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Proposed Rules

Date
Proposed Rules
12/30/2016

81 FR 96704  //  Open PDF Version PDF Version

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

Closing Date: 2/28/2017
See also:
78 FR 76787 //  Open PDF Version PDF Version

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

79 FR 30762 ,  5/29/2014  //  Open PDF Version 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  //  Open PDF Version 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  //  Open PDF Version 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  //  Open PDF Version 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  //  Open PDF Version PDF Version

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

81 FR 38458 ,  6/13/2016  //  Open PDF Version PDF Version

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

12/16/2016

81 FR 91252  //  Open PDF Version PDF Version

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

Closing Date: 3/16/2017
Extended Date: 5/15/2017
See also:
82 FR 13971 //  Open PDF Version PDF Version

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

11/25/2016

81 FR 85334  //  Open PDF Version PDF Version

17 CFR Parts 1, 38, 40, and 170 Regulation Automated Trading

Closing Date: 1/24/2017
Extended Date: 5/1/2017
See also:
80 FR 78824 ,  12/17/2015  //  Open PDF Version PDF Version

17 CFR Parts 1, 38, 40, and 170 Regulation Automated Trading

82 FR 8502 //  Open PDF Version PDF Version

17 CFR Parts 1, 38, 40, and 170 Regulation Automated Trading

10/18/2016

81 FR 71946  //  Open PDF Version PDF Version

17 CFR Parts 1 and 23 Cross-Border Application of the Registration Thresholds and External Business Conduct Standards Applicable to Swap Dealers and Major Swap Participants

Closing Date: 12/19/2016
8/30/2016

81 FR 59551  //  Open PDF Version PDF Version

17 CFR Part 165 Whistleblower Awards Process

Closing Date: 9/29/2016
See also:
82 FR 24487 ,  5/30/2017  //  Open PDF Version PDF Version

17 CFR Part 165 Whistleblower Awards Process

8/12/2016

81 FR 53343  //  Open PDF Version PDF Version

17 CFR Part 3 Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates

Closing Date: 9/12/2016
See also:
81 FR 80563 ,  11/16/2016  //  Open PDF Version PDF Version

17 CFR Part 3 Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates

8/5/2016

81 FR 51824  //  Open PDF Version PDF Version

17 CFR Part 3 Exemption From Registration for Certain Foreign Persons

Closing Date: 9/6/2016
8/5/2016

81 FR 51828  //  Open PDF Version PDF Version

17 CFR Part 4 Commodity Pool Operator Annual Report

Closing Date: 9/6/2016
Extended Date: 9/20/2016
See also:
81 FR 61147 //  Open PDF Version PDF Version

17 CFR Part 4 Commodity Pool Operator Annual Report

81 FR 85147 ,  11/25/2016  //  Open PDF Version PDF Version

17 CFR Part 4 Commodity Pool Operator Financial Reports

6/16/2016

81 FR 39506  //  Open PDF Version PDF Version

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

Closing Date: 7/18/2016
See also:
81 FR 71202 ,  10/14/2016  //  Open PDF Version PDF Version

17 CFR Part 50 Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps

6/13/2016

81 FR 38458  //  Open PDF Version PDF Version

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

Closing Date: 7/13/2016
See also:
78 FR 75680 ,  12/12/2013  //  Open PDF Version PDF Version

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

78 FR 76787 //  Open PDF Version PDF Version

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

79 FR 30762 ,  5/29/2014  //  Open PDF Version 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  //  Open PDF Version 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  //  Open PDF Version 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  //  Open PDF Version 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  //  Open PDF Version PDF Version

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

81 FR 96704 ,  12/30/2016  //  Open PDF Version PDF Version

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

6/7/2016

81 FR 36484  //  Open PDF Version PDF Version

17 CFR Parts 1, 38, 40, and 170 Public Staff Roundtable on Elements of Regulation Automated Trading; Reopening of Comment Period

Closing Date: 6/24/2016
1/12/2016

81 FR 1359  //  Open PDF Version PDF Version

17 CFR Part 3 Alternative to Fingerprinting Requirement for Foreign Natural Persons

Closing Date: 2/11/2016
See also:
81 FR 18743 ,  4/1/2016  //  Open PDF Version PDF Version

17 CFR Part 3 Alternative to Fingerprinting Requirement for Foreign Natural Persons