Final Rules, Orders, and Guidance
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Dodd-Frank Final Rules, Guidance and Orders
The Commodity Futures Trading Commission is in the process of implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act. Under Dodd-Frank, in August 2010, the Commission began issuing proposed rules and soliciting public comment.
View Dodd-Frank Proposed Rules
The finalization process is ongoing. The CFTC has now finalized 39 final rules and guidance and 8 final orders.
Final Rules & Guidance
Publication
DateFinal Rule Details
9/11/2012 77 FR 55904 // PDF Version
17 CFR Part 23
Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap ParticipantsRegarding Rulemaking: Internal Business Conduct Standards
Effective Date: Tuesday, November 13, 2012
9/5/2012 77 FR 54355 // PDF Version
17 CFR Part 4
Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank ActRegarding Rulemaking: Conforming Amendments
Effective Date: Monday, November 05, 2012
8/28/2012 77 FR 51898 // PDF Version
17 CFR Part 3
Registration of IntermediariesRegarding Rulemaking: Conforming Amendments
Effective Date: Monday, October 29, 2012
8/13/2012 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 RecordkeepingRegarding Rulemaking: Joint Rules with SEC, such as “Swap” and “Security-Based Swap”
Effective Date: Friday, October 12, 2012
7/30/2012 77 FR 44441 // PDF Version
17 CFR Part 50
Swap Transaction Compliance and Implementation Schedule: Clearing Requirement under Section 2(h) of the CEARegarding Rulemaking: Process for Review of Swaps for Mandatory Clearing
Effective Date: September 28, 2012
7/19/2012 77 FR 42559 // PDF Version
17 CFR Part 39
End-User Exception to the Clearing Requirement for SwapsRegarding Rulemaking: End-user Exception
Effective Date: September 17, 2012
6/19/2012 77 FR 36611 // PDF Version
17 CFR Parts, 1, 16, and 38Core Principles and Other Requirements for Designated Contract Markets
Regarding Rulemaking: XII. DCM Core Principle Rulemaking, Interpretation & Guidance
Effective Date: August 20, 2012
06/12/2012 77 FR 35200 // PDF Version
17 CFR Part 46Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps
Effective Date: August 13, 2012Regarding Rulemaking: XVII. Data Recording & Reporting Requirements
5/23/2012 77 FR 39626 // PDF Version
17 CFR Part 1Further Definition of ``Swap Dealer,'' ``Security-Based Swap Dealer,'' ``Major Swap Participant,'' ``Major Security-Based Swap Participant'' and ``Eligible Contract Participant''; Correction: July 5, 2012
See Also
77 FR 30596 // PDF
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’’
Regarding Rulemaking: II. Definitions
Effective Date: July 23, 2012
Comment File – Closing Date: 7/23/20124/27/2012 17 CFR Parts 3, 32, and 33
Commodity Options
Regarding Rulemaking: Commodity OptionsEffective Date: Tuesday, June 26, 2012
Comment File - Closing Date: 6/26/20124/9/2012 17 CFR Parts 1,23,37,38, and 39
Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management
Regarding Rulemaking: VII. DCO Core Principles
Effective Date: October 1, 20124/3/2012 17 CFR Parts 1,3, and 23
Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission MerchantsRegarding Rulemaking: IV. Internal Business Conduct Standards
Effective Date: June 4, 20122/24/2012
17 CFR Parts 4, 145 and 147
Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
Regarding Rulemaking: XXVII. Investment Adviser Reporting
Effective Date: April 24, 2012See Also
77 FR 17328 // PDF Version
17 CFR Parts 4, 145, and 147Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations; Correction: April 26, 2012
2/17/2012 17 CFR Parts 4 and 23
Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
Regarding Rulemaking: III. Business Conduct Standards w/ Counterparties
Effective Date: April 17, 2012See also: EBSA Letter to CFTC Regarding: Business Conduct Standards Rules
2/7/2012 17 CFR Parts 22 and 190
Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
Regarding Rulemaking: VI. Segregation & Bankruptcy
Effective Date: April 9, 20121/19/2012 17 CFR Parts 3, 23 and 170
Registration of Swap Dealers and Major Swap Participants
Regarding Rulemaking: I. Registration
Effective Date: March 19, 20121/13/2012 17 CFR Part 45
Swap Data Recordkeeping and Reporting Requirements
Regarding Rulemaking: XVII. Data Recordkeeping
Effective Date: March 13, 20121/9/2012 17 CFR Part 43
Real-Time Public Reporting of Swap Transaction Data
Regarding Rulemaking: XVIII. Real Time Reporting
Effective Date: March 9, 2012See Also
17 CFR Part 43
Real-Time Public Reporting of Swap Transaction Data; Correction: January, 20, 2012See Also
77 FR 48060 // PDF Version
17 CFR Part 43
Real-Time Public Reporting of Swap Transaction Data; Correction: August 13, 201212/23/2011 17 CFR Part 48
Registration of Foreign Boards of Trade
Regarding Rulemaking: XIV. FBOT Registration
Effective Date: February 21, 201212/19/2011 17 CFR Parts 1 and 30
Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions
Regarding Rulemaking: XXIX. Alternatives to Credit Ratings
Effective Date: February 17, 201212/14/2011 17 CFR Part 1
Interim Final Interpretation: Retail Commodity Transactions Under Commodity Exchange ActComment File - Closing Date: 2/13/2012
11/18/2011 17 CFR Parts 1, 150 and 151
Position Limits for Futures and Swaps
Regarding Rulemaking: XXVI. Position Limits
Effective Date: January 17, 2012NOTE:The Interim Final Rule portion of this rule is open for comment until January 17, 2012.
