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Proposed Rules

Date
Proposed Rules
11/14/2012

77 FR 67866  //  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

Closing Date: 1/14/2013
See also:
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

78 FR 68506 ,  11/14/2013  //  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

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

10/2/2012

77 FR 60113  //  Open PDF Version PDF Version

Commodity Futures Trading Commission and Securities and Exchange Commission Acceptance of Public Submissions Regarding the Study of Stable Value Contracts

Closing Date: 11/1/2012
See also:
76 FR 53162 ,  8/25/2011  //  Open PDF Version PDF Version

Commodity Futures Trading Commission and Securities and Exchange Commission Acceptance of Public Submissions Regarding the Study of Stable Value Contracts

8/28/2012

77 FR 52137  //  Open PDF Version PDF Version

Proposed Order and Request for Comment on 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 Commission or the Public Utility Commission of Texas From Certain Provisions of the Commodity Exchange Act

Closing Date: 9/27/2012
8/23/2012

77 FR 50998  //  Open PDF Version PDF Version

Proposal To Exempt Certain Transactions Involving Not-for-Profit Electric Utilities; Request for Comments

Closing Date: 9/24/2012
8/21/2012

77 FR 50425  //  Open PDF Version PDF Version

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

Closing Date: 9/20/2012
See also:
78 FR 21749 ,  4/11/2013  //  Open PDF Version PDF Version

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

8/13/2012

77 FR 48207  //  Open PDF Version 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

Closing Date: 10/12/2012
8/7/2012

77 FR 47169  //  Open PDF Version PDF Version

17 CFR Part 50 Clearing Requirement Determination Under Section 2(h) of the CEA

Closing Date: 9/6/2012
See also:
77 FR 74284 ,  12/13/2012  //  Open PDF Version PDF Version

17 CFR Parts 39 and 50 Clearing Requirement Determination Under Section 2(h) of the CEA

7/26/2012

77 FR 43968  //  Open PDF Version PDF Version

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

Closing Date: 9/24/2012
See also:
78 FR 69178 ,  11/18/2013  //  Open PDF Version PDF Version

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

7/17/2012

77 FR 41940  //  Open PDF Version PDF Version

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

Closing Date: 8/16/2012
See also:
78 FR 52286 ,  8/22/2013  //  Open PDF Version PDF Version

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

7/12/2012

77 FR 41109  //  Open PDF Version PDF Version

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

Closing Date: 9/14/2012
See also:
76 FR 23732 ,  4/28/2011  //  Open PDF Version PDF Version

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

76 FR 27621 ,  5/12/2011  //  Open PDF Version PDF Version

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

76 FR 58176 ,  9/20/2011  //  Open PDF Version PDF Version

17 CFR Part 23 Swap Transaction Compliance and Implementation Schedule: Trading Documentation and Margining Requirements Under Section 4s of the CEA

79 FR 59898 ,  10/3/2014  //  Open PDF Version PDF Version

17 CFR Parts 23 and 140 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

80 FR 41376 ,  7/14/2015  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements

81 FR 636 ,  1/6/2016  //  Open PDF Version PDF Version

17 CFR Parts 23 and 140 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

81 FR 34818 ,  5/31/2016  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements

7/12/2012

77 FR 41110  //  Open PDF Version PDF Version

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

Closing Date: 8/13/2012
See also:
78 FR 858 ,  1/7/2013  //  Open PDF Version PDF Version

17 CFR Chapter I Final 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

7/12/2012

77 FR 41213  //  Open PDF Version PDF Version

17 CFR Chapter I Cross-Border Application of Certain Swaps Provisions of the Commodity Exchange Act

Closing Date: 8/27/2012
6/27/2012

77 FR 38229  //  Open PDF Version PDF Version

17 CFR Part 43 Rules Prohibiting the Aggregation of Orders To Satisfy Minimum Block Sizes or Cap Size Requirements, and Establishing Eligibility Requirements for Parties to Block Trades

Closing Date: 7/27/2012
6/15/2012

77 FR 35892  //  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

Closing Date: 8/14/2012
See also:
78 FR 20788 ,  4/8/2013  //  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

5/30/2012

77 FR 31767  //  Open PDF Version PDF Version

17 CFR Part 151 Aggregation, Position Limits for Futures and Swaps

Closing Date: 6/29/2012
5/23/2012

77 FR 30596  //  Open PDF Version 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''

Closing Date: 7/23/2012
5/16/2012

77 FR 28819  //  Open PDF Version PDF Version

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

Closing Date: 5/30/2012
See also:
77 FR 41260 ,  7/13/2012  //  Open PDF Version PDF Version

17 CFR Chapter I Second Amendment to July 14, 2011 Order for Swap Regulation

5/7/2012

77 FR 26709  //  Open PDF Version PDF Version

17 CFR Part 49 Swap Data Repositories: Interpretative Statement Regarding the Confidentiality and Indemnification Provisions of Section 21(d) of the Commodity Exchange Act

Closing Date: 6/6/2012
4/27/2012

77 FR 23520  //  Open PDF Version PDF Version

17 CFR Parts 3, 32, and 33 Commodity Options

Closing Date: 6/26/2012
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

3/15/2012

77 FR 15460  //  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

Closing Date: 5/14/2012
See also:
75 FR 76139 ,  12/7/2010  //  Open PDF Version PDF Version

17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data

75 FR 76930 ,  12/10/2010  //  Open PDF Version PDF Version

17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data 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

77 FR 1182 ,  1/9/2012  //  Open PDF Version PDF Version

17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data

77 FR 2909 ,  1/20/2012  //  Open PDF Version PDF Version

17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data

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

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

3/6/2012

77 FR 13450  //  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

Closing Date: 5/7/2012
See also:
78 FR 23638 ,  4/19/2013  //  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

2/24/2012

77 FR 11345  //  Open PDF Version PDF Version

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

Closing Date: 4/24/2012
See also:
78 FR 52308 ,  8/22/2013  //  Open PDF Version PDF Version

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

2/14/2012

77 FR 8332  //  Open PDF Version PDF Version

17 CFR Part 75 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Covered Funds

Closing Date: 4/16/2012
See also:
79 FR 5808 ,  1/31/2014  //  Open PDF Version PDF Version

17 CFR Part 75 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds