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Proposed Rules

Date
Proposed Rules
12/28/2010

75 FR 81519  //  Open PDF Version PDF Version

17 CFR Part 23 Confirmation, Portfolio Reconciliation, and Portfolio Compression Requirements for Swap Dealers and Major Swap Participants

Closing Date: 2/28/2011
Extended Date: 6/3/2011
 
See also:
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 55904 ,  9/11/2012  //  Open PDF Version PDF Version

17 CFR Part 23 Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants

12/23/2010

75 FR 80747  //  Open PDF Version PDF Version

17 CFR Part 39 End-User Exception to Mandatory Clearing of Swaps

Closing Date: 2/22/2011
Extended Date: 6/3/2011
 
See also:
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 42559 ,  7/19/2012  //  Open PDF Version PDF Version

17 CFR Part 39 End-User Exception to the Clearing Requirement for Swaps

12/23/2010

75 FR 80898  //  Open PDF Version PDF Version

17 CFR Part 49 Swap Data Repositories

Closing Date: 2/22/2011
Extended Date: 6/3/2011
 
See also:
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

76 FR 54538 ,  9/1/2011  //  Open PDF Version PDF Version

17 CFR Part 49 Swap Data Repositories: Registration Standards, Duties and Core Principles

12/22/2010

75 FR 80572  //  Open PDF Version PDF Version

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

Closing Date: 2/22/2011
Extended Date: 6/3/2011
 
See also:
76 FR 14825 ,  3/18/2011  //  Open PDF Version PDF Version

17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contact Markets

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 36611 ,  6/19/2012  //  Open PDF Version PDF Version

17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contract Markets

77 FR 37803 ,  6/25/2012  //  Open PDF Version PDF Version

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

78 FR 32988 ,  6/3/2013  //  Open PDF Version PDF Version

17 CFR Part 38 Core Principles and Other Requirements for Designated Contract Markets; Correction

12/22/2010

75 FR 80638  //  Open PDF Version PDF Version

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

Closing Date: 2/22/2011
Extended Date: 6/3/2011
 
See also:
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 9734 ,  2/17/2012  //  Open PDF Version PDF Version

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

12/21/2010

75 FR 80174  //  Open PDF Version PDF Version

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''

Closing Date: 2/22/2011
Extended Date: 6/3/2011
 
See also:
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 30596 ,  5/23/2012  //  Open PDF Version 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''

77 FR 39626 ,  7/5/2012  //  Open PDF Version 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

12/17/2010

75 FR 78892  //  Open PDF Version PDF Version

17 CFR Part 44 Reporting Certain Post-Enactment Swap Transactions

Closing Date: 1/18/2011
 
12/15/2010

75 FR 78185  //  Open PDF Version PDF Version

17 CFR Parts 1, 21, and 39 Information Management Requirements for Derivatives Clearing Organizations

Closing Date: 2/14/2011
Extended Date: 6/3/2011
 
See also:
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

76 FR 69334 ,  11/8/2011  //  Open PDF Version PDF Version

17 CFR Parts 1, 21, 39, and 140 Derivatives Clearing Organization General Provisions and Core Principles

12/13/2010

75 FR 77576  //  Open PDF Version PDF Version

17 CFR Parts 1 and 39 General Regulations and Derivatives Clearing Organizations

Closing Date: 2/11/2011
Extended Date: 6/3/2011
 
See also:
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

76 FR 69334 ,  11/8/2011  //  Open PDF Version PDF Version

17 CFR Parts 1, 21, 39, and 140 Derivatives Clearing Organization General Provisions and Core Principles

12/13/2010

75 FR 77588  //  Open PDF Version PDF Version

17 CFR Part 30 Foreign Futures and Options Contracts on a Non-Narrow-Based Security Index; Commission Certification Procedures

Closing Date: 1/12/2011
 
See also:
76 FR 59241 ,  9/26/2011  //  Open PDF Version PDF Version

17 CFR Part 30 Foreign Futures and Options Contracts on a Non-Narrow-Based Security Index; Commission Certification Procedures

12/10/2010

75 FR 76930  //  Open PDF Version PDF Version

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

Closing Date: 2/7/2011
 
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

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

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

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

77 FR 48060 ,  8/13/2012  //  Open PDF Version PDF Version

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

12/9/2010

75 FR 76706  //  Open PDF Version PDF Version

Acceptance of Public Submissions on a Study Mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act, Section 719(b)

Closing Date: 12/31/2010
 
12/9/2010

75 FR 76666  //  Open PDF Version PDF Version

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

Closing Date: 2/7/2011
Extended Date: 6/3/2011
 
See also:
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

79 FR 41126 ,  7/15/2014  //  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

12/8/2010

75 FR 76573  //  Open PDF Version PDF Version

17 CFR Part 45  Swap Data Recordkeeping and Reporting Requirements

Closing Date: 2/7/2011
Extended Date: 6/3/2011
 
See also:
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 2136 ,  1/13/2012  //  Open PDF Version PDF Version

17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements

12/7/2010

75 FR 76139  //  Open PDF Version PDF Version

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

Closing Date: 2/7/2011
Extended Date: 6/3/2011
 
See also:
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

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

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

77 FR 48060 ,  8/13/2012  //  Open PDF Version PDF Version

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

12/6/2010

75 FR 75728  //  Open PDF Version PDF Version

17 CFR Part 165 Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act

Closing Date: 2/4/2011
 
See also:
76 FR 4569 ,  1/26/2011  //  Open PDF Version PDF Version

17 CFR Part 165 Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act

76 FR 53172 ,  8/25/2011  //  Open PDF Version PDF Version

17 CFR Part 165 Whistleblower Incentives and Protection

12/3/2010

75 FR 75432  //  Open PDF Version PDF Version

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

Closing Date: 2/1/2011
Extended Date: 6/3/2011
 
See also:
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

78 FR 66621 ,  11/6/2013  //  Open PDF Version PDF Version

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

12/2/2010

75 FR 75162  //  Open PDF Version PDF Version

17 CFR Part 190 Protection of Cleared Swaps Customers Before and After Commodity Broker Bankruptcies

Closing Date: 1/18/2011
 
11/26/2010

75 FR 72816  //  Open PDF Version PDF Version

Public Input for the Study Regarding the Oversight of Existing and Prospective Carbon Markets

Closing Date: 12/17/2010
 
11/23/2010

75 FR 71379  //  Open PDF Version PDF Version

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

Closing Date: 1/24/2011
Extended Date: 6/3/2011
 
See also:
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

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

79 FR 41126 ,  7/15/2014  //  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

11/23/2010

75 FR 71391  //  Open PDF Version PDF Version

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

Closing Date: 1/24/2011
Extended Date: 6/3/2011
 
See also:
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

79 FR 41126 ,  7/15/2014  //  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

11/23/2010

75 FR 71397  //  Open PDF Version PDF Version

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

Closing Date: 1/24/2011
Extended Date: 6/3/2011
 
See also:
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

11/19/2010

75 FR 70881  //  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

Closing Date: 1/18/2011
Extended Date: 6/3/2011
 
See also:
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

79 FR 41126 ,  7/15/2014  //  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

11/19/2010

75 FR 70973  //  Open PDF Version PDF Version

17 CFR Part 48 Registration of Foreign Boards of Trade

Closing Date: 1/18/2011
Extended Date: 6/3/2011
 
See also:
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

11/17/2010

75 FR 70152  //  Open PDF Version PDF Version

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

Closing Date: 1/18/2011
Extended Date: 6/3/2011
 
See also:
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

79 FR 41126 ,  7/15/2014  //  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

11/10/2010

75 FR 69058  //  Open PDF Version PDF Version

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

View Associated Documents

Closing Date: 12/10/2010
 
See also:
75 FR 81977 ,  12/29/2010  //  Open PDF Version PDF Version

Order Exempting the Trading and Clearing of Certain Products Related to the CBOE Gold ETF Volatility Index and Similar Products

11/3/2010

75 FR 67642  //  Open PDF Version PDF Version

17 CFR Parts 1 and 30 Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions

Closing Date: 12/3/2010
Extended Date: 6/3/2011
 
See also:
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

11/3/2010

75 FR 67657  //  Open PDF Version PDF Version

17 CFR Part 180 Prohibition of Market Manipulation

Closing Date: 1/3/2011
 
See also:
76 FR 41398 ,  7/14/2011  //  Open PDF Version PDF Version

17 CFR Part 180 Prohibition on the Employment, or Attempted Employment, of Manipulative and Deceptive Devices and Prohibition on Price Manipulation

11/2/2010

75 FR 67254  //  Open PDF Version 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

Closing Date: 12/2/2010
 
See also:
76 FR 44262 ,  7/25/2011  //  Open PDF Version 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

11/2/2010

75 FR 67258  //  Open PDF Version PDF Version

17 CFR Parts 15 and 20 Position Reports for Physical Commodity Swaps

Closing Date: 12/2/2010
 
See also:
76 FR 43851 ,  7/22/2011  //  Open PDF Version PDF Version

17 CFR Parts 15 and 20 Large Trader Reporting for Physical Commodity Swaps

11/2/2010

75 FR 67277  //  Open PDF Version PDF Version

17 CFR Parts 39 and 140 Process for Review of Swaps for Mandatory Clearing

Closing Date: 1/3/2011
Extended Date: 6/3/2011
 
See also:
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

76 FR 44464 ,  7/26/2011  //  Open PDF Version PDF Version

17 CFR Parts 39 and 140 Process for Review of Swaps for Mandatory Clearing

11/2/2010

75 FR 67282  //  Open PDF Version PDF Version

17 CFR Part 40 Provisions Common to Registered Entities

Closing Date: 1/3/2011
 
See also:
76 FR 44776 ,  7/27/2011  //  Open PDF Version PDF Version

17 CFR Part 40 Provisions Common to Registered Entities

76 FR 45666 ,  8/1/2011  //  Open PDF Version PDF Version

17 CFR Part 40 Provisions Common to Registered Entities; Correction

11/2/2010

75 FR 67301  //  Open PDF Version PDF Version

17 CFR Chapter I Antidisruptive Practices Authority Contained in the Dodd-Frank Wall Street Reform and Consumer Protection Act

Closing Date: 1/3/2011
 
See also:
76 FR 14826 ,  3/18/2011  //  Open PDF Version PDF Version

17 CFR Chapter I Antidisruptive Practices Authority

76 FR 14943 ,  3/18/2011  //  Open PDF Version PDF Version

Antidisruptive Practices Authority

10/27/2010

75 FR 66014  //  Open PDF Version PDF Version

17 CFR Part 160 Privacy of Consumer Financial Information; Conforming Amendments Under Dodd-Frank Act

Closing Date: 12/27/2010
 
See also:
76 FR 43874 ,  7/22/2011  //  Open PDF Version PDF Version

17 CFR Part 160 Privacy of Consumer Financial Information; Conforming Amendments Under Dodd-Frank Act

10/27/2010

75 FR 66018  //  Open PDF Version PDF Version

17 CFR Part 162 Business Affiliate Marketing and Disposal of Consumer Information Rules

Closing Date: 12/27/2010
 
See also:
76 FR 43879 ,  7/22/2011  //  Open PDF Version PDF Version

17 CFR Part 162 Business Affiliate Marketing and Disposal of Consumer Information Rules

10/26/2010

75 FR 65586  //  Open PDF Version PDF Version

17 CFR Part 1 Agricultural Commodity Definition

Closing Date: 11/26/2010
Extended Date: 6/3/2011
 
See also:
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

76 FR 41048 ,  7/13/2011  //  Open PDF Version PDF Version

17 CFR Part 1 Agricultural Commodity Definition

10/18/2010

75 FR 63732  //  Open PDF Version PDF Version

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

Closing Date: 11/17/2010
Extended Date: 6/3/2011
 
See also:
76 FR 722 ,  1/6/2011  //  Open PDF Version 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

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

10/14/2010

75 FR 63080  //  Open PDF Version PDF Version

17 CFR Part 44 Interim Final Rule for Reporting Pre-Enactment Swap Transactions

Closing Date: 11/15/2010
 
10/14/2010

75 FR 63113  //  Open PDF Version PDF Version

17 CFR Parts 39 and 140 Financial Resources Requirements for Derivatives Clearing Organizations

Closing Date: 12/13/2010
Extended Date: 6/3/2011
 
See also:
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

78 FR 49663 ,  8/15/2013  //  Open PDF Version PDF Version

17 CFR Part 39 Enhanced Risk Management Standards for Systemically Important Derivatives Clearing Organizations

9/30/2010

75 FR 60411  //  Open PDF Version PDF Version

Request for Comment on Options for a Proposed Exemptive Order Relating to the Trading and Clearing of Precious Metal Commodity-Based ETFs; Concept Release

