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
- CFTC Final Rules
As a result of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the CFTC and the SEC are in the process of finalizing rules to regulate the derivatives marketplace. The legislation is intended to reduce risk, increase transparency and promote market integrity within the financial system. Below are the Finalized Rules to date.
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11/02/12 Notice of Final Rulemaking, Effective 01/02/13 - Commodity Futures Trading Commission
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09/11/12 Notice of Final Rulemaking, Effective 11/13/12 - Commodity Futures Trading Commission
17 CFR Part 23
Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants -
09/05/12 Notice of Final Rulemaking, Effective 11/05/12 - Commodity Futures Trading Commission
17 CFR Part 4
Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act -
08/28/12 Notice of Final Rulemaking, Effective 10/29/12 - Commodity Futures Trading Commission
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08/13/12 Notice of Final Rulemaking, Effective 10/12/12 - Commodity Futures Trading Commission
17 CFR Part 1
Further Definition of ``Swap,'' ``Security-Based Swap,'' and ``Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
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07/30/12 Notice of Final Rulemaking, Effective 09/28/12 - Commodity Futures Trading Commission
17 CFR Part 50
Swap Transaction Compliance and Implementation Schedule: Clearing Requirement Under Section 2(h)
of the CEA
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07/19/12 Notice of Final Rulemaking, Effective 09/17/12 - Commodity Futures Trading Commission
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06/19/12 Notice of Final Rulemaking, Effective 08/20/12 - Commodity Futures Trading Commission
17 CFR Parts, 1, 16, and 38
Core Principles and Other Requirements for Designated Contract Markets
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06/12/12 Notice of Final Rulemaking, Effective 08/13/12 - Commodity Futures Trading Commission
17 CFR Part 46
Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps
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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’’ -
04/27/12 Notice of Final Rulemaking, Effective 06/26/12 - Commodity Futures Trading Commission
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04/09/12 Notice of Final Rulemaking, Effective 10/01/12 - Commodity Futures Trading Commission
17 CFR Parts 1,23,37,38, and 39
Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management -
04/03/12 Notice of Final Rulemaking, Effective 06/04/12 - Commodity Futures Trading Commission
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
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02/24/12 Notice of Final Rulemaking, Effective 04/24/12 - Commodity Futures Trading Commission
17 CFR Parts 4, 145 and 147
Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations -
02/17/12 Notice of Final Rulemaking, Effective 04/17/12 - Commodity Futures Trading Commission
17 CFR Parts 4 and 23
Business Conduct Standards for Swap Dealers and Major Swap Participants Dealing with Counterparties
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02/07/12 Notice of Final Rulemaking, Effective 04/09/12 - Commodity Futures Trading Commission
17 CFR Parts 22 and 190
Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions -
01/19/12 Notice of Final Rulemaking, Effective 03/19/12 - Commodity Futures Trading Commission
17 CFR Parts 3, 23 and 170
Registration of Swap Dealers and Major Swap Participants -
01/13/12 Notice of Final Rulemaking, Effective 03/13/12 - Commodity Futures Trading Commission
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01/11/12 FactSheet - Commodity Futures Trading Commission
Final Rule on the Protection of Cleared Swaps Customer Contracts and Collateral and Conforming Amendments to the Commodity Broker Bankruptcy Provision
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01/11/12 FactSheet - Commodity Futures Trading Commission
Final Rule Regarding Business Conduct Standards for Swap Dealers and Major Swap Participants Dealing with Counterparties
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01/09/12 Notice of Final Rulemaking, Effective 03/09/12 - Commodity Futures Trading Commission
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12/23/11 Notice of Final Rulemaking, Effective 02/21/12 - Commodity Futures Trading Commission
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12/19/11 Notice of Final Rulemaking, Effective 02/17/12 - Commodity Futures Trading Commission
17 CFR Parts 1 and 30
Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions
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11/18/11 Notice of Final Rulemaking, Effective 01/17/12 - Commodity Futures Trading Commission
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17 CFR Part 4 and SEC 17 CFR Parts 275 and 279
Reporting by IA to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF