Process for Review of Swaps

Process for Review of Swaps for Mandatory Clearing

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 44441 // PDF Version
7/30/2011
17 CFR Part 50 Swap Transaction Compliance and Implementation Schedule: Clearing Requirement under Section 2(h) of the CEA
Effective Date: September 28, 2012

Proposed Rule: 76 FR 58186 // PDF Version
9/20/2011
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
Comment File - Closing Date: 11/4/2011

Final Rule: 76 FR 44464 // PDF Version
7/25/2011
17 CFR Parts 39 and 140 Process for Review of Swaps for Mandatory Clearing
Effective Date: September 26, 2011

Proposed Rule: 75 FR 67277 // PDF Version
11/2/2010
17 CFR Parts 39 and 140 Process for Review of Swaps for Mandatory Clearing
Comment File - Extended Date: 6/3/2011

Additional Information

Fact Sheet: Final Rule: Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management
Q&A: Final Rule: Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management

Event: CFTC to Hold Open Meeting to Consider One Final Rule

Fact Sheet: Process for Review of Swaps for Mandatory Clearing
Q&A: Process for Review of Swaps for Mandatory Clearing

Event: Open Meeting on Three Final Rule Proposals and Two Proposed Rules under the Dodd-Frank Act

Fact Sheet: Proposed Rule on Process for Review of Swaps for Mandatory Clearing
Q&A: Swap Review Process

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