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Final Rules

Date
Final Rules
12/2/2013

78 FR 72476  //  Open PDF Version PDF Version

17 CFR Parts 39, 140, and 190 Derivatives Clearing Organizations and International Standards

Effective Date: Tuesday, December 31, 2013
See also:
78 FR 50260 ,  8/16/2013  //  Open PDF Version PDF Version

17 CFR Parts 39, 140, and 190 Derivatives Clearing Organizations and International Standards

11/18/2013

78 FR 69178  //  Open PDF Version PDF Version

17 CFR Parts 15, 17, 18, and 20 Ownership and Control Reports, Forms 102/102S, 40/40S, and 71

Effective Date: Tuesday, February 18, 2014
See also:
77 FR 43968 ,  7/26/2012  //  Open PDF Version PDF Version

17 CFR Parts 15, 17, 18, and 20 Ownership and Control Reports, Forms 102/102S, 40/40S, and 71

11/14/2013

78 FR 68506  //  Open PDF Version PDF Version

17 CFR Parts 1, 3, 22, 30, and 140 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

Effective Date: Friday, November 1, 2013
See also:
77 FR 67866 ,  11/14/2012  //  Open PDF Version PDF Version

17 CFR Parts 1, 3, 22, 30, and 140 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

78 FR 4093 ,  1/18/2013  //  Open PDF Version PDF Version

17 CFR Parts 1, 3, 22, 30 and 140 Extension of Comment Period for the Rulemaking Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

79 FR 14174 ,  3/13/2014  //  Open PDF Version PDF Version

17 CFR Part 30 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

79 FR 26831 ,  5/12/2014  //  Open PDF Version PDF Version

17 CFR Part 1 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

79 FR 44125 ,  7/30/2014  //  Open PDF Version PDF Version

17 CFR Parts 1, 30, and 140 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

11/6/2013

78 FR 66621  //  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

Effective Date: Monday, January 6, 2014
See also:
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

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

10/28/2013

78 FR 64173  //  Open PDF Version PDF Version

17 CFR Part 23 Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees

Effective Date: Wednesday, November 27, 2013
See also:
78 FR 20848 ,  4/8/2013  //  Open PDF Version PDF Version

17 CFR Part 23 Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees

8/22/2013

78 FR 52286  //  Open PDF Version PDF Version

17 CFR Part 50 Clearing Exemption for Certain Swaps Entered Into by Cooperatives

Effective Date: Monday, September 23, 2013
See also:
77 FR 41940 ,  7/17/2012  //  Open PDF Version PDF Version

17 CFR Part 39 Clearing Exemption for Certain Swaps Entered Into by Cooperatives

8/22/2013

78 FR 52308  //  Open PDF Version PDF Version

17 CFR Part 4 Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators

Effective Date: Thursday, August 22, 2013
See also:
77 FR 11345 ,  2/24/2012  //  Open PDF Version PDF Version

17 CFR Part 4 Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators

8/15/2013

78 FR 49663  //  Open PDF Version PDF Version

17 CFR Part 39 Enhanced Risk Management Standards for Systemically Important Derivatives Clearing Organizations

Effective Date: Tuesday, October 15, 2013
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

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

8/5/2013

78 FR 47154  //  Open PDF Version PDF Version

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

Effective Date: Monday, August 5, 2013
See also:
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 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

7/26/2013

78 FR 45292  //  Open PDF Version PDF Version

17 CFR Chapter I Interpretive Guidance and Policy Statement Regarding Compliance With Certain Swap Regulations

Effective Date: Friday, July 26, 2013
See also:
77 FR 41110 ,  7/12/2012  //  Open PDF Version PDF Version

17 CFR Chapter I Exemptive Order Regarding Compliance With Certain Swap Regulations

78 FR 858 ,  1/7/2013  //  Open PDF Version PDF Version

17 CFR Chapter I Final Exemptive Order Regarding Compliance With Certain Swap Regulations

7/22/2013

78 FR 43785  //  Open PDF Version PDF Version

17 CFR Chapter I Exemptive Order Regarding Compliance With Certain Swap Regulations

Effective Date: Saturday, July 13, 2013
See also:
78 FR 909 ,  1/7/2013  //  Open PDF Version PDF Version

17 CFR Chapter I Further Proposed Guidance Regarding Compliance With Certain Swap Regulations

7/16/2013

78 FR 42436  //  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; Correction

Effective Date: Tuesday, July 30, 2013
See also:
77 FR 15460 ,  3/15/2012  //  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 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

6/4/2013

78 FR 33476  //  Open PDF Version PDF Version

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

Effective Date: Monday, August 5, 2013
See also:
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 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

