools Listed for Trading on a National Securities Exchange; CPO Registration Exemption for Certain Independent Directors or Trustees of These Commodity Pools; Correction
PDF Version
17 CFR Part 4 Commodity Pool Operators: Relief From Compliance With Certain Disclosure, Reporting and Recordkeeping Requirements for Registered CPOs of Commodity Pools Listed for Trading on a National Securities Exchange; CPO Registration Exemption for Certain Independent Directors or Trustees of These Commodity Pools
Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Part 240 Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act
17 CFR Parts 1, 30 and 140 Acknowledgment Letters for Customer Funds and Secured Amount Funds
PDF Version
17 CFR Part 1 Acknowledgment Letters for Customer Funds and Secured Amount Funds; Correction
17 CFR Parts 38, 39, and 40 Business Continuity and Disaster Recovery
17 CFR Part 16 Account Ownership and Control Report
PDF Version
17 CFR Part 16 Account Ownership and Control Report; Notice of Public Meeting
Petition of Hard Eight Futures, LLC for Exemptive Relief, Pursuant to Section 4(c) of the Commodity Exchange Act, From Section 2(a)(1)(C)(iv) of the Commodity Exchange Act and Appendix D to Part 30 of the Rules of the Commodity Futures Trading Commission
Request To Amend an Existing Order Under Section 4(c) of the Commodity Exchange Act Permitting Eligible Swap Participants To Submit for Clearing, and ICE Clear U.S., Inc. and Futures Commission Merchants To Clear, Certain-Over-The-Counter Agricultural Swaps
17 CFR Parts 36, 37, and 38 Co-Location/Proximity Hosting Services
Request for Comment on a Proposal To Exempt, Pursuant to the Authority in Section 4(c) of the Commodity Exchange Act, the Trading and Clearing of Certain Products Related to ETFS Physical Swiss Gold Shares and ETFS Physical Silver Shares
17 CFR Parts 38 and 140 Delegations of Authority To Disclose Confidential Information
17 CFR Parts 1, 20 and 151 Federal Speculative Position Limits for Referenced Energy Contracts and Associated Regulations
PDF Version
17 CR Parts 1, 20, and 151 Federal Speculative Position Limits for Referenced Energy Contracts and Associated Regulations
17 CFR Parts 1, 3, 4, 5, 10, 140, 145, 147, 160, and 166 Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries
PDF Version
17 CFR Parts 1, 3, 4, 5, 10, 140, 145, 147, 160, and 166 Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries
