Proposed Rules

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Date

Proposed Rules

12/4/2014

79 FR 71973 // PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

Closing Date: 1/22/2015

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See also:

78 FR 68946 , 11/15/2013 //

PDF Version

17 CFR Part 150 Aggregation of Positions

78 FR 75680 , 12/12/2013 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives

78 FR 76787 , 12/19/2013 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140 and 150 Position Limits for Derivatives

79 FR 2394 , 1/14/2014 //

PDF Version

17 CFR Part 150 Aggregation of Positions

79 FR 3547 , 1/22/2014 //

PDF Version

17 CFR Part 150 Aggregation of Positions; Correction

79 FR 30762 , 5/29/2014 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

79 FR 37973 , 7/3/2014 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

80 FR 200 , 1/5/2015 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

80 FR 10022 , 2/25/2015 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

80 FR 58365 , 9/29/2015 //

PDF Version

17 CFR Part 150 Aggregation of Positions

81 FR 38458 , 6/13/2016 //

PDF Version

17 CFR Parts 37, 38, and 150 Position Limits for Derivatives: Certain Exemptions and Guidance

81 FR 96704 , 12/30/2016 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 37, 38, 140, 150 and 151 Position Limits for Derivatives

11/20/2014

79 FR 69073 // PDF Version

Commodity Futures Trading Commission 17 CFR Part 1 Contracts With Embedded Volumetric Optionality and Securities and Exchange Commission 17 CFR Parts 230, 240 and 241

Closing Date: 12/22/2014

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See also:

80 FR 28239 , 5/18/2015 //

PDF Version

Commodity Futures Trading Commission and Securities and Exchange Commission Forward Contracts With Embedded Volumetric Optionality

11/14/2014

79 FR 68148 // PDF Version

17 CFR Part 1 Residual Interest Deadline for Futures Commission Merchants

Closing Date: 1/13/2015

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See also:

80 FR 15507 , 3/24/2015 //

PDF Version

17 CFR Part 1 Residual Interest Deadline for Futures Commission Merchants

11/14/2014

79 FR 68140 // PDF Version

17 CFR Part 1 Records of Commodity Interest and Related Cash or Forward Transactions

Closing Date: 1/13/2015

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10/23/2014

79 FR 63343 // PDF Version

17 CFR Part 14 Proceedings Before the Commodity Futures Trading Commission; Rules Relating to Suspension or Disbarment From Appearance and Practice

Closing Date: 11/24/2014

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See also:

80 FR 32855 , 6/10/2015 //

PDF Version

17 CFR Part 14 Proceedings Before the Commodity Futures Trading Commission; Rules Relating to Suspension or Disbarment From Appearance and Practice

10/3/2014

79 FR 59898 // PDF Version

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

Closing Date: 12/2/2014

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See also:

76 FR 23732 , 4/28/2011 //

PDF Version

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

76 FR 27621 , 5/12/2011 //

PDF Version

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

77 FR 41109 , 7/12/2012 //

PDF Version

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

80 FR 41376 , 7/14/2015 //

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 //

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 //

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

7/3/2014

79 FR 37973 // PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

Closing Date: 8/4/2014

Submit For SEO View Comments

See also:

78 FR 68946 , 11/15/2013 //

PDF Version

17 CFR Part 150 Aggregation of Positions

78 FR 75680 , 12/12/2013 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives

78 FR 76787 , 12/19/2013 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140 and 150 Position Limits for Derivatives

79 FR 2394 , 1/14/2014 //

PDF Version

17 CFR Part 150 Aggregation of Positions

79 FR 3547 , 1/22/2014 //

PDF Version

17 CFR Part 150 Aggregation of Positions; Correction

79 FR 30762 , 5/29/2014 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

79 FR 71973 , 12/9/2014 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

80 FR 200 , 1/5/2015 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

80 FR 10022 , 2/25/2015 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

80 FR 58365 , 9/29/2015 //

PDF Version

17 CFR Part 150 Aggregation of Positions

81 FR 38458 , 6/13/2016 //

PDF Version

17 CFR Parts 37, 38, and 150 Position Limits for Derivatives: Certain Exemptions and Guidance

81 FR 91454 , 12/16/2016 //

PDF Version

17 CFR Part 150 Aggregation of Positions

81 FR 96704 , 12/30/2016 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 37, 38, 140, 150 and 151 Position Limits for Derivatives

