Comments for Proposed Rule 76 FR 25274
Proposed Rule
76 FR 25274
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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
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17 CFR Parts 39 and 140 Financial Resources Requirements for Derivatives Clearing Organizations
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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
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17 CFR Parts 39 and 140 Process for Review of Swaps for Mandatory Clearing
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17 CFR Parts 1 and 30 Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions
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17 CFR Part 1 Implementation of Conflicts of Interest Policies and Procedures by Futures Commission Merchants and Introducing Brokers
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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
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17 CFR Parts 3, 23 and 170 Registration of Swap Dealers and Major Swap Participants
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17 CFR Part 23 Implementation of Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants
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17 CFR Part 23 Regulations Establishing and Governing the Duties of Swap Dealers and Major Swap Participants
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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
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17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
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17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements
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17 CFR Part 23 Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants
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17 CFR Parts 1 and 39 General Regulations and Derivatives Clearing Organizations
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17 CFR Parts 1, 21, and 39 Information Management Requirements for Derivatives Clearing Organizations
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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''
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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
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17 CFR Part 39 End-User Exception to Mandatory Clearing of Swaps
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17 CFR Part 23 Confirmation, Portfolio Reconciliation, and Portfolio Compression Requirements for Swap Dealers and Major Swap Participants
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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
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17 CFR Part 37 Core Principles and Other Requirements for Swap Execution Facilities
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17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations
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17 CFR Parts 3, 32, 33, and 35 Commodity Options and Agricultural Swaps
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17 CFR Part 23 Orderly Liquidation Termination Provision in Swap Trading Relationship Documentation for Swap Dealers and Major Swap Participants
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17 CFR Part 4 Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act
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17 CFR Parts 23, 37, 38, and 39 Requirements for Processing, Clearing, and Transfer of Customer Positions
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17 CFR Parts 39 and 140 Process for Review of Swaps for Mandatory Clearing
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17 CFR Part 49 Swap Data Repositories: Registration Standards, Duties and Core Principles
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17 CFR Parts 1, 21, 39, and 140 Derivatives Clearing Organization General Provisions and Core Principles
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17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
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17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements
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17 CFR Parts 1, 3, 23, and 170 Registration of Swap Dealers and Major Swap Participants
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17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
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17 CFR Parts 3 and 23 Registration of Swap Dealers and Major Swap Participants; Correction
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17 CFR Parts 4 and 23 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
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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''
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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
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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
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17 CFR Part 39 End-User Exception to the Clearing Requirement for Swaps
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17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data; Correction
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17 CFR Part 4 Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act
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17 CFR Part 23 Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants
| Date Received | Release | First Name | Last Name | Organization | Edit | |
|---|---|---|---|---|---|---|
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| 11/19/2010 | 75 FR 63732 | Jill | ||||
| 11/19/2010 | 75 FR 70973 | Jill | ||||
| 02/18/2011 | 75 FR 80747 | Kevin | ||||
| 02/18/2011 | 75 FR 80747 | Carol | ||||
| 02/18/2011 | 75 FR 80747 | |||||
| 02/18/2011 | 75 FR 80747 | Robert | ||||
| 02/18/2011 | 75 FR 80747 | Wayne | individual | |||
| 02/18/2011 | 75 FR 80747 | Ken | Ken Haltenhoff | |||
| 02/18/2011 | 75 FR 80747 | Steve Crosson | ||||
| 02/18/2011 | 75 FR 80747 | |||||
