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Final Rules

Date
Final Rules
12/23/2011

76 FR 80233  //  Open PDF Version PDF Version

17 CFR Chapter 1 Amendment to July 14, 2011 Order for Swap Regulation.

Effective Date: Friday, December 23, 2011
See also:
76 FR 65999 ,  10/25/2011  //  Open PDF Version PDF Version

17 CFR Chapter 1 Effective Date for Swap Regulation

12/23/2011

76 FR 80674  //  Open PDF Version PDF Version

17 CFR Part 48 Registration of Foreign Boards of Trade

Effective Date: Tuesday, February 21, 2012
See also:
75 FR 70973 ,  11/19/2010  //  Open PDF Version PDF Version

17 CFR Part 48 Registration of Foreign Boards of Trade

12/19/2011

76 FR 78776  //  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

Effective Date: Friday, February 17, 2012
See also:
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

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

11/18/2011

76 FR 71626  //  Open PDF Version PDF Version

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

Effective Date: Tuesday, January 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

11/16/2011

76 FR 71128  //  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

Effective Date: Saturday, March 31, 2012
See also:
76 FR 8068 ,  2/11/2011  //  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

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

11/8/2011

76 FR 69334  //  Open PDF Version PDF Version

17 CFR Parts 1, 21, 39, and 140 Derivatives Clearing Organization General Provisions and Core Principles

Effective Date: Monday, January 9, 2012
See also:
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

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

17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations

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 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

10/12/2011

76 FR 63187  //  Open PDF Version PDF Version

17 CFR Part 12 Authority of Judgment Officers to Hear Cases

Effective Date: Wednesday, October 12, 2011
9/26/2011

76 FR 59241  //  Open PDF Version PDF Version

17 CFR Part 30 Foreign Futures and Options Contracts on a Non-Narrow-Based Security Index; Commission Certification Procedures

Effective Date: Wednesday, October 26, 2011
See also:
75 FR 77588 ,  12/13/2010  //  Open PDF Version PDF Version

17 CFR Part 30 Foreign Futures and Options Contracts on a Non-Narrow-Based Security Index; Commission Certification Procedures

9/12/2011

76 FR 56103  //  Open PDF Version PDF Version

17 CFR Part 5 Retail Foreign Exchange Transactions; Conforming Changes to Existing Regulations in Response to the Dodd-Frank Wall Street Reform and Consumer Protection Act

Effective Date: Monday, September 12, 2011
9/1/2011

76 FR 54538  //  Open PDF Version PDF Version

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

Effective Date: Monday, October 31, 2011
See also:
75 FR 80898 ,  12/23/2010  //  Open PDF Version PDF Version

17 CFR Part 49 Swap Data Repositories

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

8/25/2011

76 FR 53172  //  Open PDF Version PDF Version

17 CFR Part 165 Whistleblower Incentives and Protection

Effective Date: Monday, October 24, 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 4569 ,  1/26/2011  //  Open PDF Version PDF Version

17 CFR Part 165 Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act

8/10/2011

76 FR 49291  //  Open PDF Version PDF Version

17 CFR Part 35 Agricultural Swaps

Effective Date: Saturday, December 31, 2011
See also:
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 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

8/1/2011

76 FR 45666  //  Open PDF Version PDF Version

17 CFR Part 40 Provisions Common to Registered Entities; Correction

Effective Date: Monday, September 26, 2011
See also:
75 FR 67282 ,  11/2/2010  //  Open PDF Version PDF Version

17 CFR Part 40 Provisions Common to Registered Entities

76 FR 44776 ,  7/27/2011  //  Open PDF Version PDF Version

17 CFR Part 40 Provisions Common to Registered Entities

7/27/2011

76 FR 44776  //  Open PDF Version PDF Version

17 CFR Part 40 Provisions Common to Registered Entities

Effective Date: Monday, September 26, 2011
See also:
75 FR 67282 ,  11/2/2010  //  Open PDF Version PDF Version

17 CFR Part 40 Provisions Common to Registered Entities

76 FR 45666 ,  8/1/2011  //  Open PDF Version PDF Version

17 CFR Part 40 Provisions Common to Registered Entities; Correction

7/26/2011

76 FR 44464  //  Open PDF Version PDF Version

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

Effective Date: Monday, September 26, 2011
See also:
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