Closing Date: 11/1/2010
 
9/28/2010

75 FR 59666  //  Open PDF Version PDF Version

17 CFR Part 35 Agricultural Swaps

Closing Date: 10/28/2010
 
9/17/2010

75 FR 56997  //  Open PDF Version PDF Version

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

Closing Date: 10/18/2010
 
9/16/2010

75 FR 56512  //  Open PDF Version PDF Version

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

Closing Date: 10/18/2010
 
9/16/2010

75 FR 56513  //  Open PDF Version PDF Version

Orders Regarding the Treatment of Petitions Seeking Grandfather Relief for Exempt Commercial Markets and Exempt Boards of Trade

Closing Date: 10/18/2010
Effective Date: Friday, September 10, 2010
 
9/14/2010

75 FR 55698  //  Open PDF Version 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

Closing Date: 10/25/2010
See also:
75 FR 54794 ,  9/9/2010  //  Open PDF Version 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

76 FR 28641 ,  5/18/2011  //  Open PDF Version 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

9/9/2010

75 FR 54801  //  Open PDF Version PDF Version

17 CFR Part 16 Account Ownershp and Control Report

Closing Date: 9/17/2010
Extended Date: 10/7/2010
 
See also:
75 FR 54802 //  Open PDF Version PDF Version

17 CFR Part 16 Account Ownership and Control Report; Notice of Public Meeting

75 FR 41775 ,  7/19/2010  //  Open PDF Version PDF Version

17 CFR Part 16 Account Ownership and Control Report

77 FR 43967 //  Open PDF Version PDF Version

17 CFR Part 16 Account Ownership and Control Report; Withdrawal

9/9/2010

75 FR 54794  //  Open PDF Version 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

Closing Date: 10/25/2010
 
See also:
75 FR 55698 ,  9/14/2010  //  Open PDF Version 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

76 FR 28641 ,  5/18/2011  //  Open PDF Version 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

8/20/2010

75 FR 51429  //  Open PDF Version PDF Version

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

Closing Date: 9/20/2010
 
8/9/2010

75 FR 47738  //  Open PDF Version PDF Version

17 CFR Parts 1, 30 and 140 Acknowledgment Letters for Customer Funds and Secured Amount Funds

Closing Date: 9/8/2010
 
See also:
75 FR 50718 //  Open PDF Version PDF Version

17 CFR Part 1 Acknowledgment Letters for Customer Funds and Secured Amount Funds; Correction

7/22/2010

75 FR 42633  //  Open PDF Version PDF Version

17 CFR Parts 38, 39, and 40 Business Continuity and Disaster Recovery

Closing Date: 8/23/2010
 
7/19/2010

75 FR 41775  //  Open PDF Version PDF Version

17 CFR Part 16 Account Ownership and Control Report

Closing Date: 9/17/2010
Extended Date: 10/7/2010
 
See also:
75 FR 54802 //  Open PDF Version PDF Version

17 CFR Part 16 Account Ownership and Control Report; Notice of Public Meeting

75 FR 54801 ,  9/9/2010  //  Open PDF Version PDF Version

17 CFR Part 16 Account Ownershp and Control Report

77 FR 43967 //  Open PDF Version PDF Version

17 CFR Part 16 Account Ownership and Control Report; Withdrawal

6/17/2010

75 FR 34429  //  Open PDF Version PDF Version

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

Closing Date: 7/19/2010
 
6/17/2010

75 FR 34434  //  Open PDF Version PDF Version

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

Closing Date: 8/2/2010
 
6/11/2010

75 FR 33198  //  Open PDF Version PDF Version

17 CFR Parts 36, 37, and 38 Co-Location/Proximity Hosting Services

Closing Date: 7/12/2010
 
4/15/2010

75 FR 19619  //  Open PDF Version PDF Version

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

Closing Date: 5/17/2010
 
3/30/2010

75 FR 15635  //  Open PDF Version PDF Version

17 CFR Parts 38 and 140 Delegations of Authority To Disclose Confidential Information

Closing Date: 4/29/2010
 
1/26/2010

75 FR 4143  //  Open PDF Version PDF Version

17 CFR Parts 1, 20 and 151 Federal Speculative Position Limits for Referenced Energy Contracts and Associated Regulations

Closing Date: 4/26/2010
 
See also:
75 FR 50950 ,  8/18/2010  //  Open PDF Version PDF Version

17 CR Parts 1, 20, and 151 Federal Speculative Position Limits for Referenced Energy Contracts and Associated Regulations

1/20/2010

75 FR 3281  //  Open PDF Version 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

Closing Date: 3/22/2010
 
See also:
75 FR 55410 ,  9/10/2010  //  Open PDF Version 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