Publication Date | Final 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 Participants Regarding 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 Act Regarding Rulemaking: Conforming Amendments Effective Date: Monday, November 05, 2012 |
8/28/2012 | 77 FR 51898 // PDF Version 17 CFR Part 3 Registration of Intermediaries Regarding Rulemaking: Conforming Amendments Effective Date: Monday, October 29, 2012 |
8/13/2012 | 77 FR 48207 // 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 Regarding 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 CEA Regarding 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 Swaps Regarding Rulemaking: End-user Exception Effective Date: September 17, 2012 |
6/19/2012 | 77 FR 36611 // PDF Version 17 CFR Parts, 1, 16, and 38 Core 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 46 Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps Effective Date: August 13, 2012 Regarding Rulemaking: XVII. Data Recording & Reporting Requirements |
5/23/2012 | 77 FR 39626 // PDF Version 17 CFR Part 1 Further 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: 7/23/2012 |
4/27/2012 | 77 FR 25320 // PDF Version 17 CFR Parts 3, 32, and 33 Commodity Options Regarding Rulemaking: Commodity Options Effective Date: Tuesday, June 26, 2012 Comment File - Closing Date: 6/26/2012 |
4/9/2012 | 77 FR 21278 // PDF Version 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, 2012 |
4/3/2012 | 77 FR 20128 // PDF Version 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 Merchants Regarding Rulemaking: IV. Internal Business Conduct Standards Effective Date: June 4, 2012 |
2/24/2012 | 77 FR 11252 // PDF Version 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, 2012 See Also77 FR 17328 // PDF Version 17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations; Correction: April 26, 2012 |
2/17/2012 | 77 FR 9734 // PDF Version 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, 2012 See also: EBSA Letter to CFTC Regarding: Business Conduct Standards Rules |
2/7/2012 | 77 FR 6336 // PDF Version 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, 2012 |
1/19/2012 | 77 FR 2613 // PDF Version 17 CFR Parts 3, 23 and 170 Registration of Swap Dealers and Major Swap Participants Regarding Rulemaking: I. Registration Effective Date: March 19, 2012 |
1/13/2012 | 77 FR 2136 // PDF Version 17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements Regarding Rulemaking: XVII. Data Recordkeeping Effective Date: March 13, 2012 |
1/9/2012 | 77 FR 1182 // PDF Version 17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data Regarding Rulemaking: XVIII. Real Time Reporting Effective Date: March 9, 2012 See Also77 FR 2909 // PDF Version 17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data; Correction: January, 20, 2012 See Also77 FR 48060 // PDF Version 17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data; Correction: August 13, 2012 |
12/23/2011 | 76 FR 80674 // PDF Version 17 CFR Part 48 Registration of Foreign Boards of Trade Regarding Rulemaking: XIV. FBOT Registration Effective Date: February 21, 2012 |
12/19/2011 | 76 FR 78776 // PDF Version 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, 2012 |
12/14/2011 | 76 FR 77670 // PDF Version 17 CFR Part 1 Interim Final Interpretation: Retail Commodity Transactions Under Commodity Exchange Act Comment File - Closing Date: 2/13/2012 |
11/18/2011 | 76 FR 71626 // PDF Version 17 CFR Parts 1, 150 and 151 Position Limits for Futures and Swaps Regarding Rulemaking: XXVI. Position Limits Effective Date: January 17, 2012
NOTE:The Interim Final Rule portion of this rule is open for comment until January 17, 2012. Comment File |
11/16/2011 | 76 FR 71128 // PDF Version 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, 2012 |
11/8/2011 | 76 FR 69334 // PDF Version 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, 2012 |
9/12/2011 | 76 FR 56103 // PDF Version 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, 2011 |
9/1/2011 | 76 FR 54538 // PDF Version 17 CFR Part 49 Swap Data Repositories: Registration Standards, Duties and Core Principles Regarding Rulemaking: XVI. Swap Data Repositories Registration Effective Date: October 31, 2011 |
8/25/2011 | 76 FR 53172 // PDF Version 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, 2011 |
8/10/2011 | 76 FR 49291 // PDF Version 17 CFR Part 35 Agricultural Swaps Regarding Rulemaking: XIX. Agricultural Swaps Effective Date: December 31, 2011 |
7/27/2011 | 76 FR 44776 // PDF Version 17 CFR Part 40 Provisions Common to Registered Entities Regarding Rulemaking: XV. Rule Certification Effective Date: September 26, 2011 See Also76 FR 45666 // PDF Version Correction: 17 CFR Part 40 Provisions Common to Registered Entities; Correction |
7/26/2011 | 76 FR 44464 // PDF Version 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, 2011 |
7/25/2011 | 76 FR 44262 // PDF Version 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, 2011 |
7/22/2011 | 76 FR 43851 // PDF Version 17 CFR Parts 15 and 20 Large Trader Reporting for Physical Commodity Swaps Regarding Rulemaking: XXXII. Large Swaps Trader Reporting Effective Date: September 20, 2011
Additional Information: Guidelines Regarding Large Trader Reporting for Physical Commodity Swaps |
7/22/2011 | 76 FR 43874 // PDF Version 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, 2011 |
7/22/2011 | 76 FR 43879 // PDF Version 17 CFR Part 162 Business Affiliate Marketing and Disposal of Consumer Information Rules Regarding Rulemaking: XXX. FCRA and GLB Effective Date: September 20, 2011 |
7/14/2011 | 76 FR 41398 // PDF Version 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, 2011 |
7/13/2011 | 76 FR 41048 // PDF Version 17 CFR Part 1 Agricultural Commodity Definition Regarding Rulemaking: Agricultural Commodity Definition Effective Date: September 12, 2011 |
12/17/2010 | 75 FR 78892 // PDF Version 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: 1/18/2011 |
10/14/2010 | 75 FR 63080 // PDF Version 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: 11/15/2010 |
9/10/2010 | 75 FR 55410 // PDF Version 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, 2010 |