Proposed Rules
17 CFR Parts 37 and 38 Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available To Trade
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17 CFR Parts 1, 150 and 151 Position Limits for Futures and Swaps
PDF Version
17 CFR Parts 1, 150 and 151 Position Limits for Derivatives
Related Documents:
Illustrative Tables for Position Limits Notice of Proposed Rulemaking: Excel Version // PDF Version
Explanatory Notes on Setting Non-spot-Month Position Limits: PDF Version
17 CFR Chapter 1 Effective Date for Swap Regulation
PDF Version
17 CFR Chapter 1 Effective Date for Swap Regulation
*Note – This contains charts which are not displayed in the HTML version. To see the complete correction, download the PDF version.
17 CFR Part 23 Swap Transaction Compliance and Implementation Schedule: Trading Documentation and Margining Requirements Under Section 4s of the CEA
PDF Version
17 CFR Part 23 Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants
PDF Version
17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
17 CFR Parts 37, 38, and 39 Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA
PDF Version
17 CFR Part 50 Swap Transaction Compliance and Implementation Schedule: Clearing Requirement Under Section 2(h) of the CEA
Commodity Futures Trading Commission and Securities and Exchange Commission Acceptance of Public Submissions Regarding the Study of Stable Value Contracts
PDF Version
Commodity Futures Trading Commission and Securities and Exchange Commission Acceptance of Public Submissions Regarding the Study of Stable Value Contracts
17 CFR Parts 1, 23, and 39 Customer Clearing Documentation and Timing of Acceptance for Clearing; Correction
PDF Version
17 CFR Parts 1, 23, and 39 Customer Clearing Documentation and Timing of Acceptance for Clearing
PDF Version
17 CFR Parts 1, 23, 37, 38, and 39 Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management
17 CFR Parts 1 and 23 Clearing Member Risk Management
PDF Version
17 CFR Parts 1, 23, 37, 38, and 39 Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management
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
17 CFR Parts 1, 23, and 39 Customer Clearing Documentation and Timing of Acceptance for Clearing
PDF Version
17 CFR Parts 1, 23, and 39 Customer Clearing Documentation and Timing of Acceptance for Clearing; Correction
PDF Version
17 CFR Parts 1, 23, 37, 38, and 39 Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management
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
Commodity Futures Trading Commission 17 CFR Chapter I Securities and Exchange Commission 17 CFR Chapter II Acceptance of Public Submissions for a Study on International Swap Regulation Mandated by Section 719(c) of the Dodd-Frank Wall
Street Reform and Consumer Protection Act
5 CFR Chapter XLI 17 CFR Chapter I Reducing Regulatory Burden; Retrospective Review Under E.O. 13563
17 CFR Chapter 1 Effective Date for Swap Regulation
PDF Version
17 CFR Chapter 1 Effective Date for Swap Regulation
*Note – This contains charts which are not displayed in the HTML version. To see the complete correction, download the 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.
PDF Version
17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
PDF Version
17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
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.
PDF Version
17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Part 240 Further Definition of ``Swap,'' ``Security-Based Swap,'' and ``Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
PDF Version
Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Part 240 Further Definition of ``Swap,'' ``Security-Based Swap,'' and ``Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap
Agreement Recordkeeping
PDF Version
Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Parts 230, 240 and 241 Further Definition of ``Swap,'' ``Security-Based Swap,'' and ``Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166 Adaptation of Regulations to Incorporate Swaps
Related Document:
Adaptation of Regulations - Redline
PDF Version
17 CFR Parts 1, 4, 5, 7, 8, 15, 16, 18, 21, 22, 36, 38, 41, 140, 145, 155, and 166 Adaptation of Regulations To Incorporate Swaps
PDF Version
17 CFR Part 1 Adaptation of Regulations To Incorporate Swaps--Records of Transactions
Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Part 240 Further Definition of ``Swap,'' ``Security-Based Swap,'' and ``Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap
Agreement Recordkeeping
PDF Version
Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Part 240 Further Definition of ``Swap,'' ``Security-Based Swap,'' and ``Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
PDF Version
Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Parts 230, 240 and 241 Further Definition of ``Swap,'' ``Security-Based Swap,'' and ``Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
PDF Version
17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
17 CFR Parts 1, 23, and 140 Capital Requirements of Swap Dealers and Major Swap Participants
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 Financial Resources Requirements for Derivatives Clearing Organizations
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
PDF Version
17 CFR Parts 39 and 140 Process for Review of Swaps for Mandatory Clearing
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
PDF Version
17 CFR Part 1 Implementation of Conflicts of Interest Policies and Procedures by Futures Commission Merchants and Introducing Brokers
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
PDF Version
17 CFR Parts 3, 23 and 170 Registration of Swap Dealers and Major Swap Participants
PDF Version
17 CFR Part 23 Implementation of Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants
PDF Version
17 CFR Part 23 Regulations Establishing and Governing the Duties of Swap Dealers and Major Swap Participants
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
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
PDF Version
17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements
PDF Version
17 CFR Part 23 Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants
PDF Version
17 CFR Parts 1 and 39 General Regulations and Derivatives Clearing Organizations
PDF Version
17 CFR Parts 1, 21, and 39 Information Management Requirements for Derivatives Clearing Organizations
