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View Dodd-Frank Proposed Rules, Guidance and Exemptive OrdersView all Dodd-Frank Guidance, Advisories and QuestionsCurrently Effective Staff Letters

The finalization manner is ongoing. The CFTC has now finalized seventy nine rules, exemptive orders and steerage actions and 7 different actions.

Final Rules, very last steering, very last exemptive orders, and different very last movements

86 FR 9224 // PDF Version 02/eleven/2021 17 CFR Part 37 Swap Execution Facilities Effective Date: Wednesday, May 12, 2021

Rulemaking: XIII. SEF Registration

See also:83 FR 61946, eleven/30/2018 // PDF Version 17 CFR Parts 9, 36, 37, 38, 39, and forty three Swap Execution Facilities and Trade Execution Requirement

84 FR 3350, 2/12/2019 // PDF Version 17 CFR Parts 9, 36, 37, 38, 39, and forty three Swap Execution Facilities and Trade Execution Requirement

86 FR 3236 // PDF Version 17 CFR Parts 1, 15, 17, 19, forty, 140, one hundred fifty and 151 Position Limits for Derivatives Effective Date: Monday, March 15, 2021Rulemaking: Position Limits for Derivatives and Aggregation of Positions

86 FR 229 // PDF Version 17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants Effective Date: Thursday, February four, 2021

85 FR 78718 // PDF Version 17 CFR Part 3 Exemption From Registration for Certain Foreign Intermediaries Effective Date: Friday, February five, 2021Rulemaking: Internal Business Conduct StandardsSee also:81 FR 51824, eight/five/2016 // PDF Version 17 CFR Part 3 Exemption From Registration for Certain Foreign Persons85 FR 35820, 6/12/2020 // PDF Version 17 CFR Part three Exemption From Registration for Certain Foreign Persons Acting as Commodity Pool Operators of Offshore Commodity Pools

85 FR 71772 // PDF Version17 CFR Part 4 Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQREffective Date: Tuesday, December 22, 2020

Rulemaking: Investment Adviser ReportingSee additionally:85 FR 26378, five/4/2020 // PDF Version 17 CFR Part 4 Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR

85 FR 76428 // PDF Version 17 CFR Part 50 Swap Clearing Requirement Exemptions Effective Date: Wednesday, December 30, 2020Rulemaking: Exceptions and ExemptionsSee additionally:eighty three FR 44001, 8/29/2018 // PDF Version 17 CFR Part 50 Amendments to Clearing Exemption for Swaps Entered Into by Certain Bank Holding Companies, Savings and Loan Holding Companies, and Community Development Financial Institutions

eighty five FR 27955, 5/12/2020 // PDF Version 17 CFR Part 50 Swap Clearing Requirement Exemptions

eighty five FR 67160 // PDF Version17 CFR Parts 39 and a hundred and forty Registration with Alternative Compliance for Non-U.S. Derivatives Clearing OrganizationsEffective Date: Friday, November 20, 2020Rulemaking: DCOs

See additionally:84 FR 34819, 7/19/2019 // PDF Version17 CFR Parts 39 and a hundred and forty Registration with Alternative Compliance for Non-U.S. Derivatives Clearing Organizations

84 FR 49072, 9/18/2019 // PDF Version17 CFR Parts 39 and one hundred forty Registration with Alternative Compliance for Non-U.S. Derivatives Clearing Organizations

85 FR 75422 // PDF Version 11/25/2020 17 CFR Part 43 Real-Time Public Reporting Requirements Effective Date: Monday, January 25, 2021Rulemaking: Real-Time ReportingSee also:eighty five FR 21516, four/17/2020 // PDF Version 17 CFR Part forty three Amendments to the Real-Time Public Reporting Requirements

eighty five FR 75503 // PDF Version 11/25/2020 17 CFR Parts forty five, forty six, and 49 Swap Data Recordkeeping and Reporting Requirements Effective Date: Monday, January 25, 2021Rulemaking: Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation & GuidanceSee additionally:85 FR 21578, 4/17/2020 // PDF Version 17 CFR Parts forty five, 46, and 49 Amendments to the choices Swap Data Recordkeeping and Reporting Requirements

85 FR 75601 // PDF Version 11/25/2020 17 CFR Parts 43, 45, and forty nine Certain Swap Data Repository and Data Reporting Requirements Effective Date: Monday, January 25, 2021Rulemaking: Data RecordkeepingSee additionally:84 FR 21044, 5/13/2019 // PDF Version 17 CFR Parts 23, forty three, 45, and 49 Certain Swap Data Repository and Data Reporting Requirements

eighty five FR 57562 // PDF Version 17 CFR Parts 1, 23, and 140 Capital Requirements of Swap Dealers and Major Swap Participants Effective Date: Monday, November sixteen, 2020Rulemaking: Capital & MarginSee additionally:eighty one FR 91252, 12/sixteen/2016 // PDF Version17 CFR Parts 1, 23, and a hundred and forty Capital Requirements of Swap Dealers and Major Swap Participants

85 FR 56924 // PDF Version 17 CFR Part 23 Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants Effective Date: Friday, November 13, 2020Rulemaking: Cross-Border Application of Swaps ProvisionsSee additionally:85 FR 952 , 1/eight/2020 // PDF Version17 CFR Part 23 Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants; Proposed Rule

eighty five FR 44170 // PDF Version 17 CFR Part 50 Exemption From the Swap Clearing Requirement for Certain Affiliated Entities–Alternative Compliance Frameworks for Anti-Evasionary Measures Effective Date: Friday, August 21, 2020Rulemaking: Exceptions and ExemptionsSee additionally:eighty four FR 70446, 12/23/2019 // PDF Version17 CFR Part 50 Exemption From the choices Swap Clearing Requirement for Certain Affiliated Entities–Alternative Compliance Frameworks for Anti-Evasionary Measures

eighty five FR 27674 // PDF Version17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants Effective Date: Wednesday, June 10, 2020Rulemaking: Capital & MarginSee additionally:eighty four FR 56392, 10/22/2019 // PDF Version17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

85 FR 4800 // PDF Version17 CFR Parts 1, 39, and a hundred and forty Derivatives Clearing Organization General Provisions and Core Principles Effective Date: Sunday, January 26, 2020Rulemakings: DCO Core Principles and Systemically Important DCO Rules

84 FR 12065 // PDF Version17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participant Effective Date: Monday, April 1, 2019Rulemaking: Capital & Margin

84 FR 12450 // PDF Version17 CFR Part 1 De Minimis Exception to the choices Swap Dealer Definition–Swaps Entered Into through Insured Depository Institutions in Connection With Loans to Customers Effective Date: Monday, April 1, 2019Rulemaking: Further definition of Swap Dealer, Major Swap Participant, Security-Based Swap Dealer, and Major Security-Based Swap Participant

eighty three FR 60341 // PDF Version17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants Effective Date: Wednesday, December 26, 2018Rulemaking: Capital & MarginSee additionally:83 FR 23842, 5/23/2018 // PDF Version17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

83 FR 56666 // PDF Version17 CFR Part 1 De Minimis Exception to the Swap Dealer Definition Effective Date: Tuesday, November 13, 2018Rulemaking: Further definition of Swap Dealer, Major Swap Participant, Security-Based Swap Dealer, and Major Security-Based Swap ParticipantSee also:83 FR 27444, 6/12/2018 // PDF Version17 CFR Part 1 De Minimis Exception to the choices Swap Dealer Definition

83 FR 43510 // PDF Version17 CFR Part 3 Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants Effective Date: Wednesday, September 26, 2018Rulemaking: Capital & MarginSee additionally:eighty two FR 21330, 5/8/2017 // PDF Version17 CFR Part 3 Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments

eighty three FR 27410 // PDF Version17 CFR Part 49 Amendments to the choices Swap Data Access Provisions of Part forty nine and Certain Other Matters Effective Date: Monday, August thirteen, 2018Rulemaking: Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation & Guidance See also:eighty two FR 8369 // PDF Version17 CFR Part 49 Proposed Amendments To Swap Data Access Provisions and Certain Other Matters Effective Date: Wednesday, January 25, 2017

eighty two FR 45433 // PDF Version17 CFR Part 38 Commission Delegated Authority Provisions for Designated Contract Markets’ System Safeguards Requirements Effective Date: Friday, September 29, 2017Rulemaking: Process for Designated Contract Market and Swap Execution Facility to Make a Swap Available to Trade

eighty one FR 91454 // PDF Version17 CFR Part one hundred fifty Aggregation of Positions Effective Date: Tuesday, February 14, 2017Rulemaking: Position Limits for Derivatives and Aggregation of Positions

