DCM Core Principles

DCM Core Principle Rulemaking, Interpretation & Guidance

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.

How to submit a comment

Additional information regarding Business Conduct Standards w/ Counterparties is provided below, including factsheets for each proposed rule, and details of meetings held between CFTC staff and outside parties. 

Related Federal Register Releases

Final Rule: 77 FR 36611 // PDF Version
06/19/2012
17 CFR Parts, 1, 16, and 38 Core Principles and Other Requirements for Designated Contract Markets
Effective Date: August 20, 2012

Proposed Rule: 76 FR 77728 // PDF Version
12/14/2011
17 CFR Parts 37 and 38 Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act
Comment File -  Closing Date: 2/13/2012

Proposed Rule: 75 FR 80572 // PDF Version
12/22/2010
17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contract Markets
Comment File -  Extended Date: 6/3/2011
----See Also:----
     Comments Extension: 76 FR 14825 // PDF Version
     3/18/2011
     17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contact Markets

Note

The off-market volume data referenced by the Commission in the Federal Register release for the notice of proposed rulemaking for “Core Principles and Other Requirements for Designated Contract Markets,” 75 Fed. Reg. 80572, 80588-89 (Dec. 22, 2010), pertaining to proposed regulation 38.502(a) (“Minimum Centralized Market Trading Percentage Requirement”) is now available via the link below. As provided in the Federal Register release extending the comment period for the proposed rulemaking, 76 Fed. Reg 14825 (Mar. 18, 2011), the Commission will accept and consider comments pertaining to this data through April 18, 2011. Please submit comments via any one of the methods provided in the notice of extension. Download the "Off-market volume data spreadsheet" here.

Additional Information

Fact Sheet: Final Rulemaking Regarding Core Principles and Other Requirements for Designated Contract Market
Questions and Answers: Final Rulemaking Regarding Core Principles and Other Requirements for Designated Contract Markets

Event: CFTC to Hold Open Meeting to Consider a Final Rule on Core Principles and Other Requirements for Designated Contract Markets and a Proposed Order Amending the Effective Date for Swap Regulation

Fact Sheet: Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act
Q&A: Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act

Event: Open Meeting to Consider Two Final Rules and One Proposal

Fact Sheet: Proposed Rulemaking Regarding Core Principles and Other Requirements for Designated Contract Markets
Questions and Answers: Core Principles and Other Requirements for Designated Contract Markets

Event: Open Meeting on Sixth Series of Proposed Rules under the Dodd-Frank Act

Fact Sheet: Proposed Rulemaking Regarding Core Principles and Other Requirements for Designated Contract Markets
Q&A: Core Principles and Other Requirements for Designated Contract Markets

Event: Open Meeting on Sixth Series of Proposed Rules under the Dodd-Frank Act