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 2012-05-23 article Part II Rules and Regulations D09002ee1c7fcfccb D09002ee1c7fcfdbf United States Commodity Futures Trading Commission originator org United States Government Agency or Subagency United States Securities and Exchange Commission originator org United States Government Agency or Subagency In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act"), the Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") (collectively, the "Commissions"), in consultation with the Board of Governors of the Federal Reserve System ("Board"), are adopting new rules and interpretive guidance under the Commodity Exchange Act ("CEA"), and the Securities Exchange Act of 1934 ("Exchange Act"), to further define the terms "swap dealer," "security-based swap dealer," "major swap participant," "major security-based swap participant," and "eligible contract participant." 77 FR 30596 https://www.govinfo.gov/app/details/FR-2012-05-23/2012-10562 2012-10562 fr23my12-12 RIN 3038-AD06 RIN 3235-AK65 6351-01-P Release No. 34-66868 File No. S7-39-10 https://www.govinfo.gov/app/details/FR-2012-05-23/2012-10562 https://www.govinfo.gov/content/pkg/FR-2012-05-23/html/2012-10562.htm https://www.govinfo.gov/content/pkg/FR-2012-05-23/pdf/2012-10562.pdf Brokers Commodity Futures Consumer Protection Reporting and Recordkeeping Requirements 169 p. 30596 30764 77 FR 30596 Title 17 Part 1 17 CFR Part 1 Title 17 Part 240 17 CFR Part 240 RIN 3038-AD06 RIN 3235-AK65 Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant”; Federal Register Vol. 77, Issue RULE 2012-10562 II COMMODITY FUTURES TRADING COMMISSION SECURITIES AND EXCHANGE COMMISSION 2012-07-23 Release No. 34-66868 File No. S7-39-10 6351-01-P 2012-10562 Joint final rule; joint interim final rule; interpretations.

In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act"), the Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") (collectively, the "Commissions"), in consultation with the Board of Governors of the Federal Reserve System ("Board"), are adopting new rules and interpretive guidance under the Commodity Exchange Act ("CEA"), and the Securities Exchange Act of 1934 ("Exchange Act"), to further define the terms "swap dealer," "security-based swap dealer," "major swap participant," "major security-based swap participant," and "eligible contract participant."

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: Jeffrey P. Burns, Assistant General Counsel, at 202- 418- 5101, jburns@cftc.gov, Mark Fajfar, Assistant General Counsel, at 202- 418-6636, mfajfar@cftc.gov, Julian E. Hammar, Assistant General Counsel, at 202-418-5118, jhammar@cftc.gov, or David E. Aron, Counsel, at 202-418-6621, daron@cftc.gov, Office of General Counsel; Gary Barnett, Director, at 202-418-5977, gbarnett@cftc.gov, or Frank Fisanich, Deputy Director, at 202-418-5949, ffisanich@cftc.gov, Division of Swap Dealer and Intermediary Oversight,Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581; Brokers Commodity Futures Consumer Protection Reporting and Recordkeeping Requirements Definitions: Swap Dealer, Security-Based Swap Dealer, Major Swap Participant, Major Security-Based Swap Participant and Eligible Contract Participant , daron@cftc.gov ffisanich@cftc.gov gbarnett@cftc.gov jburns@cftc.gov jhammar@cftc.gov mfajfar@cftc.gov http://comments.cftc.gov/PublicComments/CommentList.aspx?id=933 http://comments.cftc.gov/PublicComments/ViewComment.aspx?id=27944&SearchText=American%20Benefits%20Council http://dtcc.com/products/derivserv/data_table_i.php?tbid=3 http://fsahandbook.info/FSA/html/handbook http://vlab.stern.nyu.edu/public/static/SR-v3.pdf http://www.bis.org/about/orggov.htm http://www.bis.org/publ/bcbs206.pdf http://www.bis.org/publ/qtrpdf/r_qs1112.pdf http://www.cba.uh.edu/spirrong/Derivorg1.pdf http://www.cftc.gov/LawRegulation/DoddFrankAct/Rulemakings/DF_2_Definitions/index.htm http://www.cftc.gov/LawRegulation/OTCDERIVATIVES/index.htm http://www.cftc.gov/PressRoom/Events/opaevent_cftcsecstaff061611 http://www.cftc.gov/PressRoom/SpeechesTestimony/omaliastatement120110 http://www.cftc.gov/PressRoom/SpeechesTestimony/opaomalia-8 http://www.cftc.gov/ucm/groups/public/@newsroom/documents/file/cftcbudget2012.pdf http://www.dtcc.com/products/derivserv/data/index.php http://www.eurekahedge.com/news/04apr_archive_Sidley_master_feeder.asp http://www.ffiec.gov/nicpubweb/nicweb/Top50Form.aspx http://www.ici.org/pdf/2011_factbook.pdf http://www.irs.gov/pub/irs-pdf/f1040sc.pdf http://www.irs.gov/pub/irs-pdf/i1040sc.pdf http://www.isda.org/membership/isdamemberslist.pdf http://www.naic.org/capital_markets_archive/110610.htm http://www.newyorkfed.org/newsevents/speeches_archive/1998/mcd981001.html http://www.newyorkfed.org/research/staff_reports/sr517.pdf http://www.nfa.futures.org/NFA-compliance/NFA-commodity-pool-operators/index.html http://www.nfa.futures.org/NFA-registration/cpo/index.html http://www.nfa.futures.org/nfamanual/NFAManual.aspx?RuleID=SECTION%2012&Section=7 http://www.occ.gov/topics/capital-markets/financial-markets/trading/derivatives/dq211.pdf http://www.sec.gov/comments/s7-39-10/s73910-154.pdf http://www.sec.gov/comments/s7-39-10/s73910.shtml http://www.sec.gov/comments/s7-39-10/s73910.shtml#meetings http://www.sec.gov/litigation/litreleases/2011/lr22064.htm http://www.treasury.gov/initiatives/Documents/FinalReport_web.pdf http://www.treasury.gov/resource-center/fin-mkts/Documents/hedgfund.pdf https://www.ftb.ca.gov/businesses/bus_structures/soleprop.shtml https://www.isdadocs.org/membership www.reginfo.gov Vol. 77, no. 100 Office of the Federal Register, National Archives and Records Administration 2012-05-23 continuing daily deposited born digital 516 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2012-05-23 P0b002ee18274ff4b 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr23my12 https://www.govinfo.gov/app/details/FR-2012-05-23 https://www.govinfo.gov/content/pkg/FR-2012-05-23/pdf/FR-2012-05-23.pdf https://www.govinfo.gov/content/pkg/FR-2012-05-23/xml/FR-2012-05-23.xml fdlp 30371 30876 DGPO 2012-05-23 2024-06-03 FR-2012-05-23 machine generated eng FR FR-2012-05-23 77 100