81 FR 80563 // PDF Version17 CFR Part three Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates Effective Date: Wednesday, November sixteen, 2016Rulemaking: Business Conduct Standards – InternalSee additionally:81 FR 53343, 8/12/2016 // PDF Version17 CFR Part three Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates

eighty one FR 71202 // PDF Version17 CFR Part 50 Clearing Requirement Determination Under Section 2(h) of the choices Commodity Exchange Act for Interest Rate Swaps Effective Date: Tuesday, December 13, 2016Rulemaking: Clearing Requirement

eighty one FR 41736 // PDF Version17 CFR Part 45 Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps Effective Date: Wednesday, July 27, 2016Rulemaking: Data Recordkeeping

eighty one FR 636 // PDF Version17 CFR Parts 23 and one hundred forty Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants Effective Date: Friday, April 01, 2016Rulemaking: Capital & Margin

79 FR 57767 // PDF Version17 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, 2014Rulemaking: Registration – Swap Dealers and Major Swap Participants

seventy nine FR 5808 // PDF Version17 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, 2014Rulemaking: Volcker Rule

seventy eight FR 72476 // PDF Version17 CFR Parts 39, a hundred and forty, and a hundred ninety Derivatives Clearing Organizations and International Standards Effective Date: Tuesday, December 31, 2013Rulemakings: DCO Core Principles andSystemically Important DCO Rules

78 FR 66621 // PDF Version17 CFR Parts 23 and a hundred ninety Protection 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, 2014Rulemaking: Segregation & Bankruptcy for each Cleared and Uncleared Swaps

seventy eight FR 64173 // PDF Version17 CFR Part 23 Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees Effective Date: Wednesday, November 27, 2013Rulemaking: Registration – Swap Dealers and Major Swap Participants

seventy eight FR 52286 // PDF Version17 CFR Part 50 Clearing Exemption for Certain Swaps Entered Into by way of Cooperatives Effective Date: Monday, September 23, 2013Rulemaking: Exceptions and Exemptions

78 FR 52308 // PDF Version17 CFR Part four Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators Effective Date: Thursday, August 22, 2013Rulemaking: Investment Adviser Reporting

seventy eight FR 49663 // PDF Version17 CFR Part 39 Enhanced Risk Management Standards for Systemically Important Derivatives Clearing Organizations Effective Date: Tuesday, October 15, 2013

78 FR 45292 // PDF Version17 CFR Chapter I Interpretive Guidance and Policy Statement Regarding Compliance With Certain Swap Regulations Effective Date: Friday, July 26, 2013Rulemaking: Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation & Guidance

78 FR 43785 // PDF Version17 CFR Chapter I Exemptive Order Regarding Compliance With Certain Swap Regulations Effective Date: Saturday, July thirteen, 2013Rulemaking: Cross-Border Application of Swaps Provisions

seventy eight FR 36606 // PDF Version17 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 choices Commodity Exchange Act Effective Date: Monday, August 05, 2013Rulemakings: SEF Registration Requirements and Core Principle Rulemaking, Interpretation & Guidance and Process for Designated Contract Market or Swap Execution Facility to make a Swap Available to Trade

78 FR 33476 // PDF Version17 CFR Part 37 Core Principles and Other Requirements for Swap Execution Facilities Effective Date: Monday, August 05, 2013Rulemaking: SEF Registration Requirements and Core Principle Rulemaking, Interpretation & GuidanceSee additionally:seventy eight FR 47154 // PDF Version17 CFR Part 37 Core Principles and Other Requirements for Swap Execution Facilities; Correction Effective Date: Monday, August 05, 2013

78 FR 32866 // PDF Version17 CFR Part 43 Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades Effective Date: Tuesday, July 30, 2013Rulemaking: Real-Time ReportingSee additionally:78 FR 42436 // PDF Version17 CFR Part 43 Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Correction Effective Date: Tuesday, July 30, 2013

