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Final Rules

Date
Final Rules
12/18/2020

85 FR 82313  //  Open PDF Version PDF Version

17 CFR Parts 36 and 37 Swap Execution Facility Requirements

Effective Date: Tuesday, February 16, 2021
See also:
78 FR 33476 ,  6/4/2013  //  Open PDF Version PDF Version

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

85 FR 9407 ,  2/19/2020  //  Open PDF Version PDF Version

17 CFR Parts 36, 37, and 43 Swap Execution Facility Requirements and Real-Time Reporting Requirements

85 FR 75422 ,  11/25/2020  //  Open PDF Version PDF Version

17 CFR Part 43 Real-Time Public Reporting Requirements

12/7/2020

85 FR 78718  //  Open PDF Version PDF Version

17 CFR Part 3 Exemption From Registration for Certain Foreign Intermediaries

Effective Date: Friday, February 5, 2021
See also:
81 FR 51824 ,  8/5/2016  //  Open PDF Version PDF Version

17 CFR Part 3 Exemption From Registration for Certain Foreign Persons

83 FR 52902 ,  10/18/2018  //  Open PDF Version PDF Version

17 CFR Part 4 Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors

85 FR 35820 ,  6/12/2020  //  Open PDF Version PDF Version

17 CFR Part 3 Exemption From Registration for Certain Foreign Persons Acting as Commodity Pool Operators of Offshore Commodity Pools

11/30/2020

85 FR 76428  //  Open PDF Version PDF Version

17 CFR Part 50 Swap Clearing Requirement Exemptions

Effective Date: Wednesday, December 30, 2020
See also:
83 FR 44001 ,  8/29/2018  //  Open PDF Version PDF Version

17 CFR Part 50 Amendments to Clearing Exemption for Swaps Entered Into by Certain Bank Holding Companies, Savings and Loan Holding Companies, and Community Development Financial Institutions

85 FR 27955 ,  5/12/2020  //  Open PDF Version PDF Version

17 CFR Part 50 Swap Clearing Requirement Exemptions

11/25/2020

85 FR 75422  //  Open PDF Version PDF Version

17 CFR Part 43 Real-Time Public Reporting Requirements

Effective Date: Monday, January 25, 2021
See also:
85 FR 21516 ,  4/17/2020  //  Open PDF Version PDF Version

17 CFR Part 43  Amendments to the Real-Time Public Reporting Requirements

85 FR 82313 ,  12/18/2020  //  Open PDF Version PDF Version

17 CFR Parts 36 and 37 Swap Execution Facility Requirements

11/25/2020

85 FR 75503  //  Open PDF Version PDF Version

17 CFR Parts 45, 46, and 49 Swap Data Recordkeeping and Reporting Requirements

Effective Date: Monday, January 25, 2021
See also:
85 FR 21578 ,  4/17/2020  //  Open PDF Version PDF Version

17 CFR Parts 45, 46, and 49 Amendments to the Swap Data Recordkeeping and Reporting Requirements

11/25/2020

85 FR 75601  //  Open PDF Version PDF Version

17 CFR Parts 43, 45, and 49 Certain Swap Data Repository and Data Reporting Requirements

Effective Date: Monday, January 25, 2021
See also:
84 FR 21044 ,  5/13/2019  //  Open PDF Version PDF Version

17 CFR Parts 23, 43, 45, and 49 Certain Swap Data Repository and Data Reporting Requirements

11/24/2020

85 FR 75112  //  Open PDF Version PDF Version

Commodity Futures Trading Commission 17 CFR Part 41; Securities and Exchange Commission 17 CFR Part 242; Customer Margin Rules Relating to Security Futures

Effective Date: Thursday, December 24, 2020
See also:
84 FR 36434 ,  7/26/2019  //  Open PDF Version PDF Version

Commodity Futures Trading Commission 17 CFR Part 41 Securities and Exchange Commission 17 CFR Part 242

11/10/2020

85 FR 71772  //  Open PDF Version PDF Version

17 CFR Part 4 Compliance Requirements for Commodity Pool Operators on Form CPO-PQR

Effective Date: Tuesday, December 22, 2020
See also:
85 FR 26378 ,  5/4/2020  //  Open PDF Version PDF Version

17 CFR Part 4 Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR

11/9/2020

85 FR 71246  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and
Major Swap Participants

Effective Date: Wednesday, December 9, 2020
See also:
84 FR 56950 ,  10/24/2019  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