6/4/2013

78 FR 36606  //  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

Effective Date: Monday, August 5, 2013
See also:
76 FR 77728 ,  12/14/2011  //  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

 

6/3/2013

78 FR 32988  //  Open PDF Version PDF Version

17 CFR Part 38 Core Principles and Other Requirements for Designated Contract Markets; Correction

Effective Date: Wednesday, May 29, 2013
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

5/31/2013

78 FR 32866  //  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

Effective Date: Tuesday, July 30, 2013
See also:
77 FR 15460 ,  3/15/2012  //  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 42436 ,  7/16/2013  //  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; Correction

4/19/2013

78 FR 23638  //  Open PDF Version PDF Version

Commodity Futures Trading Commission 17 CFR Part 162 Securities and Exchange Commission 17 CFR Part 248 Identity Theft Red Flags Rules

Effective Date: Monday, May 20, 2013
See also:
77 FR 13450 ,  3/6/2012  //  Open PDF Version PDF Version

Commodity Futures Trading Commission 17 CFR Part 162 Securites and Exchange Commisison 17 CFR Part 248 Identity Theft Red Flags Rules

4/16/2013

78 FR 22418  //  Open PDF Version PDF Version

17 CFR Parts 1, 3, 5, 9, 11, 31, 40, 41, 140, 145, 170, 171 and 190 Reassignment of Commission Staff Responsibilities and Delegations of Authority

Effective Date: Tuesday, April 16, 2013
4/11/2013

78 FR 21522  //  Open PDF Version PDF Version

17 CFR Part 140 Delegation of Authority To Disclose Confidential Information to a Contract Market, Registered Futures Association or Self-Regulatory Organization

Effective Date: Thursday, April 11, 2013
4/11/2013

78 FR 21749  //  Open PDF Version PDF Version

17 CFR Part 50 Clearing Exemption for Swaps Between Certain Affiliated Entities

Effective Date: Monday, June 10, 2013
See also:
77 FR 50425 ,  8/21/2012  //  Open PDF Version PDF Version

17 CFR Part 39 Clearing Exemption for Swaps Between Certain Affiliated Entities

4/9/2013

78 FR 21045  //  Open PDF Version PDF Version

17 CFR Part 1 Adaptation of Regulations to Incorporate Swaps--Records of Transactions; Correction

Effective Date: Tuesday, April 9, 2013
See also:
77 FR 75523 ,  12/21/2012  //  Open PDF Version PDF Version

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

4/9/2013

78 FR 21045  //  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; Correction

Effective Date: Tuesday, April 9, 2013
See also:
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

4/8/2013

78 FR 20788  //  Open PDF Version PDF Version

Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants17 CFR Parts 3 and 23

Effective Date: Friday, June 7, 2013
See also:
77 FR 35892 ,  6/15/2012  //  Open PDF Version PDF Version

17 CFR Parts 3 and 23 Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants

4/2/2013

78 FR 19670  //  Open PDF Version PDF Version

Order Exempting, Pursuant to Authority of the Commodity Exchange Act, Certain Transactions Between Entities Described in the Federal Power Act, and Other Electric Cooperatives

Effective Date: Tuesday, April 2, 2013
4/2/2013

78 FR 19879  //  Open PDF Version PDF Version

Final Order in Response to a Petition From Certain Independent System Operators and Regional Transmission Organizations To Exempt Specified Transactions Authorized by a Tariff or Protocol Approved by the Federal Energy Regulatory Commission or the Public Utility Commission of Texas From Certain Provisions of the Commodity Exchange Act Pursuant to the Authority Provided in the Act

Effective Date: Tuesday, April 2, 2013
2/26/2013

78 FR 12933  //  Open PDF Version PDF Version

17 CFR Parts 10, 12 and 171 Proceedings Before the Commodity Futures Trading Commission

Effective Date: Tuesday, February 26, 2013
1/8/2013

78 FR 1144  //  Open PDF Version PDF Version

17 CFR Parts 9, 12, and 171 Rules of Practice; Amendments to Delegations of Authority to the Office of General Counsel

Effective Date: Tuesday, January 8, 2013
1/7/2013

78 FR 858  //  Open PDF Version PDF Version

17 CFR Chapter I Final Exemptive Order Regarding Compliance With Certain Swap Regulations

Effective Date: Friday, December 21, 2012
See also:
77 FR 41110 ,  7/12/2012  //  Open PDF Version PDF Version

17 CFR Chapter I Exemptive Order Regarding Compliance With Certain Swap Regulations

78 FR 45292 ,  7/26/2013  //  Open PDF Version PDF Version

17 CFR Chapter I Interpretive Guidance and Policy Statement Regarding Compliance With Certain Swap Regulations