Font Size: AAA // Print // Bookmark

Proposed Rules

Date
Proposed Rules
11/12/2019

84 FR 60963  //  Open PDF Version PDF Version

17 CFR Part 160 Privacy of Consumer Financial Information

Closing Date: 12/12/2019
10/24/2019

84 FR 56950  //  Open PDF Version PDF Version

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

Closing Date: 12/23/2019
10/22/2019

84 FR 56392  //  Open PDF Version PDF Version

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

Closing Date: 12/23/2019
9/20/2019

84 FR 49490  //  Open PDF Version PDF Version

17 CFR Part 13 Public Rulemaking Procedures

Closing Date: 10/21/2019
7/26/2019

84 FR 36434  //  Open PDF Version PDF Version

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

Closing Date: 8/26/2019
7/23/2019

84 FR 35456  //  Open PDF Version PDF Version

17 CFR Parts 3, 39 and 140 Exemption From Derivatives Clearing Organization Registration

Closing Date: 9/23/2019
Extended Date: 11/22/2019
See also:
83 FR 39923 ,  8/13/2018  //  Open PDF Version PDF Version

17 CFR Parts 39 and 140 Exemption From Derivatives Clearing Organization Registration

84 FR 49071 //  Open PDF Version PDF Version

17 CFR Parts 3, 39, and 140 Exemption From Derivatives Clearing Organization Registration

7/19/2019

84 FR 34819  //  Open PDF Version PDF Version

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

Closing Date: 9/17/2019
Extended Date: 11/18/2019
See also:
84 FR 49072 //  Open PDF Version PDF Version

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

7/5/2019

84 FR 32105  //  Open PDF Version PDF Version

17 CFR Part 30 Foreign Futures and Options Transactions

Closing Date: 8/5/2019
5/16/2019

84 FR 22226  //  Open PDF Version PDF Version

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

Closing Date: 7/15/2019
Extended Date: 9/13/2019
See also:
84 FR 32104 //  Open PDF Version PDF Version

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

5/13/2019

84 FR 21044  //  Open PDF Version PDF Version

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

Closing Date: 7/29/2019
Extended Date: 1/27/2020
See also:
84 FR 35847 //  Open PDF Version PDF Version

17 CFR Parts 23, 43, 45, and 49 Certain Swap Data Repository and Data Reporting Requirements; Extension of Comment Period

84 FR 57831 //  Open PDF Version PDF Version

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

2/12/2019

84 FR 3350  //  Open PDF Version PDF Version

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

Closing Date: 3/15/2019
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

2/12/2019

84 FR 3350  //  Open PDF Version PDF Version

17 CFR Parts 9, 36, 37, 38, 39, and 43 Swap Execution Facilities and Trade Execution Requirement

Closing Date: 3/15/2019
See also:
83 FR 61946 ,  11/30/2018  //  Open PDF Version PDF Version

17 CFR Parts 9, 36, 37, 38, 39, and 43 Swap Execution Facilities and Trade Execution Requirement

2/8/2019

84 FR 2778  //  Open PDF Version PDF Version

DEPARTMENT OF TREASURY Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0029] RIN 1557-AE47; FEDERAL RESERVE SYSTEM 12 CFR Part 248 [Docket No. R-1643] RIN 7100-AF 33; FEDERAL DEPOSIT INSURANCE CORPORATION 12 CFR Part 351 RIN 3064-AE88; COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 75 RIN 3038-AE72; SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 255 [Release no. BHCA-5; File no. S7-30-18] RIN 3235-AM43 Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds

Closing Date: 3/11/2019
See also:
83 FR 33432 ,  7/17/2018  //  Open PDF Version PDF Version

Department of Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0010] RIN 1557-AE27; Federal Reserve System 12 CFR Part 248 [Docket No. R-1608] RIN 7100-AF 06; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AE67; Securities and Exchange Commission 17 CFR Part 255 [Release no. BHCA-3; File no. S7-14-18] RIN 3235-AM10; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE72 Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

83 FR 45860 ,  9/11/2018  //  Open PDF Version PDF Version

DEPARTMENT OF TREASURY Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0010] RIN 1557-AE27; FEDERAL RESERVE SYSTEM 12 CFR Part 248 [Docket No. R-1608] RIN 7100-AF 06; FEDERAL DEPOSIT INSURANCE CORPORATION 12 CFR Part 351 RIN 3064-AE67; COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 75 RIN 3038-AE72; SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 255 [Release no. BHCA-3; File no. S7-14-18] RIN 3235-AM10 Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

84 FR 35008 ,  7/22/2019  //  Open PDF Version PDF Version

Department of the Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket ID OCC-2018-0029] RIN 1557-AE47; Federal Reserve System 12 CFR Part 248 [Docket No. R-1643] RIN 7100-AF33; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AE88; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE72; Securities and Exchange Commission 17 CFR Part 255 [Release no. BHCA-6; File no. S7-30-18] RIN 3235-AM43 Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds

84 FR 38115 ,  8/6/2019  //  Open PDF Version PDF Version

Federal Reserve System 12 CFR Part 248 [Docket No. R-1643] RIN 7100-AF33 ; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AE88; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE72; Securities and Exchange Commission 17 CFR Part 255 Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

84 FR 61974 ,  11/14/2019  //  Open PDF Version PDF Version

Department of Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0010] RIN 1557-AE27; Federal Reserve System 12 CFR Part 248 [Docket No. R-1608] RIN 7100-AF 06; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AE67; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE72; Securities and Exchange Commission 17 CFR Part 255 [Release no. BHCA-7; File no. S7-14-18] RIN 3235-AM10 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds