The Commission has issued proposed rules to implement the Dodd-Frank Wall Street Reform and Consumer Protection Act, and is seeking input on these rules from the public.
A list of proposed rules for this topic, along with other related Federal Register notices, is provided below. Members of the public are encouraged to review proposed rules, and offer comment by clicking the associated "Comment File" link.
Additional information regarding Investment Adviser Reporting is provided below, including factsheets for each proposed rule, and details of meetings held between CFTC staff and outside parties.
Proposed Rule: 77 FR 8332 // PDF Version
2/14/2012
17 CFR Part 75 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Covered Funds
Comment File - Closing Date: 4/16/2012
Event: Open Meeting on Three Final Rules, One Proposed Rule and a Delegation of Authority Order
On January 18, 2011, the Financial Stability Oversight Council ("FSOC") approved and released to the public a study formalizing its findings and recommendations for implementing section 619 of the Dodd-Frank Act, commonly referred to as the Volcker Rule:
Study & Recommendations on Prohibitions on Proprietary Trading & Certain Relationships with Hedge Funds & Private Equity Funds