Final Rules, Guidance, Exemptive Orders and Other Actions
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/LawRegulation/FederalRegister/FinalRules/2016-27525a
Dodd-Frank Final Rules, Final Guidance, Final Exemptive Orders, and Other Final Actions
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.
View Dodd-Frank Proposed Rules, Guidance and Exemptive Orders
View all Dodd-Frank Guidance, Advisories and Questions
Currently Effective Staff LettersThe finalization process is ongoing. The CFTC has now finalized 69 rules, exemptive orders and guidance actions and 5 other actions.
Final Rules, final guidance, final exemptive orders, and other final actions
Publication
DateFinal Actions
12/16/2016 81 FR 91454 // PDF Version
17 CFR Part 150
Aggregation of Positions
Effective Date: Tuesday, February 14, 201711/16/2016 81 FR 80563 // PDF Version
17 CFR Part 3
Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates
Effective Date: Wednesday, November 16, 2016See Also
81 FR 53343, 8/12/2016 // PDF Version
17 CFR Part 3 Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates10/14/2016 81 FR 71202 // PDF Version
17 CFR Part 50
Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps
Effective Date: Tuesday, December 13, 20166/27/2016 81 FR 41736 // PDF Version
17 CFR Part 45
Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps
Effective Date: Wednesday, July 27, 20165/31/2016 17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements; Agency Information Collection Activities: Proposed Collection, Comment Request: Final Rule, Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements; Final Rule and Notice
Effective Date: Monday, August 01, 2016
01/2/2016 17 CFR Parts 23 and 140
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Effective Date: Friday, April 01, 201609/26/14 17 CFR Part 1
Exclusion of Utility Operations-Related Swaps with Utility Special Entities from De Minimis Threshold for Swaps with Special Entities
Effective Date: Monday, October 27, 20141/31/2014 79 FR 5808 // PDF Version
17 CFR Part 75
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds
Effective Date: Tuesday, April 01, 201412/02/2013 78 FR 72476 // PDF Version
17 CFR Parts 39, 140, and 190Derivatives Clearing Organizations and International Standards
Effective Date: Tuesday, December 31, 201311/6/2013 78 FR 66621 // PDF Version
17 CFR Parts 23 and 190Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy
Effective Date: Monday, January 06, 201410/28/2013 78 FR 64173 // PDF Version
17 CFR Part 23Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees
Effective Date: Wednesday, November 27, 20138/22/2013 78 FR 52286 // PDF Version
17 CFR Part 50
Clearing Exemption for Certain Swaps Entered Into by Cooperatives
Effective Date: Monday, September 23, 20138/22/2013 78 FR 52308 // PDF Version
17 CFR Part 4
Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators
Effective Date: Thursday, August 22, 20138/15/2013 78 FR 49663 // PDF Version
17 CFR Part 39Enhanced Risk Management Standards for Systemically Important Derivatives Clearing Organizations
Effective Date: Tuesday, October 15, 20137/26/2013 78 FR 45292 // PDF Version
17 CFR Chapter I Interpretive Guidance and Policy Statement Regarding Compliance With Certain Swap Regulations
Effective Date: Friday, July 26, 20137/22/2013 78 FR 43785 // PDF Version
17 CFR Chapter I
Exemptive Order Regarding Compliance With Certain Swap RegulationsRegarding Rulemaking: Cross-Border Application of Swaps Provisions
Effective Date: Saturday, July 13, 20136/4/2013 78 FR 36606 // PDF Version
17 CFR Parts 37 and 38
Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available to Trade, Swap Transaction Compliance and Implementation Schedule, and Trade Execution Requirement Under the Commodity Exchange Act
Effective Date: Monday, August 05, 20136/4/2013 78 FR 33476 // PDF Version
17 CFR Part 37
Core Principles and Other Requirements for Swap Execution Facilities
Effective Date: Monday, August 05, 2013See Also
78 FR 47154 // PDF Version
17 CFR Part 37
Core Principles and Other Requirements for Swap Execution Facilities; Correction
Effective Date: Monday, August 05, 20135/31/2013 78 FR 32866 // PDF Version
17 CFR Part 43
Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades
Effective Date: Tuesday, July 30, 2013See Also
78 FR 42436 // PDF Version
17 CFR Part 43Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Correction
Effective Date: Tuesday, July 30, 2013
5/28/2013 78 FR 31890 // PDF Version
Antidisruptive Practices Authority
Effective Date: Tuesday, May 28, 20134/19/2013 78 FR 23638 // PDF Version
Commodity Futures Trading Commission 17 CFR Part 162
Securities and Exchange Commission 17 CFR Part 248 Identity Theft Red Flags Rules
Effective Date: Monday, May 20, 20134/16/2013 78 FR 22418 // PDF Version
17 CFR Parts 1, 3, 5, 9, 11, 31, 40, 41, 140, 145, 170, 171 and 190
Reassignment of Commission Staff Responsibilities and Delegations of Authority
Effective Date: Tuesday, April 16, 20134/11/2013 78 FR 21522 // PDF Version
17 CFR Part 140Delegation of Authority To Disclose Confidential Information to a Contract Market, Registered Futures Association or Self-Regulatory Organization
Effective Date: Thursday, April 11, 20134/11/2013 78 FR 21749 // PDF Version
17 CFR Part 50Clearing Exemption for Swaps Between Certain Affiliated Entities
Effective Date: Monday, June 10, 20134/8/2013 78 FR 20788 // PDF Version
Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants17 CFR Parts 3 and 23Effective Date: Friday, June 07, 2013
