Public Comments
Proposed Rule
75 FR 67282
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PDF Version
17 CFR Part 40 Provisions Common to Registered Entities
PDF Version
17 CFR Part 40 Provisions Common to Registered Entities; Correction
Proposed Rule
75 FR 67301
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PDF Version
17 CFR Chapter I Antidisruptive Practices Authority Contained in the Dodd-Frank Wall Street Reform and Consumer Protection Act
Proposed Rule
75 FR 67657
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PDF Version
17 CFR Part 180 Prohibition of Market Manipulation
PDF Version
17 CFR Part 180 Prohibition on the Employment, or Attempted Employment, of Manipulative and Deceptive Devices and Prohibition on Price Manipulation
Industry Filing IF10-013
Pending DCO (Derivatives Clearing Organization) Application
CME Clearing Europe Limited
Industry Filing IF10-011
Pending DCO (Derivatives Clearing Organization) Application
CME Clearing Europe Limited
Proposed Rule
75 FR 77588
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PDF Version
17 CFR Part 30 Foreign Futures and Options Contracts on a Non-Narrow-Based Security Index; Commission Certification Procedures
PDF Version
17 CFR Part 30 Foreign Futures and Options Contracts on a Non-Narrow-Based Security Index; Commission Certification Procedures
Proposed Rule
75 FR 75162
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PDF Version
17 CFR Part 190 Protection of Cleared Swaps Customers Before and After Commodity Broker Bankruptcies
Proposed Rule
75 FR 78892
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PDF Version
17 CFR Part 44 Reporting Certain Post-Enactment Swap Transactions
Proposed Rule
75 FR 75728
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PDF Version
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
Proposed Rule
76 FR 4569
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PDF Version
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
Proposed Rule
75 FR 76930
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PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data Correction
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
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 43 Real-Time Public Reporting of Swap Transaction Data
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data; Correction
Privacy Act Systems
76 FR 5974
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PDF Version
Privacy Act of 1974 Publication of a Compilation of Systems of Records Notices
Public Information Collection
76 FR 1603
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PDF Version
Agency Information Collection Activities: Proposed Collection, Comment Request: Reporting of Pre-enactment Swap Transactions
General CFTC
Recommendations Regarding Regulatory Responses to the Market Events of May 6, 2010
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PDF Version
The Joint CFTC-SEC Advisory Committee issued a report presenting their recommendations regarding regulatory responses to the market events of May 6, 2010.
The CFTC and SEC are seeking input from the public on its recommendations.
Proposed Rule
76 FR 4752
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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
PDF Version
17 CFR Parts 1, 150 and 151 Position Limits for Futures and Swaps
General CFTC
Commodity Futures Trading Commission Strategic Plan, 2011-2015
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PDF Version
The strategic plan details the CFTC’s plans to continue to meet the challenges posed by the growth and complexity of the futures and options industry.
The CFTC is seeking input from the public on its Strategic Plan.
General CFTC
Recommendations on Pre-Trade Practices
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PDF Version
Recommendations on Pre-Trade Practices for Trading Firms, Clearing Firms and Exchanges involved in Direct Market Access, provided by the CFTC Pre-Trade Functionality Subcommittee of the Technology Advisory Committee.
The CFTC is seeking input from the public on these recommendations.
Proposed Rule
76 FR 6715
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PDF Version
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
Proposed Rule
76 FR 7976
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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.
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
Proposed Rule
76 FR 8068
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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.
