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 2012-11-02 article Part III Rules and Regulations D09002ee1c7fc3bac D09002ee1c7fc3c16 United States Commodity Futures Trading Commission originator org United States Government Agency or Subagency The Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act" or "DFA") established a comprehensive new statutory framework for swaps and security-based swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act ("CEA" or "Act"), amends others, and adds a number of new provisions. The DFA also requires the Commodity Futures Trading Commission ("CFTC" or "Commission") to promulgate a number of rules to implement the new framework. The Commission has proposed and finalized numerous rules to satisfy its obligations under the DFA. This rulemaking makes a number of conforming amendments to integrate the CFTC's regulations more fully with the new framework created by the Dodd-Frank Act. 77 FR 66288 https://www.govinfo.gov/app/details/FR-2012-11-02/2012-25764 2012-25764 fr02no12-4 RIN 3038-AD53 6351-01-P https://www.govinfo.gov/app/details/FR-2012-11-02/2012-25764 https://www.govinfo.gov/content/pkg/FR-2012-11-02/html/2012-25764.htm https://www.govinfo.gov/content/pkg/FR-2012-11-02/pdf/2012-25764.pdf Agricultural Commodity Agriculture Brokers Committees Commodity Futures Conflicts of Interest Consumer Protection Definitions Designated Contract Markets Directors Major Swap Participants Minimum Financial Requirements for Intermediaries Reporting and Recordkeeping Requirements Swap Dealers Swaps Electronic Trading Facility Grandfather Relief Order Security Futures Products Authority Delegations (Government Agencies) Conflict of Interests Organizations and Functions (Government Agencies) Confidential Business Information Freedom of Information Clearing Eligible Commercial Entities Eligible Contract Participants Federal Financial Regulatory Authority Principal-to-Principal Systemic Market Event Advertising Commodity Pool Operators Commodity Trading Advisors Bulk Transfers Customer's Money Securities and Property Foreign Exchange Minimum Financial and Reporting Requirements Prohibited Transactions in Retail Foreign Exchange Recordkeeping Requirements Retail Foreign Exchange Dealers Risk Assessment Special Calls Trading Practices Registered Entity 63 p. 66288 66350 77 FR 66288 Title 17 Part 140 17 CFR Part 140 Title 17 Part 145 17 CFR Part 145 Title 17 Part 15 17 CFR Part 15 Title 17 Part 155 17 CFR Part 155 Title 17 Part 16 17 CFR Part 16 Title 17 Part 166 17 CFR Part 166 Title 17 Part 18 17 CFR Part 18 Title 17 Part 1 17 CFR Part 1 Title 17 Part 21 17 CFR Part 21 Title 17 Part 22 17 CFR Part 22 Title 17 Part 36 17 CFR Part 36 Title 17 Part 38 17 CFR Part 38 Title 17 Part 41 17 CFR Part 41 Title 17 Part 4 17 CFR Part 4 Title 17 Part 5 17 CFR Part 5 Title 17 Part 7 17 CFR Part 7 Title 17 Part 8 17 CFR Part 8 RIN 3038-AD53 Adaptation of Regulations To Incorporate Swaps; Federal Register Vol. 77, Issue RULE 2012-25764 III COMMODITY FUTURES TRADING COMMISSION 2013-01-02 6351-01-P 2012-25764 Final rules.

The Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act" or "DFA") established a comprehensive new statutory framework for swaps and security-based swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act ("CEA" or "Act"), amends others, and adds a number of new provisions. The DFA also requires the Commodity Futures Trading Commission ("CFTC" or "Commission") to promulgate a number of rules to implement the new framework. The Commission has proposed and finalized numerous rules to satisfy its obligations under the DFA. This rulemaking makes a number of conforming amendments to integrate the CFTC's regulations more fully with the new framework created by the Dodd-Frank Act.

Effective January 2, 2013. Peter A. Kals, Special Counsel, 202- 418-5466, pkals@cftc.gov, Division of Clearing and Risk; Elizabeth Miller, Attorney-Advisor, 202-418-5450, emiller@cftc.gov, Division of Swap Dealer and Intermediary Oversight; David E. Aron, Counsel, 202- 418-6621, daron@cftc.gov, Office of General Counsel; Alexis Hall-Bugg, Attorney-Advisor, 202-418-6711, ahallbugg@cftc.gov, Division of Market Oversight; Katherine Driscoll, Senior Trial Attorney, 202-418-5544, kdriscoll@cftc.gov, Division of Enforcement, Commodity Futures Trading Commission, Three Lafayette Centre, 1151 21st Street NW., Washington, DC 20581. Agricultural Commodity Agriculture Brokers Committees Commodity Futures Conflicts of Interest Consumer Protection Definitions Designated Contract Markets Directors Major Swap Participants Minimum Financial Requirements for Intermediaries Reporting and Recordkeeping Requirements Swap Dealers Swaps Electronic Trading Facility Grandfather Relief Order Security Futures Products Authority Delegations (Government Agencies) Conflict of Interests Organizations and Functions (Government Agencies) Confidential Business Information Freedom of Information Clearing Eligible Commercial Entities Eligible Contract Participants Federal Financial Regulatory Authority Principal-to-Principal Systemic Market Event Advertising Commodity Pool Operators Commodity Trading Advisors Bulk Transfers Customer's Money Securities and Property Foreign Exchange Minimum Financial and Reporting Requirements Prohibited Transactions in Retail Foreign Exchange Recordkeeping Requirements Retail Foreign Exchange Dealers Risk Assessment Special Calls Trading Practices Registered Entity Adaptation of Regulations to Incorporate Swaps , ahallbugg@cftc.gov daron@cftc.gov dcioletters@cftc.gov dmoletters@cftc.gov emiller@cftc.gov kdriscoll@cftc.gov pkals@cftc.gov http://www.bls.gov/oes/current/oes113031.htm http://www.bls.gov/oes/current/oes151131.htm http://www.bls.gov/oes/current/oes151132.htm http://www.bls.gov/oes/current/oes439021.htm http://www.cftc.gov/LawRegulation/OTCDERIVATIVES/index.htm http://www.iosco.org/news/pdf/IOSCONEWS137.pdf www.cftc.gov Vol. 77, no. 213 Office of the Federal Register, National Archives and Records Administration 2012-11-02 continuing daily deposited born digital 217 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2012-11-02 P0b002ee1837610a7 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr02no12 https://www.govinfo.gov/app/details/FR-2012-11-02 https://www.govinfo.gov/content/pkg/FR-2012-11-02/pdf/FR-2012-11-02.pdf https://www.govinfo.gov/content/pkg/FR-2012-11-02/xml/FR-2012-11-02.xml fdlp 66149 66359 DGPO 2012-11-02 2024-06-03 FR-2012-11-02 machine generated eng FR FR-2012-11-02 77 213