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 2012-04-07 article Part III Rules and Regulations D09002ee1c7fd2b1f D09002ee1c7fd2bed 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 new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules address: The documentation between a customer and a futures commission merchant that clears on behalf of the customer; the timing of acceptance or rejection of trades for clearing by derivatives clearing organizations and clearing members; and the risk management procedures of futures commission merchants, swap dealers, and major swap participants that are clearing members. The rules are designed to increase customer access to clearing, to facilitate the timely processing of trades, and to strengthen risk management at the clearing member level. 77 FR 21278 https://www.govinfo.gov/app/details/FR-2012-04-09/2012-7477 2012-7477 fr09ap12-14 RIN 3038-0092 6351-01-P https://www.govinfo.gov/app/details/FR-2012-04-09/2012-7477 https://www.govinfo.gov/content/pkg/FR-2012-04-09/html/2012-7477.htm https://www.govinfo.gov/content/pkg/FR-2012-04-09/pdf/2012-7477.pdf Conflicts of Interest Futures Commission Merchants Major Swap Participants Swap Dealers Conflicts of Interests Swaps Swap Execution Facilities Block Transaction Commodity Futures Designated Contract Markets Transactions off the Centralized Market Derivatives Clearing Organizations Risk Management 33 p. 21278 21310 77 FR 21278 Title 17 Part 1 17 CFR Part 1 Title 17 Part 23 17 CFR Part 23 Title 17 Part 37 17 CFR Part 37 Title 17 Part 38 17 CFR Part 38 Title 17 Part 39 17 CFR Part 39 RIN 3038-0092 Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management; Federal Register Vol. 77, Issue RULE 2012-7477 III COMMODITY FUTURES TRADING COMMISSION 2012-10-01 6351-01-P 2012-7477 Final rule.

The Commodity Futures Trading Commission ("Commission" or "CFTC") is adopting rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules address: The documentation between a customer and a futures commission merchant that clears on behalf of the customer; the timing of acceptance or rejection of trades for clearing by derivatives clearing organizations and clearing members; and the risk management procedures of futures commission merchants, swap dealers, and major swap participants that are clearing members. The rules are designed to increase customer access to clearing, to facilitate the timely processing of trades, and to strengthen risk management at the clearing member level.

This rule will become effective October 1, 2012. John C. Lawton, Deputy Director, 202- 418-5480, jlawton@cftc.gov, and Christopher A. Hower, Attorney-Advisor, 202-418-6703, chower@cftc.gov, Division of Clearing and Risk, and Camden Nunery, Economist, 202-418-5723, Office of the Chief Economist, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581; and Hugh J. Rooney, Assistant Director, 312-596-0574, hrooney@cftc.gov, Division of Clearing and Risk, Commodity Futures Trading Commission, 525 West Monroe Street, Chicago, Illinois 60661. Conflicts of Interest Futures Commission Merchants Major Swap Participants Swap Dealers Conflicts of Interests Swaps Swap Execution Facilities Block Transaction Commodity Futures Designated Contract Markets Transactions off the Centralized Market Derivatives Clearing Organizations Risk Management Customer Clearing Documentation, Timing of Acceptance for Clearing, Clearing Member Risk Management , chower@cftc.gov hrooney@cftc.gov jlawton@cftc.gov http://www.bls.gov/oes/current/oes113031.htm http://www.cftc.gov/LawRegulation/DoddFrankAct/Rulemakings/DF_4_BusConductStandardsInternal/ssLINK/federalregister022312b http://www.futuresindustry.org/downloads/ClearedDerivativesExecutionAgreement_June142001.pdf http://www.nasdaq.com/aspx/stock-market-news-story.aspx?storyid=201112141726dowjonesdjonline000739&title=updatejavelincme-claim-record-time-to-clear-rate-swaps http://www.occ.gov/topics/capital-markets/financial-markets/trading/derivatives/dq311.pdf http://www.prmia.org/pdf/Case_Studies/Barings_Case_Study.pdf http://www.reuters.com/article/2008/01/27/us-socgen-factbox-idUSL2733740320080127 www.cftc.gov www.iosco.org Vol. 77, no. 68 Office of the Federal Register, National Archives and Records Administration 2012-04-09 continuing daily deposited born digital 407 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2012-04-09 P0b002ee1825632d7 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr09ap12 https://www.govinfo.gov/app/details/FR-2012-04-09 https://www.govinfo.gov/content/pkg/FR-2012-04-09/pdf/FR-2012-04-09.pdf https://www.govinfo.gov/content/pkg/FR-2012-04-09/xml/FR-2012-04-09.xml fdlp 20987 21386 DGPO 2012-04-07 2024-06-03 FR-2012-04-09 machine generated eng FR FR-2012-04-09 77 68