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
Proposed Rule
76 FR 14825
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PDF Version
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
Industry Filing IF 10-014
Options Clearing Corporation
Pending 4d Action: Amend 2004 Cross-Margin Order - Request from the Options Clearing Corporation to Amend Order Permitting Operation of an Internal Non-Proprietary Cross-Margining Program
Proposed Rule
76 FR 16587
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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 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
Proposed Rule
76 FR 16588
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PDF Version
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
Public Information Collection
76 FR 18536
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PDF Version
Agency Information Collection Activities Under OMB Review
Proposed Rule
76 FR 14943
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PDF Version
Antidisruptive Practices Authority
PDF Version
17 CFR Chapter I Antidisruptive Practices Authority Contained in the Dodd-Frank Wall Street Reform and Consumer Protection Act
Privacy Act Systems
76 FR 19330
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PDF Version
Privacy Act of 1974 System of Records Notice
CFTC-45, Comments Online
Industry Filing IF 10-015
Pending DCM (Designated Contract Market) Application
Eris Exchange, LLC
Proposed Rule
75 FR 67277
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PDF Version
17 CFR Parts 39 and 140 Process for Review of Swaps for Mandatory Clearing
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 39 and 140 Process for Review of Swaps for Mandatory Clearing
Proposed Rule
75 FR 70152
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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 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, 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
Proposed Rule
75 FR 70881
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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 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, 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
Proposed Rule
75 FR 70973
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PDF Version
17 CFR Part 48 Registration of Foreign Boards of Trade
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
Proposed Rule
75 FR 71379
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PDF Version
17 CFR Parts 3, 23 and 170 Registration of 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 Parts 1, 3, 23, and 170 Registration of Swap Dealers and Major Swap Participants
PDF Version
17 CFR Parts 3 and 23 Registration of Swap Dealers and Major Swap Participants; Correction
Proposed Rule
75 FR 71391
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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
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, 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
Proposed Rule
75 FR 71397
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PDF Version
17 CFR Part 23 Regulations Establishing and Governing the Duties of 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 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
Proposed Rule
75 FR 75432
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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 Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
Proposed Rule
75 FR 76139
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PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data 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 Part 43 Real-Time Public Reporting of Swap Transaction Data
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data; Correction
Proposed Rule
75 FR 76573
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PDF Version
17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements
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 45 Swap Data Recordkeeping and Reporting Requirements
Proposed Rule
75 FR 76666
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PDF Version
17 CFR Part 23 Reporting, Recordkeeping, and Daily Trading Records Requirements 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 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
Proposed Rule
75 FR 77576
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PDF Version
17 CFR Parts 1 and 39 General Regulations and 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
Proposed Rule
75 FR 78185
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PDF Version
17 CFR Parts 1, 21, and 39 Information 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
Proposed Rule
75 FR 80174
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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 Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
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 Part 1 Further Definition of ``Swap Dealer,'' ``Security-Based Swap Dealer,'' ``Major Swap Participant,'' ``Major Security-Based Swap Participant'' and ``Eligible Contract Participant''; Correction
Proposed Rule
75 FR 80572
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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
PDF Version
17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contact Markets
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, 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
Proposed Rule
75 FR 80638
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PDF Version
17 CFR Parts 23 and 155 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
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 4 and 23 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
Proposed Rule
75 FR 80747
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PDF Version
17 CFR Part 39 End-User Exception to Mandatory Clearing of 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
PDF Version
17 CFR Part 39 End-User Exception to the Clearing Requirement for Swaps
Proposed Rule
75 FR 80898
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PDF Version
17 CFR Part 49 Swap Data Repositories
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 49 Swap Data Repositories: Registration Standards, Duties and Core Principles
Proposed Rule
75 FR 81519
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PDF Version
17 CFR Part 23 Confirmation, Portfolio Reconciliation, and Portfolio Compression Requirements 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
Proposed Rule
76 FR 722
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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 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
Proposed Rule
76 FR 1214
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PDF Version
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
Proposed Rule
76 FR 3698
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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 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
Proposed Rule
76 FR 6095
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PDF Version
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
Proposed Rule
76 FR 6708
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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 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
Proposed Rule
76 FR 11701
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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 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
Proposed Rule
76 FR 12888
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PDF Version
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
Proposed Rule
76 FR 13101
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PDF Version
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
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
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
Proposed Rule
76 FR 22833
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PDF Version
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
General CFTC Public Roundtable Discussion on Dodd-Frank Implementation
CFTC and SEC Staffs to Host Public Roundtable Discussion on Dodd-Frank Implementation
The roundtable is expected to include panel discussions of (1) compliance dates for new rules for existing trading platforms and clearinghouses and the registration and compliance with rules for new platforms, such as swap and security-based swap execution facilities, and data repositories for swaps and security-based swaps; (2) compliance dates for new requirements for dealers and major participants in swaps and security-based swaps; (3) implementation of clearing mandates; (4) compliance dates for financial entities such as hedge funds, asset managers, insurance companies and pension funds subject to a clearing mandate and other requirements; and (5) considerations with regard to non-financial end users.
Proposed Rule
76 FR 35372
//
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.
General CFTC
CFTC and SEC Staff Public Roundtable Discussion on Proposed Dealer and Major Participant Definitions
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PDF Version
Staff of the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) intend to hold a joint public roundtable to discuss proposed definitions required under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
Proposed Rule
76 FR 27621
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PDF Version
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
Proposed Rule
76 FR 27802
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PDF Version
17 CFR Parts 1, 23, and 140 Capital Requirements of Swap Dealers and Major Swap Participants
Public Information Collection
76 FR 28754
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PDF Version
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0026, Gross Collection of Exchange-Set Margins
for Omnibus Accounts
Industry Filing IF 10-016
Approval Pending
Rule - Product Terms and Conditions
Daily Price Limits in CBOT Corn Futures
Proposed Rule
76 FR 29818
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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 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
Proposed Rule
76 FR 32880
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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 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
General CFTC Public Roundtable on the Protection of Cleared Swaps Customer Collateral
Staff of the Commodity Futures Trading Commission (CFTC) held a public roundtable on June 3, 2011, from 9:30 a.m. to 5:00 p.m., to discuss issues related to the protection of cleared swaps customer collateral. The roundtable will assist the CFTC in the rulemaking process to implement the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Transcript: Protection of Cleared Swaps Customer Collateral
General CFTC Public Roundtable on Swap Data Recordkeeping and Reporting Requirements
Issues to be addressed at the Public Roundtable include:
- Discussion about the existing systems of swap product classification and identification currently available.