7/25/2011

76 FR 44262  //  Open PDF Version PDF Version

17 CFR Parts 1 and 4 Removing Any Reference to or Reliance on Credit Ratings in Commission Regulations; Proposing Alternatives to the Use of Credit Ratings

Effective Date: Friday, September 23, 2011
See also:
75 FR 67254 ,  11/2/2010  //  Open PDF Version PDF Version

17 CFR Parts 1 and 4 Removing Any Reference to or Reliance on Credit Ratings in Commission Regulations; Proposing Alternatives to the Use of Credit Ratings

7/22/2011

76 FR 43851  //  Open PDF Version PDF Version

17 CFR Parts 15 and 20 Large Trader Reporting for Physical Commodity Swaps

Effective Date: Tuesday, September 20, 2011
See also:
75 FR 67258 ,  11/2/2010  //  Open PDF Version PDF Version

17 CFR Parts 15 and 20 Position Reports for Physical Commodity Swaps

7/22/2011

76 FR 43874  //  Open PDF Version PDF Version

17 CFR Part 160 Privacy of Consumer Financial Information; Conforming Amendments Under Dodd-Frank Act

Effective Date: Tuesday, September 20, 2011
See also:
75 FR 66014 ,  10/27/2010  //  Open PDF Version PDF Version

17 CFR Part 160 Privacy of Consumer Financial Information; Conforming Amendments Under Dodd-Frank Act

7/22/2011

76 FR 43879  //  Open PDF Version PDF Version

17 CFR Part 162 Business Affiliate Marketing and Disposal of Consumer Information Rules

Effective Date: Tuesday, September 20, 2011
See also:
75 FR 66018 ,  10/27/2010  //  Open PDF Version PDF Version

17 CFR Part 162 Business Affiliate Marketing and Disposal of Consumer Information Rules

7/19/2011

76 FR 42508  //  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.

Effective Date: Thursday, July 14, 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 65999 ,  10/25/2011  //  Open PDF Version PDF Version

17 CFR Chapter 1 Effective Date for Swap Regulation

7/14/2011

76 FR 41398  //  Open PDF Version PDF Version

17 CFR Part 180 Prohibition on the Employment, or Attempted Employment, of Manipulative and Deceptive Devices and Prohibition on Price Manipulation

Effective Date: Monday, August 15, 2011
See also:
75 FR 67657 ,  11/3/2010  //  Open PDF Version PDF Version

17 CFR Part 180 Prohibition of Market Manipulation

7/13/2011

76 FR 41048  //  Open PDF Version PDF Version

17 CFR Part 1 Agricultural Commodity Definition

Effective Date: Monday, September 12, 2011
See also:
75 FR 65586 ,  10/26/2010  //  Open PDF Version PDF Version

17 CFR Part 1 Agricultural Commodity Definition

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

5/18/2011

76 FR 28641  //  Open PDF Version PDF Version

17 CFR Part 4 Commodity Pool Operators: Relief From Compliance With Certain Disclosure, Reporting and Recordkeeping Requirements for Registered CPOs of Commodity Pools Listed for Trading on a National Securities Exchange; CPO Registration Exemption for Certain Independent Directors or Trustees of These Commodity Pools

Effective Date: Friday, June 17, 2011
See also:
75 FR 55698 ,  9/14/2010  //  Open PDF Version PDF Version

17 CFR Part 4 Commodity Pool Operations: Relief From Compliance With Certain Disclosure, Reporting and Recordkeeping Requirements for Registered CPOs of Commodity Pools Listed for Trading on a National Securities Exchange; CPO Registration Exemption for Certain Independent Directors or Trustees of These Commodity Pools; Correction

75 FR 54794 ,  9/9/2010  //  Open PDF Version PDF Version

17 CFR Part 4 Commodity Pool Operators: Relief From Compliance With Certain Disclosure, Reporting and Recordkeeping Requirements for Registered CPOs of Commodity Pools Listed for Trading on a National Securities Exchange; CPO Registration Exemption for Certain Independent Directors or Trustees of These Commodity Pools

3/18/2011

76 FR 14826  //  Open PDF Version PDF Version

17 CFR Chapter I Antidisruptive Practices Authority

Effective Date: Friday, March 18, 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 14943 ,  3/18/2011  //  Open PDF Version PDF Version

Antidisruptive Practices Authority