4/2/2013 78 FR 19879 // PDF Version
Final Order in Response to a Petition From Certain Independent System Operators and Regional Transmission Organizations To Exempt Specified Transactions Authorized by a Tariff or Protocol Approved by the Federal Energy Regulatory Commission or the Public Utility Commission of Texas From Certain Provisions of the Commodity Exchange Act Pursuant to the Authority Provided in the Act
Effective Date: Tuesday, April 02, 20134/2/2013 78 FR 19670 // PDF Version
Order Exempting, Pursuant to Authority of the Commodity Exchange Act, Certain Transactions Between Entities Described in the Federal Power Act, and Other Electric Cooperatives
Effective Date: Tuesday, April 02, 20131/23/2013
78 FR 17 // PDF Version
17 CFR Part 23
Business Conduct and Documentation Requirements for Swap Dealers and Major Swap Participants; Extension of Compliance Date
Comment File - Closing Date: 2/1/20131/7/2013
78 FR 858 // PDF Version
17 CFR Chapter I
Final Exemptive Order Regarding Compliance With Certain Swap RegulationsEffective Date: Friday, December 21, 2012
12/21/2012 77 FR 75523 // PDF Version
17 CFR Part 1Adaptation of Regulations To Incorporate Swaps--Records of Transactions
Effective Date: Tuesday, February 19, 2013See Also
78 FR 21045 // PDF Version
17 CFR Part 1 Adaptation of Regulations to Incorporate Swaps--Records of Transactions; Correction
Effective Date: Tuesday, April 09, 201312/13/2012 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, 201311/2/2012 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, 201310/25/2012 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, 20129/11/2012 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 ParticipantsRegarding Rulemaking: Internal Business Conduct Standards
Effective Date: Tuesday, November 13, 2012
See Also
78 FR 21045 // PDF Version
17 CFR Part 23 Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants; Correction
Effective Date: Tuesday, April 09, 20139/5/2012 77 FR 54355 // PDF Version
17 CFR Part 4
Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank ActRegarding Rulemaking: Conforming Amendments
Effective Date: Monday, November 05, 2012
8/28/2012 77 FR 51898 // PDF Version
17 CFR Part 3
Registration of IntermediariesRegarding Rulemaking: Conforming Amendments
Effective Date: Monday, October 29, 2012
8/13/2012 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 RecordkeepingRegarding 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 CEARegarding 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 SwapsRegarding Rulemaking: End-user Exception
Effective Date: September 17, 2012
6/19/2012 77 FR 36611 // PDF Version
17 CFR Parts, 1, 16, and 38Core 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 46Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps
Effective Date: August 13, 2012Regarding Rulemaking: XVII. Data Recording & Reporting Requirements
07/13/2012 77 FR 41260 // PDF Version
17 CFR Chapter I
Second Amendment to July 14, 2011 Order for Swap Regulation
Effective Date: Tuesday, July 03, 20125/23/2012 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: 7/23/2012See Also
77 FR 39626 // PDF Version
17 CFR Part 1Further Definition of ``Swap Dealer,'' ``Security-Based Swap Dealer,'' ``Major Swap Participant,'' ``Major Security-Based Swap Participant'' and ``Eligible Contract Participant''; Correction: July 5, 2012
4/27/2012 17 CFR Parts 3, 32, and 33
Commodity Options
Regarding Rulemaking: Commodity OptionsEffective Date: Tuesday, June 26, 2012
NOTE: The Interim Final Rule portion of this rule closed for comment on June 26, 2012.
Comment File - Closing Date: 6/26/2012
4/9/2012 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, 20124/3/2012 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 MerchantsRegarding Rulemaking: IV. Internal Business Conduct Standards
Effective Date: June 4, 20122/24/2012
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, 2012See Also
77 FR 17328 // PDF Version
17 CFR Parts 4, 145, and 147Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations; Correction: April 26, 2012
2/17/2012 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, 20122/7/2012 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, 20121/19/2012 17 CFR Parts 3, 23 and 170
Registration of Swap Dealers and Major Swap Participants
Regarding Rulemaking: I. Registration
Effective Date: March 19, 2012See Also
Performance of Registration Functions by National Futures Association With Respect to Swap Dealers and Major Swap Participants
Effective Date: January 19, 20121/13/2012 17 CFR Part 45
Swap Data Recordkeeping and Reporting Requirements
Regarding Rulemaking: XVII. Data Recordkeeping
Effective Date: March 13, 20121/9/2012 17 CFR Part 43
Real-Time Public Reporting of Swap Transaction Data
Regarding Rulemaking: XVIII. Real Time Reporting
Effective Date: March 9, 2012See Also
17 CFR Part 43
Effective Date: Tuesday, July 03, 20125/23/2012 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: 7/23/2012See Also
77 FR 39626 // PDF Version
17 CFR Part 1Further Definition of ``Swap Dealer,'' ``Security-Based Swap Dealer,'' ``Major Swap Participant,'' ``Major Security-Based Swap Participant'' and ``Eligible Contract Participant''; Correction: July 5, 2012
4/27/2012 17 CFR Parts 3, 32, and 33
Commodity Options
Regarding Rulemaking: Commodity OptionsEffective Date: Tuesday, June 26, 2012
NOTE: The Interim Final Rule portion of this rule closed for comment on June 26, 2012.
