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Proposed Rules

Date
Proposed Rules
12/14/2011

76 FR 77728  //  Open PDF Version PDF Version

17 CFR Parts 37 and 38 Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available To Trade

 

Related Videos:

View Roundtable Video Part I

View Roundtable Video Part II

 

Closing Date: 2/13/2012
 
See also:
78 FR 36606 ,  6/4/2013  //  Open PDF Version PDF Version

17 CFR Parts 37 and 38 Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available to Trade, Swap Transaction Compliance and Implementation Schedule, and Trade Execution Requirement Under the Commodity Exchange Act

11/18/2011

76 FR 71626  //  Open PDF Version PDF Version

17 CFR Parts 1, 150 and 151 Position Limits for Futures and Swaps

Closing Date: 1/17/2012
 
See also:
76 FR 4752 ,  1/26/2011  //  Open PDF Version 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

10/25/2011

76 FR 65999  //  Open PDF Version PDF Version

17 CFR Chapter 1 Effective Date for Swap Regulation

Closing Date: 11/25/2011
 
See also:
76 FR 35372 ,  6/17/2011  //  Open PDF Version PDF Version

17 CFR Chapter 1 Effective Date for Swap Regulation

76 FR 42508 ,  7/19/2011  //  Open PDF Version 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.

9/20/2011

76 FR 58176  //  Open PDF Version PDF Version

17 CFR Part 23 Swap Transaction Compliance and Implementation Schedule: Trading Documentation and Margining Requirements Under Section 4s of the CEA

Closing Date: 11/4/2011
 
See also:
76 FR 6715 ,  2/8/2011  //  Open PDF Version PDF Version

17 CFR Part 23 Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants

76 FR 23732 ,  4/28/2011  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

9/20/2011

76 FR 58186  //  Open PDF Version PDF Version

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

Closing Date: 11/4/2011
 
See also:
77 FR 44441 ,  7/30/2012  //  Open PDF Version PDF Version

17 CFR Part 50 Swap Transaction Compliance and Implementation Schedule: Clearing Requirement Under Section 2(h) of the CEA

8/25/2011

76 FR 53162  //  Open PDF Version PDF Version

Commodity Futures Trading Commission and Securities and Exchange Commission Acceptance of Public Submissions Regarding the Study of Stable Value Contracts

Closing Date: 9/26/2011
 
See also:
77 FR 60113 ,  10/2/2012  //  Open PDF Version PDF Version

Commodity Futures Trading Commission and Securities and Exchange Commission Acceptance of Public Submissions Regarding the Study of Stable Value Contracts

8/5/2011

76 FR 47529  //  Open PDF Version PDF Version

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

Closing Date: 9/30/2011
 
See also:
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

77 FR 21278 ,  4/9/2012  //  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

8/1/2011

76 FR 45724  //  Open PDF Version PDF Version

17 CFR Parts 1 and 23 Clearing Member Risk Management

Closing Date: 9/30/2011
 
See also:
77 FR 21278 ,  4/9/2012  //  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

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

8/1/2011

76 FR 45730  //  Open PDF Version PDF Version

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

Closing Date: 9/30/2011
 
See also:
76 FR 47529 ,  8/5/2011  //  Open PDF Version PDF Version

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

77 FR 21278 ,  4/9/2012  //  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

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

7/26/2011

76 FR 44508  //  Open PDF Version PDF Version

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

Closing Date: 9/26/2011
 
6/30/2011

76 FR 38328  //  Open PDF Version PDF Version

5 CFR Chapter XLI 17 CFR Chapter I Reducing Regulatory Burden; Retrospective Review Under E.O. 13563

Closing Date: 8/29/2011
 
6/17/2011

76 FR 35372  //  Open PDF Version PDF Version

17 CFR Chapter 1 Effective Date for Swap Regulation

Closing Date: 7/1/2011
 
See also:
76 FR 42508 ,  7/19/2011  //  Open PDF Version 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.

76 FR 65999 ,  10/25/2011  //  Open PDF Version PDF Version

17 CFR Chapter 1 Effective Date for Swap Regulation

6/16/2011

76 FR 35141  //  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.

Closing Date: 8/8/2011
 
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

77 FR 6336 ,  2/7/2012  //  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

6/9/2011

76 FR 33818  //  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

Closing Date: 8/8/2011
 
See also:
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.