78 FR 31890 // PDF VersionAntidisruptive Practices Authority Effective Date: Tuesday, May 28, 2013Rulemaking: Disruptive Trading Practices

seventy eight FR 23638 // PDF VersionCommodity 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, 2013Rulemaking: Joint Rules w/ SEC

seventy eight FR 21749 // PDF Version17 CFR Part 50 Clearing Exemption for Swaps Between Certain Affiliated Entities Effective Date: Monday, June 10, 2013Rulemaking: Exceptions and Exemptions

78 FR 20788 // PDF Version17 CFR Parts three and 23 Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants Effective Date: Friday, June 07, 2013

seventy eight FR 19879 // PDF VersionFinal Order in Response to a Petition From Certain Independent System Operators and Regional Transmission Organizations To Exempt Specified Transactions Authorized by using a Tariff or Protocol Approved by the choices Federal Energy Regulatory Commission or the choices Public Utility Commission of Texas From Certain Provisions of the choices Commodity Exchange Act Pursuant to the choices Authority Provided inside the Act Effective Date: Tuesday, April 02, 2013

78 FR 19670 // PDF VersionOrder Exempting, Pursuant to Authority of the choices Commodity Exchange Act, Certain Transactions Between Entities Described in the Federal Power Act, and Other Electric Cooperatives Effective Date: Tuesday, April 02, 2013

eight FR 858 // PDF Version17 CFR Chapter I Final Exemptive Order Regarding Compliance With Certain Swap Regulations Effective Date: Friday, December 21, 2012Rulemaking: Cross-Border Application of Swaps Provisions

seventy seven FR 75523 // PDF Version17 CFR Part 1 Adaptation of Regulations To Incorporate Swaps–Records of Transactions Effective Date: Tuesday, February 19, 2013Rulemaking: Conforming AmendmentsSee also:seventy eight FR 21045// PDF Version17 CFR Part 1 Adaptation of Regulations to Incorporate Swaps–Records of Transactions; Correction Effective Date: Tuesday, April 09, 2013

seventy seven FR 74284 // PDF Version17 CFR Parts 39 and 50 Clearing Requirement Determination Under Section 2(h) of the choices CEA Effective Date: Monday, February 11, 2013Rulemaking: Clearing Requirement

seventy seven FR 66288// PDF Version17 CFR Parts 1, four, five, 7, 8, 15, sixteen, 18, 21, 22, 36, 38, forty one, one hundred forty, a hundred forty five, a hundred and fifty five, and 166 Adaptation of Regulations To Incorporate Swaps Effective Date: Wednesday, January 02, 2013Rulemaking: Conforming Amendments

77 FR 65177 // PDF VersionSwap Data Repositories: Interpretative Statement Regarding the choices Confidentiality and Indemnification Provisions of the choices Commodity Exchange Act. Effective Date: Thursday, October 25, 2012Rulemaking: Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation & Guidance

7 FR 55904 // PDF Version17 CFR Part 23 Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants Effective Date: Tuesday, November 13, 2012Rulemaking: Business Conduct Standards – InternalSee also:seventy eight FR 21045 // PDF Version17 CFR Part 23 Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants; CorrectionEffective Date: Tuesday, April 09, 2013

seventy seven FR 54355 // PDF Version17 CFR Part four Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the choices Dodd-Frank Act Effective Date: Monday, November 05, 2012Rulemaking: Conforming Amendments

seventy seven FR 51898 // PDF Version17 CFR Part 3 Registration of Intermediaries Effective Date: Monday, October 29, 2012Rulemaking: Conforming Amendments

seventy seven FR 48207 // PDF VersionCommodity 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 Effective Date: Friday, October 12, 2012Rulemaking: Further Definition of “Swap,” “Security-Based Swap,” “Security Based Swap Agreement,” and Mixed Swaps

seventy seven FR 44441 // PDF Version17 CFR Part 50 Swap Transaction Compliance and Implementation Schedule: Clearing Requirement under Section 2(h) of the CEA Effective Date: Friday, September 28, 2012Rulemakings: Process for Review of Swaps for Mandatory Clearing and Clearing Requirement

seventy seven FR 42559 // PDF Version17 CFR Part 39 End-User Exception to the Clearing Requirement for Swaps Effective Date: Friday, September 17, 2012Rulemaking: Exceptions and Exemptions

seventy seven FR 36611 // PDF Version17 CFR Parts, 1, 16, and 38 Core Principles and Other Requirements for Designated Contract Markets Effective Date: Monday, August 20, 2012Rulemaking: DCM Core Principle Rulemaking, Interpretation & Guidance

seventy seven FR 35200 // PDF Version17 CFR Part 46 Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps Effective Date: Monday, August 13, 2012Rulemaking: Data Recording & Reporting Requirements