6/2/2014

79 FR 31238 // PDF Version

17 CFR Part 1 Exclusion of Utility Operations-Related Swaps With Utility Special Entities From De Minimis Threshold for Swaps With Special Entities

Closing Date: 7/2/2014

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See also:

79 FR 57767 , 9/26/2014 //

PDF Version

17 CFR Part 1 Exclusion of Utility Operations-Related Swaps With Utility Special Entities From De Minimis Threshold for Swaps With Special Entities

5/29/2014

79 FR 30762 // PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

Closing Date: 7/3/2014

Submit For SEO View Comments

See also:

78 FR 68946 , 11/15/2013 //

PDF Version

17 CFR Part 150 Aggregation of Positions

78 FR 75680 , 12/12/2013 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives

78 FR 76787 , 12/19/2013 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140 and 150 Position Limits for Derivatives

79 FR 2394 , 1/14/2014 //

PDF Version

17 CFR Part 150 Aggregation of Positions

79 FR 3547 , 1/22/2014 //

PDF Version

17 CFR Part 150 Aggregation of Positions; Correction

79 FR 37973 , 7/3/2014 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

79 FR 71973 , 12/9/2014 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

80 FR 200 , 1/5/2015 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

80 FR 10022 , 2/25/2015 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

80 FR 58365 , 9/29/2015 //

PDF Version

17 CFR Part 150 Aggregation of Positions

81 FR 38458 , 6/13/2016 //

PDF Version

17 CFR Parts 37, 38, and 150 Position Limits for Derivatives: Certain Exemptions and Guidance

81 FR 91454 , 12/16/2016 //

PDF Version

17 CFR Part 150 Aggregation of Positions

81 FR 96704 , 12/30/2016 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 37, 38, 140, 150 and 151 Position Limits for Derivatives

3/26/2014

79 FR 16672 // PDF Version

17 CFR Part 49 Swap Data Repositories--Access to SDR Data by Market Participants

Closing Date: 4/25/2014

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3/26/2014

79 FR 16689 // PDF Version

17 CFR Chapter I Review of Swap Data Recordkeeping and Reporting Requirements

Closing Date: 5/27/2014

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1/31/2014

79 FR 5223 // PDF Version

Department of the Treasury Office of the Comptroller of the Currency 12 CFR Part 44; Board of Governors of the Federal Reserve System 12 CFR Part 248; Federal Deposit Insurance Corporation 12 CFR Part 351; Securities and Exchange Commission 17 CFR Part 255; Commodity Futures Trading Commission 17 CFR Part 75; Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities With Regard to Prohibitions and Restrictions on Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

Closing Date: 3/3/2014

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1/22/2014

79 FR 3547 // PDF Version

17 CFR Part 150 Aggregation of Positions; Correction

Closing Date: 2/10/2014

Submit For SEO View Comments

See also:

79 FR 2394 , 1/14/2014 //

PDF Version

17 CFR Part 150 Aggregation of Positions

80 FR 10022 , 2/25/2015 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

80 FR 58365 , 9/29/2015 //

PDF Version

17 CFR Part 150 Aggregation of Positions

1/14/2014

79 FR 2394 // PDF Version

17 CFR Part 150 Aggregation of Positions

Closing Date: 2/10/2014

Submit For SEO View Comments

See also:

78 FR 68946 , 11/15/2013 //

PDF Version

17 CFR Part 150 Aggregation of Positions

79 FR 3547 , 1/22/2014 //

PDF Version

17 CFR Part 150 Aggregation of Positions; Correction

79 FR 30762 , 5/29/2014 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

79 FR 37973 , 7/3/2014 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

79 FR 71973 , 12/9/2014 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

80 FR 200 , 1/5/2015 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

80 FR 10022 , 2/25/2015 //

PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

80 FR 58365 , 9/29/2015 //

PDF Version

17 CFR Part 150 Aggregation of Positions

81 FR 91454 , 12/16/2016 //

PDF Version

17 CFR Part 150 Aggregation of Positions

1/8/2014

79 FR 1347 // PDF Version

17 CFR Chapter I Request for Comment on Application of Commission Regulations to Swaps Between Non-U.S. Swap Dealers and Non-U.S. Counterparties Involving Personnel or Agents of the Non-U.S. Swap Dealers Located in the United States

Closing Date: 3/10/2014

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