Proposed Rule
76 FR 25274
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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
Open Date:
5/4/2011
Closing Date:
6/3/2011
See also:
75 FR 63113
,
10/14/2010
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PDF Version
17 CFR Parts 39 and 140 Financial Resources Requirements for Derivatives Clearing Organizations
75 FR 63732
,
10/18/2010
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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 67277
,
11/2/2010
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PDF Version
17 CFR Parts 39 and 140 Process for Review of Swaps for Mandatory Clearing
75 FR 67642
,
11/3/2010
//
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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
75 FR 70152
,
11/17/2010
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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
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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
75 FR 71379
,
11/23/2010
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PDF Version
17 CFR Parts 3, 23 and 170 Registration of Swap Dealers and Major Swap Participants
75 FR 71391
,
11/23/2010
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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
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17 CFR Part 23 Regulations Establishing and Governing the Duties of Swap Dealers and Major Swap Participants
75 FR 75432
,
12/3/2010
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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
75 FR 76666
,
12/9/2010
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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
//
PDF Version
17 CFR Parts 1 and 39 General Regulations and Derivatives Clearing Organizations
75 FR 78185
,
12/15/2010
//
PDF Version
17 CFR Parts 1, 21, and 39 Information Management Requirements for Derivatives Clearing Organizations
75 FR 80174
,
12/21/2010
//
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
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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
//
PDF Version
17 CFR Parts 23 and 155 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
75 FR 81519
,
12/28/2010
//
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
//
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 3698
,
1/20/2011
//
PDF Version
17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations
76 FR 6095
,
2/3/2011
//
PDF Version
17 CFR Parts 3, 32, 33, and 35 Commodity Options and Agricultural Swaps
76 FR 6708
,
2/8/2011
//
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
//
PDF Version
17 CFR Part 4 Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act
76 FR 13101
,
3/10/2011
//
PDF Version
17 CFR Parts 23, 37, 38, and 39 Requirements for Processing, Clearing, and Transfer of Customer Positions
76 FR 44464
,
7/26/2011
//
PDF Version
17 CFR Parts 39 and 140 Process for Review of Swaps for Mandatory Clearing
76 FR 54538
,
9/1/2011
//
PDF Version
17 CFR Part 49 Swap Data Repositories: Registration Standards, Duties and Core Principles
76 FR 69334
,
11/8/2011
//
PDF Version
17 CFR Parts 1, 21, 39, and 140 Derivatives Clearing Organization General Provisions and Core Principles
77 FR 2613
,
1/19/2012
//
PDF Version
17 CFR Parts 1, 3, 23, and 170 Registration of Swap Dealers and Major Swap Participants
77 FR 3590
,
1/25/2012
//
PDF Version
17 CFR Parts 3 and 23 Registration of Swap Dealers and Major Swap Participants; Correction
77 FR 9734
,
2/17/2012
//
PDF Version
17 CFR Parts 4 and 23 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
77 FR 30596
,
5/23/2012
//
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
//
PDF Version
17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contract Markets
77 FR 37803
,
6/25/2012
//
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
//
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
//
PDF Version
17 CFR Part 39 End-User Exception to the Clearing Requirement for Swaps
77 FR 48060
,
8/13/2012
//
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data; Correction
77 FR 54355
,
9/5/2012
//
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
//
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
//
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
//
PDF Version
17 CFR Part 37 Core Principles and Other Requirements for Swap Execution Facilities
78 FR 49663
,
8/15/2013
//
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17 CFR Part 39 Enhanced Risk Management Standards for Systemically Important Derivatives Clearing Organizations
78 FR 66621
,
11/6/2013
//
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
79 FR 41126
,
7/15/2014
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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