77 FR 6336 ,  2/7/2012  //  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

6/7/2011

76 FR 32880  //  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,'' ``Security-Based Swap,'' and ``Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap Agreement Recordkeeping

Closing Date: 7/22/2011
 
See also:
76 FR 29818 ,  5/23/2011  //  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,'' ``Security-Based Swap,'' and ``Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap
Agreement Recordkeeping

77 FR 48207 ,  8/13/2012  //  Open PDF Version 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

6/7/2011

76 FR 33066  //  Open PDF Version PDF Version

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

Closing Date: 8/8/2011
 
See also:
77 FR 66288 ,  11/2/2012  //  Open PDF Version 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

77 FR 75523 ,  12/21/2012  //  Open PDF Version PDF Version

17 CFR Part 1 Adaptation of Regulations To Incorporate Swaps--Records of Transactions

5/23/2011

76 FR 29818  //  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,'' ``Security-Based Swap,'' and ``Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap
Agreement Recordkeeping

Closing Date: 7/22/2011
 
See also:
76 FR 32880 ,  6/7/2011  //  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,'' ``Security-Based Swap,'' and ``Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap Agreement Recordkeeping

77 FR 48207 ,  8/13/2012  //  Open PDF Version 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

5/12/2011

76 FR 27621  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Closing Date: 7/11/2011
 
See also:
76 FR 23732 ,  4/28/2011  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

5/12/2011

76 FR 27802  //  Open PDF Version PDF Version

17 CFR Parts 1, 23, and 140 Capital Requirements of Swap Dealers and Major Swap Participants

Closing Date: 7/11/2011
 
5/4/2011

76 FR 25274  //  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

Closing Date: 6/3/2011
 
See also:
75 FR 63113 ,  10/14/2010  //  Open PDF Version PDF Version

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

75 FR 63732 ,  10/18/2010  //  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

75 FR 65586 ,  10/26/2010  //  Open PDF Version PDF Version

17 CFR Part 1 Agricultural Commodity Definition

75 FR 67277 ,  11/2/2010  //  Open PDF Version PDF Version

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

75 FR 67642 ,  11/3/2010  //  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

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 70973 ,  11/19/2010  //  Open PDF Version PDF Version

17 CFR Part 48 Registration of Foreign Boards of Trade

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 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

75 FR 75432 ,  12/3/2010  //  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

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 76573 ,  12/8/2010  //  Open PDF Version PDF Version

17 CFR Part 45  Swap Data Recordkeeping and Reporting Requirements

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

75 FR 77576 ,  12/13/2010  //  Open PDF Version PDF Version

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

75 FR 78185 ,  12/15/2010  //  Open PDF Version PDF Version

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

75 FR 80174 ,  12/21/2010  //  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''

75 FR 80572 ,  12/22/2010  //  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

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

75 FR 80747 ,  12/23/2010  //  Open PDF Version PDF Version

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

75 FR 80898 ,  12/23/2010  //  Open PDF Version PDF Version

17 CFR Part 49 Swap Data Repositories

75 FR 81519 ,  12/28/2010  //  Open PDF Version PDF Version

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

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 1214 ,  1/7/2011  //  Open PDF Version PDF Version

17 CFR Part 37 Core Principles and Other Requirements for Swap Execution Facilities

 

Related Videos:

View Roundtable Video Part I 

View Roundtable Video Part II

 

76 FR 3698 ,  1/20/2011  //  Open PDF Version PDF Version

17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations

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 6708 ,  2/8/2011  //  Open PDF Version PDF Version

17 CFR Part 23 Orderly Liquidation Termination Provision in Swap Trading Relationship Documentation for Swap Dealers and Major Swap Participants

76 FR 11701 ,  3/3/2011  //  Open PDF Version PDF Version

17 CFR Part 4 Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act

76 FR 12888 ,  3/9/2011  //  Open PDF Version PDF Version

17 CFR Part 3 Registration of Intermediaries

76 FR 13101 ,  3/10/2011  //  Open PDF Version PDF Version

17 CFR Parts 23, 37, 38, and 39 Requirements for Processing, Clearing, and Transfer of Customer Positions

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

17 CFR Part 1 Agricultural Commodity Definition

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

76 FR 49291 ,  8/10/2011  //  Open PDF Version PDF Version

17 CFR Part 35 Agricultural Swaps

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

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

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

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 2136 ,  1/13/2012  //  Open PDF Version PDF Version

17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements

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

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

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

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

77 FR 23520 ,  4/27/2012  //  Open PDF Version PDF Version

17 CFR Parts 3, 32, and 33 Commodity Options

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 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

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

77 FR 42559 ,  7/19/2012  //  Open PDF Version PDF Version

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

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

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

77 FR 51898 ,  8/28/2012  //  Open PDF Version PDF Version

17 CFR Part 3 Registration of Intermediaries

77 FR 54355 ,  9/5/2012  //  Open PDF Version PDF Version

17 CFR Part 4 Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank 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

78 FR 32866 ,  5/31/2013  //  Open PDF Version PDF Version

17 CFR Part 43 Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades

78 FR 33476 ,  6/4/2013  //  Open PDF Version PDF Version

17 CFR Part 37 Core Principles and Other Requirements for Swap Execution Facilities

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

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

4/28/2011

76 FR 23732  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Closing Date: 6/27/2011
Extended Date: 9/14/2012
 
See also:
76 FR 27621 ,  5/12/2011  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

76 FR 58176 ,  9/20/2011  //  Open PDF Version PDF Version

17 CFR Part 23 Swap Transaction Compliance and Implementation Schedule: Trading Documentation and Margining Requirements Under Section 4s of the CEA

77 FR 41109 ,  7/12/2012  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

4/25/2011

76 FR 22833  //  Open PDF Version PDF Version

17 CFR Part 46 Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps

Closing Date: 6/9/2011
 
See also:
77 FR 35200 ,  6/12/2012  //  Open PDF Version PDF Version

17 CFR Part 46 Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps

3/24/2011

76 FR 16587  //  Open PDF Version PDF Version

17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations

Closing Date: 4/25/2011
 
See also:
76 FR 3698 ,  1/20/2011  //  Open PDF Version PDF Version

17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations

76 FR 16588 ,  3/24/2011  //  Open PDF Version PDF Version

17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations; 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

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

3/24/2011

76 FR 16588  //  Open PDF Version PDF Version

17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations; Correction

Closing Date: 4/25/2011
 
See also:
76 FR 3698 ,  1/20/2011  //  Open PDF Version PDF Version

17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations

76 FR 16587 ,  3/24/2011  //  Open PDF Version PDF Version

17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations

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

3/18/2011

76 FR 14825  //  Open PDF Version PDF Version

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

Closing Date: 4/18/2011
 
See also:
75 FR 80572 ,  12/22/2010  //  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

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

3/18/2011

76 FR 14943  //  Open PDF Version PDF Version

Antidisruptive Practices Authority

Closing Date: 5/17/2011
 
See also:
75 FR 67301 ,  11/2/2010  //  Open PDF Version PDF Version

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

76 FR 14826 ,  3/18/2011  //  Open PDF Version PDF Version

17 CFR Chapter I Antidisruptive Practices Authority

78 FR 31890 //  Open PDF Version PDF Version

Antidisruptive Practices Authority

3/10/2011

76 FR 13101  //  Open PDF Version PDF Version

17 CFR Parts 23, 37, 38, and 39 Requirements for Processing, Clearing, and Transfer of Customer Positions

Closing Date: 4/11/2011
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

3/9/2011

76 FR 12888  //  Open PDF Version PDF Version

17 CFR Part 3 Registration of Intermediaries

Closing Date: 5/9/2011
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 51898 ,  8/28/2012  //  Open PDF Version PDF Version

17 CFR Part 3 Registration of Intermediaries

3/3/2011

76 FR 11701  //  Open PDF Version PDF Version

17 CFR Part 4 Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act

Closing Date: 5/2/2011
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 54355 ,  9/5/2012  //  Open PDF Version PDF Version

17 CFR Part 4 Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act

2/11/2011

76 FR 7976  //  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.

Closing Date: 4/12/2011
 
See also:
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

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

2/11/2011

76 FR 8068  //  Open 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

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

Closing Date: 4/12/2011
 
See also:
76 FR 71128 ,  11/16/2011  //  Open 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

2/8/2011

76 FR 6708  //  Open PDF Version PDF Version

17 CFR Part 23 Orderly Liquidation Termination Provision in Swap Trading Relationship Documentation for Swap Dealers and Major Swap Participants

Closing Date: 4/11/2011
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

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

2/8/2011

76 FR 6715  //  Open PDF Version PDF Version

17 CFR Part 23 Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants

Closing Date: 4/11/2011
 
See also:
76 FR 58176 ,  9/20/2011  //  Open PDF Version PDF Version

17 CFR Part 23 Swap Transaction Compliance and Implementation Schedule: Trading Documentation and Margining Requirements Under Section 4s of the CEA

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

2/3/2011

76 FR 6095  //  Open PDF Version PDF Version

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

Closing Date: 4/4/2011
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 49291 ,  8/10/2011  //  Open PDF Version PDF Version

17 CFR Part 35 Agricultural Swaps

77 FR 25320 ,  4/27/2012  //  Open PDF Version PDF Version

17 CFR Parts 3, 32, and 33 Commodity Options

1/26/2011

76 FR 4569  //  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:
75 FR 75728 ,  12/6/2010  //  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

1/26/2011

76 FR 4752  //  Open PDF Version 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

Closing Date: 3/28/2011
 
See also:
76 FR 71626 ,  11/18/2011  //  Open PDF Version PDF Version

17 CFR Parts 1, 150 and 151 Position Limits for Futures and Swaps

1/20/2011

76 FR 3698  //  Open PDF Version PDF Version

17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations

Closing Date: 3/21/2011
Extended Date: 6/3/2011
 
See also:
76 FR 16587 ,  3/24/2011  //  Open PDF Version PDF Version

17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations

76 FR 16588 ,  3/24/2011  //  Open PDF Version PDF Version

17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations; 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

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

1/7/2011

76 FR 1214  //  Open PDF Version PDF Version

17 CFR Part 37 Core Principles and Other Requirements for Swap Execution Facilities

 

Related Videos:

View Roundtable Video Part I 

View Roundtable Video Part II

 

Closing Date: 3/8/2011
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 33476 ,  6/4/2013  //  Open PDF Version PDF Version

17 CFR Part 37 Core Principles and Other Requirements for Swap Execution Facilities

1/6/2011

76 FR 722  //  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

Closing Date: 3/7/2011
Extended Date: 6/3/2011
 
See also:
75 FR 63732 ,  10/18/2010  //  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

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