77 FR 41260 // PDF Version17 CFR Chapter I Second Amendment to July 14, 2011 Order for Swap Regulation Effective Date: Tuesday, July 03, 2012

77 FR 21278 // PDF Version17 CFR Parts 1,23,37,38, and 39 Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management Effective Date: October 1, 2012Rulemaking: DCO Core Principles

77 FR 20128 // PDF Version17 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 Effective Date: Monday, June four, 2012Rulemaking: Business Conduct Standards – Internal

77 FR 11252 // PDF Version17 CFR Parts 4, 145 and 147 Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations Effective Date: Tuesday, April 24, 2012Rulemaking: Investment Adviser Reporting

See additionally:seventy seven FR 17328 // PDF Version17 CFR Parts 4, one hundred forty five, and 147 Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations; Correction: April 26, 2012

seventy seven FR 9734 // PDF Version17 CFR Parts 4 and 23 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties Effective Date: April 17, 2012Rulemaking: Business Conduct Standards with Counterparties

77 FR 6336 // PDF Version17 CFR Parts 22 and a hundred ninety Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions Effective Date: Monday, April 9, 2012

seventy seven FR 2613 // PDF Version17 CFR Parts 3, 23 and 170 Registration of Swap Dealers and Major Swap Participants Effective Date: Monday, March 19, 2012Rulemaking: Registration – Swap Dealers and Major Swap ParticipantsSee additionally:seventy seven FR 2708 // PDF VersionPerformance of Registration Functions with the aid of National Futures Association With Respect to Swap Dealers and Major Swap Participants Effective Date: Thursday, January 19, 2012

77 FR 2136 // PDF Version17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements Effective Date: March 13, 2012Rulemaking: Data Recordkeeping & Reporting Requirements

77 FR 1182 // PDF Version17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data Effective Date: Friday, March 9, 2012Rulemaking: Real Time ReportingSee additionally:77 FR 2909 // PDF Version17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data; Correction: January, 20, 2012

seventy seven FR 48060 // PDF Version17 CFR Part forty three Real-Time Public Reporting of Swap Transaction Data; Correction: August 13, 2012

seventy six FR 80674 // PDF Version17 CFR Part 48 Registration of Foreign Boards of Trade Effective Date: Tuesday, February 21, 2012Regarding Rulemaking: FBOT Registration

76 FR 80233 // PDF Version17 CFR Chapter 1 Amendment to July 14, 2011 Order for Swap Regulation Effective Date: Friday, December 23, 2011Rulemaking: Conforming Amendments

seventy six FR 78776 // PDF Version17 CFR Parts 1 and 30 Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions Effective Date: Thursday February 17, 2012Rulemaking: Alternatives to Credit Ratings

seventy six FR 71128 // PDF VersionCFTC 17 CFR Part four 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 Effective Date: Saturday, March 31, 2012Rulemaking: Investment Adviser Reporting

seventy six FR 69334 // PDF Version17 CFR Parts 1, 21, 39, and a hundred and forty Derivatives Clearing Organization General Provisions and Core Principles Effective Date: Monday, January nine, 2012Rulemaking: DCO Core Principles

76 FR 56103 // PDF Version17 CFR Part 5 Retail Foreign Exchange Transactions; Conforming Changes to Existing Regulations in Response to the choices Dodd-Frank Wall Street Reform and Consumer Protection Act Effective Date: Monday, September 12, 2011Rulemaking: Foreign Currency (Retail Off Exchange)

seventy six FR 54538 // PDF Version17 CFR Part forty nine Swap Data Repositories: Registration Standards, Duties and Core Principles Effective Date: Monday, October 31, 2011Rulemaking: Swap Data Repositories Registration

76 FR 53172 // PDF Version17 CFR Part a hundred sixty five Final Rules for Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act Effective Date: Monday, October 24, 2011Rulemaking: Whistleblowers

