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 2012-01-19 article Rules and Regulations D09002ee1c7fdaa3c D09002ee1c7fdabd5 United States Commodity Futures Trading Commission originator org United States Government Agency or Subagency The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations under the Commodity Exchange Act (Act or CEA) that establish the process for the registration of swap dealers (SDs) and major swap participants (MSPs, and collectively with SDs, Swaps Entities) and that require Swaps Entities to become and remain members of a registered futures association (RFA). The Commission is also adopting regulations that define an "associated person" of an SD or MSP as a natural person and that implement the prohibition on a Swaps Entity permitting an associated person who is statutorily disqualified from registration from effecting or being involved in effecting swaps on behalf of the Swaps Entity. The Commission is adopting these regulations in accordance with section 4s of the CEA, which was recently added to the CEA by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). 77 FR 2613 https://www.govinfo.gov/app/details/FR-2012-01-19/2012-792 2012-792 fr19ja12-1 RIN 3038-AC95 6351-01-P https://www.govinfo.gov/app/details/FR-2012-01-19/2012-792 https://www.govinfo.gov/content/pkg/FR-2012-01-19/html/2012-792.htm https://www.govinfo.gov/content/pkg/FR-2012-01-19/pdf/2012-792.pdf Brokers Commodity Futures Definitions Major Swap Participants Swap Dealers Membership Registered Futures Associations Customer Protection Licensing Registration Associated Persons 17 p. 2613 2629 77 FR 2613 Title 17 Part 170 17 CFR Part 170 Title 17 Part 1 17 CFR Part 1 Title 17 Part 23 17 CFR Part 23 Title 17 Part 3 17 CFR Part 3 RIN 3038-AC95 Registration of Swap Dealers and Major Swap Participants; Federal Register Vol. 77, Issue RULE 2012-792 COMMODITY FUTURES TRADING COMMISSION 2012-03-19 6351-01-P 2012-792 Final rules.

The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations under the Commodity Exchange Act (Act or CEA) that establish the process for the registration of swap dealers (SDs) and major swap participants (MSPs, and collectively with SDs, Swaps Entities) and that require Swaps Entities to become and remain members of a registered futures association (RFA). The Commission is also adopting regulations that define an "associated person" of an SD or MSP as a natural person and that implement the prohibition on a Swaps Entity permitting an associated person who is statutorily disqualified from registration from effecting or being involved in effecting swaps on behalf of the Swaps Entity. The Commission is adopting these regulations in accordance with section 4s of the CEA, which was recently added to the CEA by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).

Effective March 19, 2012. Barbara S. Gold, Associate Director, Christopher W. Cummings, Special Counsel, or Elizabeth Miller, Attorney-Advisor, Division of Swap Dealer and Intermediary Oversight, 1155 21st Street NW., Washington, DC 20581. Telephone number: (202) 418-6700 and electronic mail: bgold@cftc.gov, ccummings@cftc.gov or emiller@cftc.gov. Brokers Commodity Futures Definitions Major Swap Participants Swap Dealers Membership Registered Futures Associations Customer Protection Licensing Registration Associated Persons Registration of Swap Dealers and Major Swap Participants , bgold@cftc.gov ccummings@cftc.gov emiller@cftc.gov http://www.cftc.gov/ http://www.cftc.gov/ucm/groups/public/@newsroom/documents/file/cftcbudget2012.pdf http://www.nfa.futures.org/ Vol. 77, no. 12 Office of the Federal Register, National Archives and Records Administration 2012-01-19 continuing daily deposited born digital 301 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2012-01-19 P0b002ee1819fd561 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr19ja12 https://www.govinfo.gov/app/details/FR-2012-01-19 https://www.govinfo.gov/content/pkg/FR-2012-01-19/pdf/FR-2012-01-19.pdf https://www.govinfo.gov/content/pkg/FR-2012-01-19/xml/FR-2012-01-19.xml fdlp 2613 2904 DGPO 2012-01-19 2024-06-03 FR-2012-01-19 machine generated eng FR FR-2012-01-19 77 12