CFTC and Other Final Rules
     
  • FDIC - Retail Foreign Exchange Transactions
    This final rule is effective July 15, 2011
    http://www.gpo.gov/fdsys/pkg/FR-2011-07-12/pdf/2011-17396.pdf  
  • SEC - Securities Whistleblower Incentives and Protections
    ACTION: Final rule.
    Effective Date: August 12, 2011
    http://www.gpo.gov/fdsys/pkg/FR-2011-06-13/pdf/2011-13382.pdf 
  • SEC- FASB's Accounting Standards: Commission Rules and Forms Related to the FASB's Accounting Standards Codification
    Final rule; technical amendments.
    Effective Date: August 12, 2011.
    http://www.gpo.gov/fdsys/pkg/FR-2011-08-12/pdf/2011-20413.pdf 
  • CFTC - Federal Register: Prohibition on the Employment, or Attempted Employment, of Manipulative and Deceptive Devices on Prohibition on Price Manipulation
    This final rule is effective August 15, 2011
    http://www.cftc.gov/ucm/groups/public/@newsroom/documents/file/
    federalregister070711.pdf

  • SEC - Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
    Final rule; correcting amendment.
    Effective Date: September 1, 2011.
    http://www.gpo.gov/fdsys/pkg/FR-2011-09-01/pdf/2011-22257.pdf
  • CFTC - Federal Register: Agricultural Commodity Definition
    This final rule is effective September 12, 2011
    http://www.cftc.gov/ucm/groups/public/@lrfederalregister/documents
    /file/2011-17626a.pdf

  • Retail Foreign Exchange Transactions; Conforming Changes to
    Existing Regulations in Response to the Dodd-Frank Wall Street Reform and Consumer Protection Act
    ACTION: Final rules; interpretation.
    Effective September 12, 2011.
    http://www.gpo.gov/fdsys/pkg/FR-2011-09-12/pdf/2011-23155.pdf
  • CFTC - Federal Register: Privacy of Consumer Financial Information; Conforming Amendments under Dodd-Frank Act
    This final rule is effective September 20, 2011
    http://www.cftc.gov/ucm/groups/public/@newsroom/documents/file/
    federalregister070711d.pdf

  • CFTC - Federal Register: Large Trader Reporting for Physical Commodity Swaps
    This final rule is effective September 20, 2011
    http://www.cftc.gov/ucm/groups/public/@lrfederalregister/documents/
    file/2011-18054a.pdf