- Coordination among various industry product classification and identification work-streams for the purpose of achieving a universal method to describe and classify swap products.
- Implementation of a universal system of swap product classification and identification for the purpose of meeting various CFTC requirements.
General CFTC CFTC Staff Roundtable on Proposed Changes to Registration and Compliance Regime for CPOs and CTAs
Staff of the Commodity Futures Trading Commission (CFTC) will hold a public roundtable on July 6, 2011, from 9:00 a.m. to 2:00 p.m., to discuss issues related to the proposed changes to Commission Regulation 4.5 and the proposed rescission of Commission regulations 4.13(a)(3) and 4.13(a)(4). The roundtable will assist the CFTC in the rulemaking process.
Proposed Rule
76 FR 33066
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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
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
Proposed Rule
76 FR 33818
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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; 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
Proposed Rule
76 FR 35141
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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
Public Information Collection
76 FR 36525
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PDF Version
Agency Information Collection Activities: Notice of Intent To Renew Collection, Exemptions From Speculative Limits
General CFTC General Dodd-Frank Submissions
The Commission and its staff have received inquiries from interested persons wishing to submit their views on the Wall Street Reform and Consumer Protection Act and the rulemakings that will be issued by the CFTC. Persons interested in making their views known on the overall Rulemaking process may submit them electronically via the General Dodd-Frank Submissions File.
These submissions may be considered in the pre-proposal process by the Commission and its staff, but will not be treated as official comments on specific proposed rulemakings. Members of the public who wish to submit official comments should submit them during the comment period commencing with the notice of proposed rulemaking published in the Federal Register.
Proposed Rule
76 FR 38328
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5 CFR Chapter XLI 17 CFR Chapter I Reducing Regulatory Burden; Retrospective Review Under E.O. 13563
General CFTC
CFTC and SEC Staff Public Roundtable on International Issues relating to Dodd-Frank Title VII
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PDF Version
The staffs of the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) will hold a joint public roundtable on August 1, 2011, from 9:00 am to 4:00 pm, to discuss international issues related to the implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Panelists will be announced at a later date.
Proposed Rule
76 FR 44508
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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
Proposed Rule
76 FR 53162
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PDF Version
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
Industry Filing IF 10-017
Proposed Amendments to Wheat Futures and Option Contracts Pending Commission Approval
Chicago Board of Trade
Proposed Rule
76 FR 45724
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PDF Version
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
Proposed Rule
76 FR 45730
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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, 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
Proposed Rule
76 FR 47529
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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, 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
General CFTC
Net Position Changes Data Reports
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The U.S. Commodity Futures Trading Commission (CFTC) today announced the release of two new data sets that add further transparency to commodity futures markets. The new reports, entitled “Large Trader Net Position Changes” and “Trading Account Net Position Changes,” build on the CFTC transparency program initiatives. The data and explanatory notes, as well as average values for both measures, can be found on our website. The CFTC is providing this data to the public on a one-time basis.
We invite public comment on the usefulness of these reports and ways to improve them. If additional resources become available, the CFTC may be able to report the data on a routine basis.
Public Information Collection
76 FR 55055
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PDF Version
Agency Information Collection Activities Under OMB Review
Industry Filing IF 10-018
Pending DCO (Derivatives Clearing Organization) Application
Eurex Clearing AG
Proposed Rule
76 FR 58176
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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
Proposed Rule
76 FR 58186
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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
PDF Version
17 CFR Part 50 Swap Transaction Compliance and Implementation Schedule: Clearing Requirement Under Section 2(h) of the CEA
Proposed Rule
76 FR 65999
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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.
Industry Filing IF 12-001
Proposed Amendments to Wheat Futures Contract Pending Commission Approval
Minneapolis Grain Exchange
Industry Filing IF 12-002
Request from ICE Clear Credit to Permit Portfolio Margining of Swaps Security-Based Swaps
The Commodity Futures Trading Commission (Commission) is requesting public comment on a petition submitted by ICE Clear Credit LLC (ICC) for an order pursuant to Section 4d(f) of the Commodity Exchange Act (Act). The petition requests an order that would set forth terms and conditions under which ICC and its clearing members that are dually registered as futures commission merchants and securities broker-dealers would be permitted to (1) commingle in an account subject to Section 4d(f) of the Act (a cleared swaps customer account) positions in swaps and security-based swaps and related customer money, securities and property; and (2) portfolio margin the swaps and security-based swaps held in the cleared swaps customer account.
Proposed Rule
76 FR 23732
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PDF Version
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
