Publication Date | Final Rule Details |
12/21/2012 | 77 FR 75523 // PDF Version 17 CFR Part 1 Adaptation of Regulations To Incorporate Swaps--Records of Transactions Effective Date: Tuesday, February 19, 2013 |
12/13/2012 | 77 FR 74284 // PDF Version 17 CFR Parts 39 and 50 Clearing Requirement Determination Under Section 2(h) of the CEA Effective Date: Monday, February 11, 2013 |
11/2/2012 | 77 FR 66288 // PDF Version 17 CFR Parts 1, 4, 5, 7, 8, 15, 16, 18, 21, 22, 36, 38, 41, 140, 145, 155, and 166 Adaptation of Regulations To Incorporate Swaps Effective Date: Wednesday, January 02, 2013 See Also Related Document: Adaptation of Regulations - Redline |
10/25/2012 | 77 FR 65177 // PDF Version Swap Data Repositories: Interpretative Statement Regarding the Confidentiality and Indemnification Provisions of the Commodity Exchange Act. Effective Date: Thursday, October 25, 2012 |
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 |