Comment File - Closing Date: 6/26/2012
4/9/2012 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, 20124/3/2012 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 MerchantsRegarding Rulemaking: IV. Internal Business Conduct Standards
Effective Date: June 4, 20122/24/2012
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, 2012See Also
77 FR 17328 // PDF Version
17 CFR Parts 4, 145, and 147Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations; Correction: April 26, 2012
2/17/2012 17 CFR Parts 4 and 23
Real-Time Public Reporting of Swap Transaction Data; Correction: January, 20, 201277 FR 48060 // PDF Version
17 CFR Part 43
Real-Time Public Reporting of Swap Transaction Data; Correction: August 13, 201212/23/2011 17 CFR Part 48
Registration of Foreign Boards of Trade
Regarding Rulemaking: XIV. FBOT Registration
Effective Date: February 21, 201212/23/2011 17 CFR Chapter 1
Amendment to July 14, 2011 Order for Swap Regulation
Effective Date: December 23, 201112/19/2011 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, 201212/14/2011 17 CFR Part 1
Interim Final Interpretation: Retail Commodity Transactions Under Commodity Exchange ActComment File - Closing Date: 2/13/2012
See Also
78 FR 52426 // PDF Version
17 CFR Part 1
Retail Commodity Transactions Under Commodity Exchange Act
Effective Date: Friday, August 23, 201311/18/2011 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 closed for comment on January 17, 2012.
Comment File11/16/2011 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, 201211/8/2011 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, 20129/12/2011 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, 20119/1/2011 17 CFR Part 49
Swap Data Repositories: Registration Standards, Duties and Core Principles
Regarding Rulemaking: XVI. Swap Data Repositories Registration
Effective Date: October 31, 20118/25/2011 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, 20118/10/2011 17 CFR Part 35
Agricultural Swaps
Regarding Rulemaking: XIX. Agricultural Swaps
Effective Date: December 31, 20117/27/2011 17 CFR Part 40
Provisions Common to Registered Entities
Regarding Rulemaking: XV. Rule Certification
Effective Date: September 26, 2011See Also
Correction: 17 CFR Part 40
Provisions Common to Registered Entities; Correction7/26/2011 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, 20117/25/2011 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, 20117/22/2011 17 CFR Parts 15 and 20
Large Trader Reporting for Physical Commodity Swaps
Regarding Rulemaking: XXXII. Large Swaps Trader Reporting
Effective Date: September 20, 20117/22/2011 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, 20117/22/2011 17 CFR Part 162
Business Affiliate Marketing and Disposal of Consumer Information Rules
Regarding Rulemaking: XXX. FCRA and GLB
Effective Date: September 20, 20117/19/2011 17 CFR Chapter 1
Effective Date for Swap Regulation
Effective Date: July 14, 20117/14/2011 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, 20117/13/2011 17 CFR Part 1
Agricultural Commodity Definition
Regarding Rulemaking: Agricultural Commodity DefinitionEffective Date: September 12, 2011
12/17/2010 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: 1/18/201110/14/2010 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: 11/15/20109/10/2010 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, 2010See Also
Performance of Registration Functions by National Futures Association With Respect to Retail Foreign Exchange Dealers and Associated Persons
Regarding Rulemaking: XX. Foreign Exchange
Effective Date: September 10, 2010Other Final Actions
Publication
DateOther Final Actions
10/30/2013 Notice Regarding LEIs that may be used to Comply with CFTC LEI Requirements
4/09/2013 1/14/2013 9/4/2012 77 FR 53870 // PDF Version
Availability of a Legal Entity Identifier Meeting the Requirements of the Regulations of the Commodity Futures Trading Commission and Designation of Provider of Legal Entity Identifiers To Be Used in the Recordkeeping and Swap Data Reporting.9/16/2010 Orders Regarding the Treatment of Petitions Seeking Grandfather Relief for Exempt Commercial Markets and Exempt Boards of Trade
Effective Date: September 10, 20109/16/2010 Notice Regarding the Treatment of Petitions Seeking Grandfather Relief for Trading Activity Done in Reliance Upon Section 2(h)(1)-(2) of the Commodity Exchange Act
Effective Date: September 10, 2010