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''
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 PDF Version
17 CFR Parts 23 and 155 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
PDF Version
17 CFR Part 39 End-User Exception to Mandatory Clearing of Swaps
PDF Version
17 CFR Part 23 Confirmation, Portfolio Reconciliation, and Portfolio Compression Requirements for Swap Dealers and Major Swap Participants
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 Part 37 Core Principles and Other Requirements for Swap Execution Facilities
Related Videos:
PDF Version
17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations
PDF Version
17 CFR Parts 3, 32, 33, and 35 Commodity Options and Agricultural Swaps
PDF Version
17 CFR Part 23 Orderly Liquidation Termination Provision in Swap Trading Relationship Documentation for Swap Dealers and Major Swap Participants
PDF Version
17 CFR Part 4 Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act
PDF Version
17 CFR Parts 23, 37, 38, and 39 Requirements for Processing, Clearing, and Transfer of Customer Positions
PDF Version
17 CFR Parts 39 and 140 Process for Review of Swaps for Mandatory Clearing
PDF Version
17 CFR Part 49 Swap Data Repositories: Registration Standards, Duties and Core Principles
PDF Version
17 CFR Parts 1, 21, 39, and 140 Derivatives Clearing Organization General Provisions and Core Principles
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
PDF Version
17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements
PDF Version
17 CFR Parts 1, 3, 23, and 170 Registration of Swap Dealers and Major Swap Participants
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
PDF Version
17 CFR Parts 3 and 23 Registration of Swap Dealers and Major Swap Participants; Correction
PDF Version
17 CFR Parts 4 and 23 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
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 Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contract Markets
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
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
PDF Version
17 CFR Part 39 End-User Exception to the Clearing Requirement for Swaps
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data; Correction
PDF Version
17 CFR Part 4 Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank 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 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
PDF Version
17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
PDF Version
17 CFR Part 23 Swap Transaction Compliance and Implementation Schedule: Trading Documentation and Margining Requirements Under Section 4s of the CEA
PDF Version
17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
17 CFR Part 46 Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps
PDF Version
17 CFR Part 46 Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps
17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations
PDF Version
17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations
PDF Version
17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations; Correction
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 Part 39 Risk Management Requirements for Derivatives Clearing Organizations; Correction
PDF Version
17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations
PDF Version
17 CFR Part 39 Risk 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, 16, and 38 Core Principles and Other Requirements for Designated Contact Markets
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 PDF Version
17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contract Markets
Antidisruptive Practices Authority
PDF Version
17 CFR Chapter I Antidisruptive Practices Authority Contained in the Dodd-Frank Wall Street Reform and Consumer Protection Act
17 CFR Parts 23, 37, 38, and 39 Requirements for Processing, Clearing, and Transfer of Customer Positions
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 Part 3 Registration of Intermediaries
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 4 Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act
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 4 Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act
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.
PDF Version
17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations
PDF Version
17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations
Commodity Futures Trading Commission 17 CFR Part 4 Securities and Exchange Commission 17 CFR Parts 275 and 279 Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
*Note – This Proposed Rule contains forms which are not displayed in the HTML version. To see the complete proposal, download the PDF version.
PDF Version
Commodity Futures Trading Commission 17 CFR Part 4 Securities and Exchange Commission 17 CFR Parts 275 and 279 Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
17 CFR Part 23 Orderly Liquidation Termination Provision in Swap Trading Relationship Documentation 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 23 Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants
PDF Version
17 CFR Part 23 Swap Transaction Compliance and Implementation Schedule: Trading Documentation and Margining Requirements Under Section 4s of the CEA
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 Parts 3, 32, 33, and 35 Commodity Options and Agricultural 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
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 1, 150 and 151 Position Limits for Derivatives
Related Documents:
Illustrative Tables for Position Limits Notice of Proposed Rulemaking: Excel Version // PDF Version
Explanatory Notes on Setting Non-spot-Month Position Limits: PDF Version
PDF Version
17 CFR Parts 1, 150 and 151 Position Limits for Futures and Swaps
17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations
PDF Version
17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations
PDF Version
17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations; Correction
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 Part 37 Core Principles and Other Requirements for Swap Execution Facilities
Related Videos:
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 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 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 Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