76 FR 49291 // PDF Version17 CFR Part 35 Agricultural Swaps Effective Date: Saturday, December 31, 2011Rulemaking: Agricultural Swaps

seventy six FR 44776 // PDF Version17 CFR Part 40 Provisions Common to Registered Entities Effective Date: Monday, September 26, 2011Rulemaking: Rule Certification & Approval Procedures (relevant to DCMs, DCOs, SEFs)See also:76 FR 45666 // PDF VersionCorrection: 17 CFR Part forty Provisions Common to Registered Entities; Correction

seventy six FR 44464 // PDF Version17 CFR Parts 39 and a hundred and forty Process for Review of Swaps for Mandatory Clearing Effective Date: Monday, September 26, 2011Rulemaking: Process for Review of Swaps for Mandatory Clearing

76 FR 44262 // PDF Version17 CFR Parts 1 and four Removing Any Reference to or Reliance on Credit Ratings in Commission Regulations; Proposing Alternatives to the choices Use of Credit Ratings Effective Date: Friday, September 23, 2011Rulemaking: Alternatives to Credit Ratings

seventy six FR 43851 // PDF Version17 CFR Parts 15 and 20 Large Trader Reporting for Physical Commodity Swaps Effective Date: Tuesday, September 20, 2011Rulemaking: Large Swaps Trader Reporting

seventy six FR 43874 // PDF Version17 CFR Part 160 Privacy of Consumer Financial Information; Conforming Amendments beneath Dodd-Frank Act Effective Date: Tuesday, September 20, 2011Rulemaking: Fair Credit Reporting Act and Gramm-Leach Bliley Act

seventy six FR 43879 // PDF Version17 CFR Part 162 Business Affiliate Marketing and Disposal of Consumer Information Rules Effective Date: Tuesday September 20, 2011Rulemaking: Fair Credit Reporting Act and Gramm-Leach Bliley Act

seventy six FR 42508 // PDF Version17 CFR Chapter 1 Effective Date for Swap Regulation Effective Date: Thursday, July 14, 2011

seventy six FR 41398 // PDF Version17 CFR Part 180 Prohibition on the choices Employment, or Attempted Employment, of Manipulative and Deceptive Devices – Prohibition on Price Manipulation Effective Date: Monday, August 15, 2011Rulemaking: Anti-Manipulation

seventy six FR 41048 // PDF Version17 CFR Part 1 Agricultural Commodity Definition Effective Date: Monday, September 12, 2011Rulemaking: Agricultural Commodity Definition

75 FR 55410 // PDF Version17 CFR Parts 1, 3, four, five, 10, a hundred and forty, 145, 147, 160, and 166 Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries Effective Date: Monday, October 18, 2010Rulemaking: Foreign Currency (Retail Off Exchange)See additionally:75 FR 55310 // PDF VersionPerformance of Registration Functions through National Futures Association With Respect to Retail Foreign Exchange Dealers and Associated Persons Effective Date: Friday, September 10, 2010Rulemaking: Foreign Currency (Retail Off Exchange)

Amended and Restated Order of Limited Purpose Designation for Cargill, Incorporated

Amended and Restated Order of a Limited Purpose Designation for State Street Bank and Trust Company

Order of Exemption re: U.S. Bank National Association

82 FR 50309 // PDF Version17 CFR Part 1 Order Establishing a New De Minimis Threshold Phase-In Termination Date

Commission Statement Concerning a Request for an Interpretation as to Whether a Particular Agreement Is a Swap, Security-Based Swap, or Mixed Swap Requesting Submission

eighty one FR 71605 // PDF Version17 CFR Part 1 Order Establishing De Minimis Threshold Phase-In Termination Date

Order re: State Street Bank and Trust Company

Notice Regarding LEIs that can be used to Comply with CFTC LEI Requirements

Order of Limited Purpose Designations for Cargill, Incorporated and an Affiliate

Order re: Treatment of Funds Held in Connection with Clearing by using ICE Clear Europe Limited of Credit Default Swaps

Order: ICE Clear Credit 4d(f) Portfolio Margining

77 FR 53870 // PDF VersionAvailability of a Legal Entity Identifier Meeting the choices Requirements of the Regulations of the choices Commodity Futures Trading Commission and Designation of Provider of Legal Entity Identifiers To Be Used within the Recordkeeping and Swap Data Reporting.