Comment File11/16/2011 CFTC 17 CFR Part 4 and SEC 17 CFR Parts 275 and 279
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
Regarding Rulemaking: XXVII. Investment Adviser Reporting
Effective Date: March 31, 201211/8/2011 17 CFR Parts 1, 21, 39, and 140
Derivatives Clearing Organization General Provisions and Core Principles
Regarding Rulemaking: VII. DCO Core Principles
Effective Date: January 9, 20129/12/2011 17 CFR Part 5
Retail Foreign Exchange Transactions; Conforming Changes to Existing Regulations in Response to the Dodd-Frank Wall Street Reform and Consumer Protection Act
Regarding Rulemaking: XX. Foreign Exchange
Effective Date: September 12, 20119/1/2011 17 CFR Part 49
Swap Data Repositories: Registration Standards, Duties and Core Principles
Regarding Rulemaking: XVI. Swap Data Repositories Registration
Effective Date: October 31, 20118/25/2011 17 CFR Part 165
Final Rules for Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act
Regarding Rulemaking: XXV. Whistleblowers
Effective Date: October 24, 20118/10/2011 17 CFR Part 35
Agricultural Swaps
Regarding Rulemaking: XIX. Agricultural Swaps
Effective Date: December 31, 20117/27/2011 17 CFR Part 40
Provisions Common to Registered Entities
Regarding Rulemaking: XV. Rule Certification
Effective Date: September 26, 2011See Also
Correction: 17 CFR Part 40
Provisions Common to Registered Entities; Correction7/26/2011 17 CFR Parts 39 and 140
Process for Review of Swaps for Mandatory Clearing
Regarding Rulemaking: VIII. Process for Review of Swaps
Effective Date: September 26, 20117/25/2011 17 CFR Parts 1 and 4
Removing Any Reference to or Reliance on Credit Ratings in Commission Regulations; Proposing Alternatives to the Use of Credit Ratings
Regarding Rulemaking: XXIX. Alternatives to Credit Ratings
Effective Date: September 23, 20117/22/2011 17 CFR Parts 15 and 20
Large Trader Reporting for Physical Commodity Swaps
Regarding Rulemaking: XXXII. Large Swaps Trader Reporting
Effective Date: September 20, 2011Additional Information: Guidelines Regarding Large Trader Reporting for Physical Commodity Swaps
7/22/2011 17 CFR Part 160
Privacy of Consumer Financial Information; Conforming Amendments under Dodd-Frank Act
Regarding Rulemaking: XXX. FCRA and GLB
Effective Date: September 20, 20117/22/2011 17 CFR Part 162
Business Affiliate Marketing and Disposal of Consumer Information Rules
Regarding Rulemaking: XXX. FCRA and GLB
Effective Date: September 20, 20117/14/2011 17 CFR Part 180
Prohibition on the Employment, or Attempted Employment, of Manipulative and Deceptive Devices - Prohibition on Price Manipulation
Regarding Rulemaking: XXIII. Anti-Manipulation
Effective Date: August 15, 20117/13/2011 17 CFR Part 1
Agricultural Commodity Definition
Regarding Rulemaking: Agricultural Commodity DefinitionEffective Date: September 12, 2011
12/17/2010 17 CFR Part 44
Interim Final Rule: Reporting Certain Post-Enactment Swap Transactions
Regarding Rulemaking: XVII. Data Recordkeeping
Effective Date: December 17, 2010
Comment File - Closing Date: 1/18/201110/14/2010 17 CFR Part 44
Interim Final Rule for Reporting Pre-Enactment Swap Transactions
Regarding Rulemaking: XVI. Swap Data Repositories Registration
Effective Date: October 14, 2010
Comment File - Closing Date: 11/15/20109/10/2010 17 CFR Parts 1, 3, 4, 5, 10, 140, 145, 147, 160, and 166
Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries
Regarding Rulemaking: XX. Foreign Exchange
Effective Date: October 18, 2010Final Orders
Publication
DateFinal Order Details
Upcoming PDF Version
Determination of the Availability of a Legal Entity Identifier Meeting the Requirements of the Regulations of the Commodity Futures Trading Commission and Designation of the Provider of Legal Entity Identifiers to Be Used in the Recordkeeping and Swap Data Reporting Pursuant to Those Regulations7/13/2012 77 FR 41260 // PDF Version
17 CFR Chapter I
Second Amendment to July 14, 2011 Order for Swap Regulation
Effective Date: Tuesday, July 03, 20121/19/2012 Performance of Registration Functions by National Futures Association With Respect to Swap Dealers and Major Swap Participants
Effective Date: January 19, 201212/23/2011 17 CFR Chapter 1
Amendment to July 14, 2011 Order for Swap Regulation
Effective Date: December 23, 20117/19/2011 17 CFR Chapter 1
Effective Date for Swap Regulation
Effective Date: July 14, 20119/16/2010 Orders Regarding the Treatment of Petitions Seeking Grandfather Relief for Exempt Commercial Markets and Exempt Boards of Trade
Effective Date: September 10, 20109/16/2010 Notice Regarding the Treatment of Petitions Seeking Grandfather Relief for Trading Activity Done in Reliance Upon Section 2(h)(1)-(2) of the Commodity Exchange Act
Effective Date: September 10, 20109/10/2010 Performance of Registration Functions by National Futures Association With Respect to Retail Foreign Exchange Dealers and Associated Persons
Regarding Rulemaking: XX. Foreign Exchange
Effective Date: September 10, 2010
See Also:
