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. The Commission is also currently finalizing Dodd-Frank rules.
View Dodd-Frank Final Rules and Orders
View all Dodd-Frank Guidance, Questions and Answers, and Staff Letters
Currently Effective Staff Letters
To date, the CFTC has issued 73 proposed rules, 4 advanced notices of proposed rulemaking, 6 proposed exemptive orders and 1 other notices.
Publication Date | Proposed Rule Details |
1/25/2017 | 82 FR 8369 // PDF Version Regarding Rulemaking: Conforming Amendments |
1/23/2017 | 82 FR 7738 // PDF Version Regarding Rulemaking: Conforming Amendments |
1/19/2017 | 82 FR 6356 // PDF Version Recordkeeping Regarding Rulemaking: Conforming Amendments |
12/16/2016 | 81 FR 96704 // PDF Version |
10/18/2016 | 81 FR 71946 // PDF Version |
6/16/2016 | 81 FR 39506 // PDF Version |
6/13/2016 | 81 FR 38458 // PDF Version |
9/29/2015 | 80 FR 58365 // PDF Version Aggregation of Positions |
8/31/2015 | 80 FR 52544 // PDF Version Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps |
0/14/2015 | 80 FR 41376 // PDF Version Comment File - Closing Date: 9/14/2015 |
3/28/2015 | 80 FR 10022 // PDF Version |
1/5/2015 | 80 FR 200 // PDF Version |
12/4/2014 | 79 FR 71973 // PDF Version Position Limits for Derivatives and Aggregation of Positions |
10/3/2014 | 79 FR 59898 // PDF Version |
12/12/2013 | 78 FR 75680 // PDF Version |
11/15/2013 | 78 FR 68946 // PDF Version |
8/16/2013 | 78 FR 50260 // PDF Version |
4/8/2013 | 78 FR 20848 // PDF Version |
1/7/2013 | 78 FR 909 // PDF Version Further Proposed Guidance Regarding Compliance With Certain Swap Regulations |
1/2/2013 | 78 FR 17 // PDF Version |
8/21/2012 | 77 FR 50425 // PDF Version |
8/7/2012 | 77 FR 47169 // PDF Version Regarding Rulemaking: Clearing Requirment |
7/17/2012 | 77 FR 41940 // PDF Version Regarding Rulemakings: End-user Exception |
7/12/2012 | 77 FR 41213 // PDF Version |
6/27/2012 | 77 FR 38229 // PDF Version Regarding Rulemaking: Real-Time Reporting |
6/15/2012 | 77 FR 35892 // PDF Version |
5/30/2012 | 77 FR 31767 // PDF Version Regarding Rulemaking: XXVI Position Limits, including Bona Fide Hedging Definition & Aggregate Limits |
5/7/2012 | 77 FR 26709 // PDF Version |
3/15/2012 | 17 CFR Part 43 Comment File - Closing Date: 5/14/2012 Regarding Rulemaking: XVIII. Real Time Reporting |
3/6/2012 | CFTC 17 CFR Part 162 and SEC 17 CFR Part 248 Comment File - Closing Date: 5/7/2012 Regarding Rulemaking: XXI. Joint Rules w/ SEC |
2/24/2012 | 17 CFR Part 4 Comment File - Closing Date: 4/24/2012 Regarding Rulemaking: XXVII. Investment Adviser Reporting |
2/14/2012 | 17 CFR Part 75 Comment File - Closing Date: 4/16/2012 Regarding Rulemaking: XXVIII. Volcker Rule |
12/14/2011 | 17 CFR Parts 37 and 38 Comment File - Closing Date: 2/13/2012 Regarding Rulemaking: XII. DCM Core PrinciplesXIII. SEF Registration |
9/20/2011 | 17 CFR Parts 37, 38, and 39 Comment File - Closing Date: 11/4/2011 Regarding Rulemaking: VIII. Process for Review of Swaps for Mandatory Clearing |
8/1/2011 | 17 CFR Parts 1, 23, and 39 Comment File - Closing Date: 9/30/2011 Regarding Rulemaking: VII. DCO Core Principles See AlsoCorrection: 17 CFR Parts 1, 23, and 39 |
8/1/2011 | 17 CFR Parts 1 and 23 Comment File - Closing Date: 9/30/2011 Regarding Rulemaking: VII. DCO Core Principles |
6/9/2011 | 17 CFR Parts 22 and 190 Comment File - Closing Date: 8/8/2011 Regarding Rulemaking: VI. Segregation & Bankruptcy See AlsoCorrection: 17 CFR Parts 22 and 190 |
6/7/2011 | 17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166 Comment File - Closing Date: 8/8/2011 Regarding Rulemaking: XXXI. Conforming Amendments See Also:Related Document: Adaptation of Regulations - Redline |
5/23/2011 | Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Part 240 Comment File - Closing Date: 7/22/2011 Regarding Rulemaking: XXI. Joint Rules w/ SEC See Also:Correction: CFTC 17 CFR Part 1 and SEC 17 CFR Part 240 |
5/12/2011 | 17 CFR Parts 1, 23, and 140 Comment File - Closing Date: 7/11/2011 Regarding Rulemaking: V. Capital & Margin for Non-banks |
4/28/2011 | 17 CFR Part 23 Comment File - Extended Date: 7/11/2011 Regarding Rulemaking: V. Capital & Margin for Non-banks See Also:Comments Extension See Also:17 CFR Part 23 Comment File - Closing Date: 11/4/2011 Regarding Rulemaking: IV. Internal Business Conduct See Also:Comments Extension 17 CFR Part 23 |
4/25/2011 | 17 CFR Part 46 Comment File - Closing Date: 6/9/2011 Regarding Rulemaking: XVII. Data Recordkeeping |
3/18/2011 | Antidisruptive Practices Authority (Proposed Interpretive Order) Comment File - Closing Date: 5/17/2011 Regarding Rulemaking: XXIV. Disruptive Trading Practices |
3/10/2011 | 17 CFR Parts 23, 37, 38, and 39 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: VII. DCO Core Principles |
3/9/2011 | 17 CFR Part 3 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: XXXI. Conforming Amendments |
3/3/2011 | 17 CFR Part 4 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: XXXI. Conforming Amendments |
2/11/2011 | Commodity Futures Trading Commission 17 CFR Part 4 Securities and Exchange Commission 17 CFR Parts 275 and 279 Comment File - Closing Date: 4/12/2011 Regarding Rulemaking: XXVII. Investment Adviser Reporting |
2/11/2011 | 17 CFR Parts 4, 145, and 147 Comment FIle - Closing Date: 4/12/2011 Regarding Rulemaking: XXVII. Investment Adviser Reporting |
2/8/2011 | 17 CFR Part 23 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: IV. Business Conduct Standards - Internal |
2/8/2011 | 17 CFR Part 23 Comment File - Closing Date: 4/11/2011 Regarding Rulemaking: IV. Business Conduct Standards - Internal See Also:76 FR 58176 // PDF Version |
2/3/2011 | 17 CFR Parts 3, 32, 33, and 35 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: XIX. Agricultural Swaps |
1/26/2011 | 17 CFR Parts 1, 150 and 151 Comment File - Closing Date: 3/28/2011 Regarding Rulemaking: XXVI. Position Limits |
1/20/2011 | 17 CFR Part 39 Comment File - Closing Date: 3/21/2011 Regarding Rulemaking: VII. DCO Core Principles See Also:Correction: 17 CFR Part 39
Comments Extension: 17 CFR Part 39 |
1/7/2011 | 17 CFR Part 37 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: XIII. SEF Registration |
1/6/2011 | 17 CFR Parts 1, 37, 38, 39, and 40 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: IX. Governance & Possible Limits |
12/28/2010 | 17 CFR Part 23 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: IV. Business Conduct Standards - Internal |
12/23/2010 | 17 CFR Part 49 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: XVI. Swap Data Repositories Registration |
12/23/2010 | 17 CFR Part 39 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: XI. End-user Exception |
12/22/2010 | 17 CFR Parts 23 and 155 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: III. Business Conduct Standards w/ Counterparties |
12/22/2010 | 17 CFR Parts 1, 16, and 38 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: XII. DCM Core Principles See Also:Comments Extension: 17 CFR Parts 1, 16, and 38 |
12/21/2010 | 17 CFR Part 1 Securities and Exchange Commission 17 CFR Part 240 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: II. Definitions |
12/15/2010 | 17 CFR Parts 1, 21, and 39 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: VII. DCO Core Principles |
12/13/2010 | 17 CFR Parts 1 and 39 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: VII. DCO Core Principles |
12/9/2010 | 17 CFR Part 23 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: Internal Business Conduct Standards |
12/8/2010 | 17 CFR Part 45 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: XVII. Data Recordkeeping |
12/7/2010 | 17 CFR Part 43 Comment File – Closing Date: 2/7/2011 Regarding Rulemaking: XVIII. Real Time Reporting See Also:Correction: 17 CFR Part 43 |
12/6/2010 | 17 CFR Part 165 Comment File – Closing Date: 2/4/2011 Regarding Rulemaking: XXV. Whistleblowers See Also:Correction: 17 CFR Part 165 |
12/3/2010 | 17 CFR Parts 23 and 190 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: VI. Segregation & Bankruptcy |
11/23/2010 | 17 CFR Part 23 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: IV. Business Conduct Standards - Internal |
11/23/2010 | 17 CFR Part 23 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: IV. Business Conduct Standards - Internal |
11/23/2010 | 17 CFR Parts 3, 23 and 170 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: I. Registration |
11/19/2010 | 17 CFR Part 3 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: IV. Business Conduct Standards - Internal |
11/19/2010 | 17 CFR Part 48 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: XIV. FBOT Registration |
11/17/2010 | 17 CFR Part 1 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: IV. Business Conduct Standards - Internal |
11/3/2010 | 17 CFR Parts 1 and 30 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: XXIX. Alternatives to Credit Ratings |
11/3/2010 | 17 CFR Part 180 Comment File - Closing Date: 1/3/2011 Regarding Rulemaking: XXIII. Anti-Manipulation |
11/2/2010 | 17 CFR Parts 1 and 4 Comment File - Closing Date: 12/2/2010 Regarding Rulemaking: XXIX. Alternatives to Credit Ratings |
11/2/2010 | 17 CFR Parts 15 and 20 Comment File - Closing Date: 12/2/2010 Regarding Rulemaking: XXXII. Large Swaps Trader Reporting |
11/2/2010 | 17 CFR Parts 39 and 140 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: VIII. Process for Review of Swaps |
11/2/2010 | 17 CFR Part 40 Comment File - Closing Date: 1/3/2011 Regarding Rulemaking: XV. Rule Certification |
10/27/2010 | 17 CFR Part 162 Comment File - Closing Date: 12/27/2010 Regarding Rulemaking: XXX. FCRA and GLB |
10/27/2010 | 17 CFR Part 160 Comment File - Closing Date: 12/27/2010 Regarding Rulemaking: XXX. FCRA and GLB |
10/26/2010 | 17 CFR Part 1 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: XIX. Agricultural Swaps |
10/18/2010 | 17 CFR Parts 1, 37, 38, 39, and 40 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: IX. Governance & Possible Limits |
10/14/2010 | 17 CFR Parts 39 and 140 Comment File - Extended Date: 6/3/2011 Regarding Rulemaking: VII. DCO Core PrinciplesX. Systemically Important DCO Rules
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Publication Date | Proposed Order Details |
8/28/2012 | 77 FR 52137 // PDF Version |
8/23/2012 | 77 FR 50998 // PDF Version |
7/12/2012 | 77 FR 41110 // PDF Version |
5/16/2012 | 77 FR 28819 // PDF Version Second Amendment to July 14, 2011 Order for Swap Regulation |
10/25/2011 | 17 CFR Chapter 1 Comment File - Closing Date: 11/25/2011 |
6/17/2011 | 17 CFR Chapter 1 Comment File - Closing Date: 7/1/2011 |
Publication Date | Advanced Notice Details |
12/2/2010 | 17 CFR Part 190 Comment File - Closing Date: 1/18/2011 Regarding Rulemaking: VI. Segregation & Bankruptcy |
11/2/2010 | 17 CFR Part 1 Comment File - Closing Date: 1/3/2011 Regarding Rulemaking: VI. Disruptive Trading Practices See Also:Notice: 17 CFR Chapter I |
9/28/2010 | 17 CFR Part 35 Comment File - Closing Date: 10/28/2010 Regarding Rulemaking: XIX. Agricultural Swaps |
8/20/2010 | Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Part 240 Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act Comment File - Closing Date: 9/20/2010 Regarding Rulemaking: II. Definitions |
Publication Date | Notice Details |
5/4/2011 | 17 CFR Chapter 1 Comment File - Closing Date: 6/3/2011 |