85 FR 19878 ,  4/9/2020  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

85 FR 41346 ,  7/10/2020  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

85 FR 41463 ,  7/10/2020  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

11/3/2020

85 FR 69498  //  Open PDF Version PDF Version

17 CFR Part 23 Cross-Border Application of the Registration Thresholds and
Certain Requirements Applicable to Swap Dealers and Major Swap Participants; Correction

Effective Date: Friday, November 13, 2020
See also:
85 FR 952 ,  1/8/2020  //  Open PDF Version PDF Version

17 CFR Part 23 Cross-Border Application of the Registration Thresholds and Certain
Requirements Applicable to Swap Dealers and Major Swap Participants; Proposed Rule

85 FR 56924 ,  9/14/2020  //  Open PDF Version PDF Version

17 CFR Part 23 Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants

10/21/2020

85 FR 67160  //  Open PDF Version PDF Version

17 CFR Parts 39 and 140 Registration With Alternative Compliance for Non-U.S. Derivatives Clearing Organizations

Effective Date: Friday, November 20, 2020
See also:
84 FR 34819 ,  7/19/2019  //  Open PDF Version PDF Version

17 CFR Parts 39 and 140 Registration With Alternative Compliance for Non-U.S. Derivatives
Clearing Organizations

84 FR 49072 ,  9/18/2019  //  Open PDF Version PDF Version

17 CFR Parts 39 and 140 Registration With Alternative Compliance for Non-U.S. Derivatives
Clearing Organizations

9/15/2020

85 FR 57562  //  Open PDF Version PDF Version

17 CFR Parts 1, 23, and 140 Capital Requirements of Swap Dealers and Major Swap Participants

Effective Date: Monday, November 16, 2020
See also:
81 FR 91252 ,  12/16/2016  //  Open PDF Version PDF Version

17 CFR Parts 1, 23, and 140 Capital Requirements of Swap Dealers and Major Swap Participants

82 FR 13971 ,  3/16/2017  //  Open PDF Version PDF Version

17 CFR Parts 1, 23, and 40 Capital Requirements of Swap Dealers and Major Swap Participants

9/14/2020

85 FR 56924  //  Open PDF Version PDF Version

17 CFR Part 23 Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants

Effective Date: Friday, November 13, 2020
See also:
85 FR 952 ,  1/8/2020  //  Open PDF Version PDF Version

17 CFR Part 23 Cross-Border Application of the Registration Thresholds and Certain
Requirements Applicable to Swap Dealers and Major Swap Participants; Proposed Rule

85 FR 69498 ,  11/3/2020  //  Open PDF Version PDF Version

17 CFR Part 23 Cross-Border Application of the Registration Thresholds and
Certain Requirements Applicable to Swap Dealers and Major Swap Participants; Correction

7/31/2020

85 FR 46422  //  Open PDF Version PDF Version

Department of Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2020-0002] RIN 1557-AE67; Federal Reserve System 12 CFR Part 248 [Docket No. R-1694] RIN 7100-AF70; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AF17; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE93; Securities and Exchange Commission 17 CFR Part 255 [Release No. BHCA-9; File No. S7-02-20] RIN 3235-AM70 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

Effective Date: Thursday, October 1, 2020
See also:
85 FR 12120 ,  2/28/2020  //  Open PDF Version PDF Version

Department of the Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2020-0002] RIN 1557-AE67; Federal Reserve System 12 CFR Part 248 [Docket No. R-1694] RIN 7100-AF70; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AF17; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE93; Securities and Exchange Commission 17 CFR Part 255 [Release No. BHCA-8; File No. S7-02-20] RIN 3235-AM70 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

85 FR 60355 ,  9/25/2020  //  Open PDF Version PDF Version

Department of Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2020-0002] RIN 1557-AE67; Federal Reserve System 12 CFR Part 248 [Docket No. R-1694] RIN 7100-AF70; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AF17; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE93; Securities and Exchange Commission 17 CFR Part 255 [Release no. BHCA-9A; File no. S7-02-20] RIN 3235-AM70 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds; Correction

7/24/2020

85 FR 44693  //  Open PDF Version PDF Version

17 CFR Part 37 Post-Trade Name Give-Up on Swap Execution Facilities

Effective Date: Tuesday, September 22, 2020
See also:
83 FR 61571 ,  11/30/2018  //  Open PDF Version PDF Version