  • CFTC - Removing Any Reference to or Reliance on Credit Ratings in Commission Regulations; Proposing Alternatives to the Use of Credit Ratings
    ACTION: Final rule.
    This rule is effective September 23, 2011.
    http://www.gpo.gov/fdsys/pkg/FR-2011-07-25/pdf/2011-18777.pdf
  • CFTC - Process for Review of Swaps for Mandatory Clearing
    Final rule, effective September 26, 2011
    http://www.gpo.gov/fdsys/pkg/FR-2011-07-26/pdf/2011-18663.pdf
  • CFTC - Provisions Common to Registered Entities
    ACTION: Final Rule.
    Effective date: September 26, 2011
    http://www.gpo.gov/fdsys/pkg/FR-2011-07-27/pdf/2011-18661.pdf
  • CFTC - Provisions Common to Registered Entities; Correction
    This document corrects incorrect text published in the Federal Register of July 27, 2011, regarding Provisions Common to Registered Entities.
    ACTION: Final rule; Correction.
    DATES: Effective date: September 26, 2011.
    http://www.gpo.gov/fdsys/pkg/FR-2011-08-01/pdf/2011-19385.pdf
  • Authority of Judgment Officers to Hear Cases
    ACTION: Final rule.
    Effective Date: October 12, 2011.
    http://www.gpo.gov/fdsys/pkg/FR-2011-10-12/pdf/2011-25898.pdf
  • Whistleblower Incentives and Protection
    Final Rule
    Effective Date: These Final Rules will become effective upon October 24, 2011
    http://www.gpo.gov/fdsys/pkg/FR-2011-08-25/pdf/2011-20423.pdf
  • CFTC - Foreign Futures and Options Contracts on a Non-Narrow-Based Security Index; Commission Certification Procedures
    ACTION: Final rule.
    DATES: Effective Date: October 26, 2011.
    http://www.gpo.gov/fdsys/pkg/FR-2011-09-26/pdf/2011-24609.pdf
  • CFTC - Swap Data Repositories: Registration Standards, Duties and Core Principles
    ACTION: Final rule.
    Effective date is October 31, 2011. Applicants at that time may apply for registration as SDRs but are not required to do so. Mandatory registration and compliance with the registration rules will occur upon the effective date of the swap definition rulemaking, which the Commission will publish at a later date.
    http://www.gpo.gov/fdsys/pkg/FR-2011-09-01/pdf/2011-20817.pdf
  • CFTC - Amendment to July 14, 2011 Order for Swap Regulation
    This final order will be effective on December 23, 2011.
    ACTION: Final order.
    http://www.gpo.gov/fdsys/pkg/FR-2011-12-23/pdf/2011-32841.pdf
  • CFTC - Agricultural Swaps
    ACTION: Final rule.
    Effective Date--December 31, 2011.
    http://www.gpo.gov/fdsys/pkg/FR-2011-08-10/pdf/2011-20337.pdf
  • CFTC - Derivatives Clearing Organization General Provisions and Core Principles; Final Rule
    The rules will become effective January 9, 2012. DCOs must comply with Sec. Sec. 39.11; 39.12; 39.13 (except for 39.13(g)(8)(i)); and 39.14 by May 7, 2012; with Sec. Sec. 39.10(c); 39.13(g)(8)(i); 39.18; 39.19; and 39.20 by November 8, 2012; and all other provisions of these rules by January 9, 2012.
    http://www.gpo.gov/fdsys/pkg/FR-2011-11-08/pdf/2011-27536.pdf
  • CFTC - Position Limits for Futures and Swaps
    ACTION: Final rule and interim final rule.
    SUMMARY: On January 26, 2011, the Commodity Futures Trading Commission (``Commission'' or ``CFTC'') published in the Federal Register a notice of proposed rulemaking (``proposal'' or ``Proposed Rules''), which establishes a position limits regime for 28 exempt and agricultural commodity futures and options contracts and the physical commodity swaps that are economically equivalent to such contracts. The Commission is adopting the Proposed Rules, with modifications.
    DATES: Effective date: The effective date for this final rule and the interim rule at Sec. 151.4(a)(2) is January 17, 2012.
    Comment date: The comment period for the interim final rule will close January 17, 2012.
    Compliance dates: For compliance dates for these final rules, see SUPPLEMENTARY INFORMATION.
    http://www.gpo.gov/fdsys/pkg/FR-2011-11-18/pdf/2011-28809.pdf
  • SEC – Rules Reporting Line for the Commission's Inspector General
    ACTION: Final rule.
    SUMMARY: The Securities and Exchange Commission (``Commission'') is amending its rules to conform them to amendments made to the Inspector General Act of 1978 that require the Commission's Inspector General to report to and be under the general supervision of the full Commission.
    DATES: Effective Date: February 14, 2012.
    http://www.gpo.gov/fdsys/pkg/FR-2012-02-14/pdf/2012-3312.pdf
  • CFTC - Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions (Rule 1.25)
    ACTION: Final rule.
    This rule is effective February 17, 2012. All persons shall be in compliance with this rule not later than June 18, 2012.
    http://www.gpo.gov/fdsys/pkg/FR-2011-12-19/pdf/2011-31689.pdf
  • SEC - Covered Securities of Bats Exchange, Inc.
    Final rule.
    Effective Date: February 24, 2012.
    http://www.gpo.gov/fdsys/pkg/FR-2012-01-25/pdf/2012-1521.pdf
  • CFTC/SEC - Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF;
    Joint final rules
    The effective date for the addition of 17 CFR 4.27 (rule 4.27 under the Commodity Exchange Act), 17 CFR 275.204(b)-1 (rule 204(b)-1 under the Investment Advisers Act of 1940) and 17 CFR 279.9 (Form PF), as well as the revision to the authority citation for 17 CFR part 4, is March 31, 2012. See section III of this Release for compliance dates.
    http://www.gpo.gov/fdsys/pkg/FR-2011-11-16/pdf/2011-28549.pdf
  • CFTC - Registration of Foreign Boards of Trade; Final Rule
    Effective Date--February 21, 2012.
    ACTION: Final rule.
    http://www.gpo.gov/fdsys/pkg/FR-2011-12-23/pdf/2011-31637.pdf
  • SEC - Conduct and Ethics; and Information and Requests
    ACTION: Final rule; technical amendment.
    SUMMARY: The Securities and Exchange Commission (``SEC'' or ``Commission'') is making technical amendments to the rule under which former members and employees of the Commission are required to file with the Commission a statement concerning their practice outside the government. The amendments change the office responsible for processing these statements and provide a means of filing a statement electronically.
    DATES: Effective: March 7, 2012.
    http://www.gpo.gov/fdsys/pkg/FR-2012-03-07/pdf/2012-5454.pdf
  • CFTC - Swap Data Recordkeeping and Reporting Requirements
    ACTION: Final rule.
    The effective date of this rule is March 13, 2012. Please seek the complete Federal Register item for Compliance dates.
    http://www.gpo.gov/fdsys/pkg/FR-2012-01-13/pdf/2011-33199.pdf
  • CFTC - Registration of Swap Dealers and Major Swap Participants
    ACTION: Final rules.
    Effective March 19, 2012.
    http://www.gpo.gov/fdsys/pkg/FR-2012-01-19/pdf/2012-792.pdf
  • CFTC - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
    ACTION: Final rule.
    The rules will become effective April 9, 2012. All parties must comply with the Part 22 rules by November 8, 2012. All parties must comply with the Part 190 rules by April 9, 2012. Prior to the compliance date for the Part 22 rules, the definition of 190.01(pp) (``Cleared Swap'') shall be limited to transactions where the rules or bylaws of a derivatives clearing organization require that such transactions, along with the money, securities, and other property margining, guaranteeing or securing such transactions, be held in a separate account for Cleared Swaps only.
    http://www.gpo.gov/fdsys/pkg/FR-2012-02-07/pdf/2012-1033.pdf
  • CFTC - Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
    Effective Date: These final rules will become effective on April 17, 2012.
    http://www.gpo.gov/fdsys/pkg/FR-2012-02-17/pdf/2012-1244.pdf
  • SEC- Political Contributions by Certain Investment Advisers
    Final rule; technical amendment.
    Effective date: May 15, 2012.
    http://www.gpo.gov/fdsys/pkg/FR-2012-05-15/pdf/2012-11662.pdf
  • CFTC - 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
    DATES: The rules are effective June 4, 2012. Specific compliance dates are discussed in the supplementary information.
    http://www.gpo.gov/fdsys/pkg/FR-2012-04-03/pdf/2012-5317.pdf
  • CFTC - Commodity Options
    ACTION: Final rule and interim final rule.
    DATES: Effective date: The effective date for this final rule and the interim final rule June 26, 2012.
    Comments on § 32.3, the interim final rule portion of this document, must be received on or
    before June 26, 2012.
    http://www.gpo.gov/fdsys/pkg/FR-2012-04-27/pdf/2012-9888.pdf
  • CFTC/SEC - Further Definition of ``Swap Dealer,'' ``Security-Based Swap Dealer,'' ``Major Swap Participant,'' ``Major Security-Based Swap Participant'' and ``Eligible Contract Participant''
    ACTION: Joint final rule; joint interim final rule; interpretations.
    Effective date. The effective date for this joint final rule and joint interim final rule: July 23, 2012, except for CFTC regulations at 17 CFR 1.3(m)(5) and (6), which are effective December 31, 2012.
  • CFTC - Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps
    ACTION: Final rulemaking.
    The effective date of this part is August 13, 2012. Compliance dates: (1) Swap dealers and major swap participants shall commence full compliance with this part with respect to credit swaps and interest rate swaps on the later of: July 16, 2012; or 60 calendar days after publication in the Federal Register of the later of the Commission's final rule defining the term ``swap'' or the Commission's final rule defining the terms ``swap dealer'' and ``major swap participant;'' (2) Swap dealers and major swap participants shall commence full compliance with this part with respect to equity swaps, foreign exchange swaps, and other commodity swaps on or before 90 days after the compliance date for credit swaps and interest rate swaps; (3) Non-SD/MSP counterparties shall commence full compliance with this part with respect to all swaps on or before 90 days after the compliance date applicable to swap dealers and major swap participants with respect to equity swaps, foreign exchange swaps, and other commodity swaps.
    http://www.gpo.gov/fdsys/pkg/FR-2012-06-12/pdf/2012-12531.pdf
  • CFTC - Customer Clearing Documentation, Timing of Acceptance for
    Clearing, and Clearing Member Risk Management
    ACTION: Final rule.
    This rule will become effective October 1, 2012.
    http://www.gpo.gov/fdsys/pkg/FR-2012-04-09/pdf/2012-7477.pdf
  • CFTC Approves Notice of Proposed Rulemaking Prohibiting the Aggregation of Orders to Satisfy Minimum Block Sizes or Cap Size Requirements 
    www.cftc.gov/PressRoom/PressReleases/pr6287-12
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