United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2012_register executive 2012-01-13 article Part II Rules and Regulations D09002ee1c7fdb7eb D09002ee1c7fdb8f0 United States Commodity Futures Trading Commission originator org United States Government Agency or Subagency The Commodity Futures Trading Commission ("Commission" or "CFTC") is adopting rules to implement the Commodity Exchange Act ("CEA" or "Act") relating to swap data recordkeeping and reporting requirements. These sections of the CEA were added by the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"). The rules being adopted apply to swap data recordkeeping and reporting requirements for swap data repositories, derivatives clearing organizations, designated contract markets, swap execution facilities, swap dealers, major swap participants, and swap counterparties who are neither swap dealers nor major swap participants. The recordkeeping and reporting requirements of this rule further the goals of the Dodd-Frank Act to reduce systemic risk, increase transparency and promote market integrity within the financial system. 77 FR 2136 https://www.govinfo.gov/app/details/FR-2012-01-13/2011-33199 2011-33199 fr13ja12-7 RIN 3038-AD19 6351-01-P https://www.govinfo.gov/app/details/FR-2012-01-13/2011-33199 https://www.govinfo.gov/content/pkg/FR-2012-01-13/html/2011-33199.htm https://www.govinfo.gov/content/pkg/FR-2012-01-13/pdf/2011-33199.pdf Swaps Data Recordkeeping Requirements and Data Reporting Requirements 89 p. 2136 2224 77 FR 2136 Title 17 Part 45 17 CFR Part 45 RIN 3038-AD19 Swap Data Recordkeeping and Reporting Requirements; Federal Register Vol. 77, Issue RULE 2011-33199 II COMMODITY FUTURES TRADING COMMISSION 2012-03-13 2012-07-16 6351-01-P 2011-33199 Final rule.

The Commodity Futures Trading Commission ("Commission" or "CFTC") is adopting rules to implement the Commodity Exchange Act ("CEA" or "Act") relating to swap data recordkeeping and reporting requirements. These sections of the CEA were added by the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"). The rules being adopted apply to swap data recordkeeping and reporting requirements for swap data repositories, derivatives clearing organizations, designated contract markets, swap execution facilities, swap dealers, major swap participants, and swap counterparties who are neither swap dealers nor major swap participants. The recordkeeping and reporting requirements of this rule further the goals of the Dodd-Frank Act to reduce systemic risk, increase transparency and promote market integrity within the financial system.

The effective date of this rule is March 13, 2012. Compliance dates: (1) Swap execution facilities, designated contract markets, derivatives clearing organizations, swap data repositories, 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 the 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 execution facilities, designated contract markets, derivatives clearing organizations, swap data repositories, 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 execution facilities, designated contract markets, derivatives clearing organizations, swap data repositories, swap dealers, and major swap participants with respect to equity swaps, foreign exchange swaps, and other commodity swaps. David Taylor, Associate Director, Division of Market Oversight, (202) 418-5488, dtaylor@cftc.gov, or Anne Schubert, Economist, Division of Market Oversight, (202) 418-5436, aschubert@cftc.gov; Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20851. Swaps Data Recordkeeping Requirements and Data Reporting Requirements Swap Data Recordkeeping and Reporting Requirements , aschubert@cftc.gov dtaylor@cftc.gov http://comments.cftc.gov/PublicComments/CommentList.aspx?id=920 http://fcic-static.law.stanford.edu/cdn_media/fcic-docs/2005-07-25%20Counterparty%20Risk%20Management%20Policy%20Group-%20Toward%20Greater%20Financial%20Stability.pdf http://www.bis.org/publ/cpss96.pdf http://www.cftc.gov http://www.g20.org/Documents/pittsburgh_summit_leaders_statement_250909.pdf http://www.g20.org/Documents2011/10/G20%20communiqu http://www.g20.org/Documents2011/11/Cannes%20Declaration%204%20November%202011.pdf http://www.sec.gov/news/studies/2011/719b-study.pdf http://www.sifma.org/LEI-Industry-Requirements/ http://www.sifma.org/uploadedfiles/issues/technology_and_operations/legal_entity_identifier/lei-project-summary-slides.pdf http://www.treasury.gov/initiatives/Documents/OFR_LEI_Policy_Statement-FINAL.PDF http://www.whitehouse.gov/the-press-office/2011/11/04/g-20-fact-sheet-us-financial-reform-and-g-20-leaders-agenda https://www.financialstabilityboard.org/press/pr_110718.pdf Reval.com Vol. 77, no. 9 Office of the Federal Register, National Archives and Records Administration 2012-01-13 continuing daily deposited born digital 224 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2012-01-13 P0b002ee1817998af 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr13ja12 https://www.govinfo.gov/app/details/FR-2012-01-13 https://www.govinfo.gov/content/pkg/FR-2012-01-13/pdf/FR-2012-01-13.pdf https://www.govinfo.gov/content/pkg/FR-2012-01-13/xml/FR-2012-01-13.xml fdlp 2011 2224 DGPO 2012-01-13 2024-06-03 FR-2012-01-13 machine generated eng FR FR-2012-01-13 77 9