17 CFR Chapter I Post-Trade Name Give-Up on Swap Execution Facilities

84 FR 3350 ,  2/12/2019  //  Open PDF Version PDF Version

17 CFR Chapter 1 Post-Trade Name Give-Up on Swap Execution Facilities

84 FR 72262 ,  12/31/2019  //  Open PDF Version PDF Version

17 CFR Part 37 Post-Trade Name Give-Up on Swap Execution Facilities

7/22/2020

85 FR 44170  //  Open PDF Version PDF Version

17 CFR Part 50 Exemption From the Swap Clearing Requirement for Certain Affiliated Entities--Alternative Compliance Frameworks for Anti-Evasionary Measures

Effective Date: Friday, August 21, 2020
See also:
84 FR 70446 ,  12/23/2019  //  Open PDF Version PDF Version

17 CFR Part 50 Exemption From the Swap Clearing Requirement for Certain Affiliated Entities--Alternative Compliance Frameworks for Anti-Evasionary Measures

7/10/2020

85 FR 41346  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Open Date: 7/10/2020
Closing Date: 9/8/2020
Effective Date: Friday, July 10, 2020
See also:
84 FR 56950 ,  10/24/2019  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

85 FR 19878 ,  4/9/2020  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

85 FR 41463 ,  7/10/2020  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

85 FR 71246 ,  11/9/2020  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and
Major Swap Participants

7/8/2020

85 FR 40877  //  Open PDF Version PDF Version

17 CFR Part 4  Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading advisors: Prohibiting Exemptions on Behalf of Persons Subject to Certain Statutory Disqualifications

Effective Date: Tuesday, September 8, 2020
See also:
83 FR 52902 ,  10/18/2018  //  Open PDF Version PDF Version

17 CFR Part 4 Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors

84 FR 67343 ,  12/10/2019  //  Open PDF Version PDF Version

17 CFR Part 4 Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors: Registered Investment Companies, Business Development Companies, and Definition of Reporting Person

6/24/2020

85 FR 37734  //  Open PDF Version PDF Version

17 CFR Part 1 Retail Commodity Transactions Involving Certain Digital Assets

Effective Date: Wednesday, June 24, 2020
6/12/2020

85 FR 35805  //  Open PDF Version PDF Version

17 CFR Part 39 Derivatives Clearing Organization General Provisions and Core Principles

Effective Date: Friday, June 12, 2020
See also:
84 FR 22226 ,  5/16/2019  //  Open PDF Version PDF Version

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

84 FR 32104 ,  7/5/2019  //  Open PDF Version PDF Version

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

85 FR 4800 ,  1/27/2020  //  Open PDF Version PDF Version

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

5/18/2020

85 FR 29611  //  Open PDF Version PDF Version

17 CFR Part 160 Privacy of Consumer Financial Information

Effective Date: Wednesday, June 17, 2020
See also:
84 FR 60963 ,  11/12/2019  //  Open PDF Version PDF Version

17 CFR Part 160 Privacy of Consumer Financial Information

5/11/2020

85 FR 27674  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Effective Date: Wednesday, June 10, 2020
See also:
84 FR 56392 ,  10/22/2019  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

4/9/2020

85 FR 19878  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Effective Date: Monday, May 11, 2020
See also:
84 FR 56950 ,  10/24/2019  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

85 FR 41346 ,  7/10/2020  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

85 FR 41463 ,  7/10/2020  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

85 FR 71246 ,  11/9/2020  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and
Major Swap Participants

3/18/2020

85 FR 15359  //  Open PDF Version PDF Version

17 CFR Part 30 Foreign Futures and Options Transactions

Effective Date: Wednesday, March 18, 2020
See also:
84 FR 32105 ,  7/5/2019  //  Open PDF Version PDF Version

17 CFR Part 30 Foreign Futures and Options Transactions

1/27/2020

85 FR 4800  //  Open PDF Version PDF Version

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

Effective Date: Wednesday, February 26, 2020
See also:
84 FR 22226 ,  5/16/2019  //  Open PDF Version PDF Version

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

84 FR 32104 ,  7/5/2019  //  Open PDF Version PDF Version

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

85 FR 35805 ,  6/12/2020  //  Open PDF Version PDF Version

17 CFR Part 39 Derivatives Clearing Organization General Provisions and Core Principles

1/13/2020

85 FR 1747  //  Open PDF Version PDF Version

17 CFR Part 143 Annual Adjustment of Civil Monetary Penalties To Reflect Inflation--2020

Effective Date: Monday, January 13, 2020