CFTC Considers Another Round of Dodd-Frank Rulemakings: Background Documents Released (Nov. 10, 2010)

The Commodity Futures Trading Commission is holding a public meeting today to consider several proposed rules as required by the Dodd-Frank law. These rules address such issues as the registration of foreign boards of trade, conflicts of interest for swap dealers and futures commission merchants, the duties of swap dealers and major swap participants, whistleblower incentives and the designation of chief compliance officers. Please find below a series of explanatory fact sheets and Q&A sheets that were prepared by the CFTC staff as background material for these rule-makings.

Proposed Rules Regarding Registration of Swap Dealers and Major Swap Participants
Registration Process Rules for Swaps Entities Q&A
Notice of Proposed Rulemaking on Whistleblower Incentives and Protection
Notice of Proposed Rulemaking Q & A
Proposed Rule on Duties for Swap Dealers and Major Swap Participants
Proposed Rulemaking Q & A – Duties for Swap Dealers and Major Swap Participants
Proposed Rules Regarding the Registration of Foreign Boards of Trade
Proposed Rulemaking Q & A – Registration of Foreign Boards of Trade
Proposed Rule on Designation of Chief Compliance Officer and Preparation of Annual Compliance Report
Proposed Rulemaking Q & A – Designation of Chief Compliance Officer and Preparation of Annual Compliance Report
Proposed Rule on Conflicts of Interest for Swap Dealers, Major Swap Participants, Futures Commission Merchants, and Introducing Brokers
Proposed Rulemaking Q & A – Conflicts of Interest for Swap Dealers, Major Swap Participants, Futures Commission Merchants, and Introducing Brokers