Final Rules
17 CFR Part 23 Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants
PDF Version
17 CFR Part 23 Confirmation, Portfolio Reconciliation, and Portfolio Compression Requirements for Swap Dealers and Major Swap Participants
PDF Version
17 CFR Part 23 Orderly Liquidation Termination Provision in Swap Trading Relationship Documentation for Swap Dealers and Major Swap Participants
PDF Version
17 CFR Part 23 Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants
PDF Version
17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
17 CFR Part 4 Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act
PDF Version
17 CFR Part 4 Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act
PDF Version
17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
17 CFR Part 3 Registration of Intermediaries
PDF Version
17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data; Correction
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data Correction
PDF Version
17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
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
PDF Version
Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Part 240 Further Definition of ``Swap,'' ``Security-Based Swap,'' and ``Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap
Agreement Recordkeeping
PDF Version
Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Part 240 Further Definition of ``Swap,'' ``Security-Based Swap,'' and ``Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
17 CFR Part 50 Swap Transaction Compliance and Implementation Schedule: Clearing Requirement Under Section 2(h) of the CEA
PDF Version
17 CFR Parts 37, 38, and 39 Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA
17 CFR Part 39 End-User Exception to the Clearing Requirement for Swaps
PDF Version
17 CFR Part 39 End-User Exception to Mandatory Clearing of Swaps
PDF Version
17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
17 CFR Chapter I Second Amendment to July 14, 2011 Order for Swap Regulation
PDF Version
17 CFR Chapter 1 Second Amendment to July 14, 2011 Order for Swap Regulation
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
PDF Version
17 CFR Part 1 Securities and Exchange Commission 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''
PDF Version
17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
PDF Version
Commodity Futures Trading Commission 17 CFR Part 1; Securities and Exchange Commission 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''
17 CFR Part 38 Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management; Core Principles and Other Requirements for Designated Contract Markets; Correction
PDF Version
17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contract 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 PDF Version
17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contact Markets
PDF Version
17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
PDF Version
17 CFR Parts 1, 23, and 39 Customer Clearing Documentation and Timing of Acceptance for Clearing
PDF Version
17 CFR Parts 1, 23, 37, 38, and 39 Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management
PDF Version
17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contract Markets
17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contract Markets
PDF Version
17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contract 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 PDF Version
17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contact Markets
PDF Version
17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
PDF Version
17 CFR Part 38 Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management; Core Principles and Other Requirements for Designated Contract Markets; Correction
17 CFR Part 46 Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps
PDF Version
17 CFR Part 46 Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps
Commodity Futures Trading Commission 17 CFR Part 1; Securities and Exchange Commission 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''
PDF Version
17 CFR Part 1 Securities and Exchange Commission 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''
PDF Version
17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
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
17 CFR Parts 3, 32, and 33 Commodity Options
PDF Version
17 CFR Parts 3, 32, 33, and 35 Commodity Options and Agricultural Swaps
PDF Version
17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
17 CFR Parts 1, 23, 37, 38, and 39 Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management
PDF Version
17 CFR Parts 1, 23, and 39 Customer Clearing Documentation and Timing of Acceptance for Clearing
PDF Version
17 CFR Part 38 Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management; Core Principles and Other Requirements for Designated Contract Markets; Correction
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
PDF Version
17 CFR Part 1 Implementation of Conflicts of Interest Policies and Procedures by Futures Commission Merchants and Introducing Brokers
PDF Version
17 CFR Part 3 Designation of a Chief Compliance Officer; Required Compliance Policies; and Annual Report of a Futures Commission Merchant, Swap Dealer, or Major Swap Participant
PDF Version
17 CFR Parts 3, 23 and 170 Registration of Swap Dealers and Major Swap Participants
PDF Version
17 CFR Part 23 Implementation of Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants
PDF Version
17 CFR Part 23 Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants
PDF Version
17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations
PDF Version
17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations; Proposed Rule
*Note – This Proposed Rule contains forms which are not displayed in the HTML version. To see the complete proposal, download the PDF version.
PDF Version
17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations
17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations
PDF Version
17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations; Proposed Rule
*Note – This Proposed Rule contains forms which are not displayed in the HTML version. To see the complete proposal, download the PDF version.
PDF Version
17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations
17 CFR Parts 4 and 23 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
PDF Version
17 CFR Parts 23 and 155 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
PDF Version
17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
PDF Version
17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
PDF Version
17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions; Correction
*Note – This Correction contains charts which are not displayed in the HTML version. To see the complete correction, download the PDF version.
17 CFR Parts 3 and 23 Registration of Swap Dealers and Major Swap Participants; Correction
PDF Version
17 CFR Part 23 Regulations Establishing and Governing the Duties of Swap Dealers and Major Swap Participants
PDF Version
17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
PDF Version
17 CFR Parts 1, 3, 23, and 170 Registration of Swap Dealers and Major Swap Participants
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data Correction
PDF Version
17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data; Correction
17 CFR Parts 1, 3, 23, and 170 Registration of Swap Dealers and Major Swap Participants
PDF Version
17 CFR Parts 3, 23 and 170 Registration of Swap Dealers and Major Swap Participants
PDF Version
17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
PDF Version
17 CFR Parts 3 and 23 Registration of Swap Dealers and Major Swap Participants; Correction
17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements
PDF Version
17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements
PDF Version
17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data Correction
PDF Version
17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data
PDF Version
17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data; Correction
