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2014-10-06
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Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Part II
Proposed Rules
D09002ee1bdc3a7dd
D09002ee1bdc3a8ac
United States
Commodity Futures Trading Commission
originator
org
United States Government Agency or Subagency
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing regulations to implement section 4s(e) of the Commodity Exchange Act (``CEA''), as added by section 731 of the Dodd- Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''). This provision requires the Commission to adopt initial and variation margin requirements for certain swap dealers (``SDs'') and major swap participants (``MSPs''). The proposed rules would establish initial and variation margin requirements for SDs and MSPs but would not require SDs and MSPs to collect margin from non-financial end users. In this release, the Commission is also issuing an Advance Notice of Proposed Rulemaking requesting public comment on the cross- border application of such margin requirements. The Commission is not proposing rules on this topic at this time. It is seeking public comment on several potential alternative approaches.
79 FR 59898
https://www.govinfo.gov/app/details/FR-2014-10-03/2014-22962
2014-22962
fr03oc14-27
RIN 3038-AC97
6351-01-P
https://www.govinfo.gov/app/details/FR-2014-10-03/2014-22962
https://www.govinfo.gov/content/pkg/FR-2014-10-03/html/2014-22962.htm
https://www.govinfo.gov/content/pkg/FR-2014-10-03/pdf/2014-22962.pdf
Authority Delegations (Government Agencies)
Organization and Functions (Government Agencies)
Swaps
Swap Dealers
Major Swap Participants
Capital and Margin Requirements
39 p.
59898
59936
79 FR 59898
Code of Federal Regulations
Title 17 Part 140
17 CFR Part 140
Code of Federal Regulations
Title 17 Part 23
17 CFR Part 23
Regulation Identification Number 3038-AC97
RIN 3038-AC97
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants; Federal Register Vol. 79, Issue
PRORULE
2014-22962
II
COMMODITY FUTURES TRADING COMMISSION
2014-12-02
6351-01-P
2014-22962
Proposed rule; advance notice of proposed rulemaking.
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing regulations to implement section 4s(e) of the Commodity Exchange Act (``CEA''), as added by section 731 of the Dodd- Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''). This provision requires the Commission to adopt initial and variation margin requirements for certain swap dealers (``SDs'') and major swap participants (``MSPs''). The proposed rules would establish initial and variation margin requirements for SDs and MSPs but would not require SDs and MSPs to collect margin from non-financial end users. In this release, the Commission is also issuing an Advance Notice of Proposed Rulemaking requesting public comment on the cross- border application of such margin requirements. The Commission is not proposing rules on this topic at this time. It is seeking public comment on several potential alternative approaches.
Comments must be received on or before December 2, 2014.
John C. Lawton, Deputy Director, Division of Clearing and Risk, 202-418-5480, jlawton@cftc.gov; Thomas J. Smith, Deputy Director, Division of Swap Dealer and Intermediary Oversight, 202-418-5495, tsmith@cftc.gov; Rafael Martinez, Financial Risk Analyst, Division of Swap Dealer and Intermediary Oversight, 202- 418-5462, rmartinez@cftc.gov; Francis Kuo, Attorney, Division of Swap Dealer and Intermediary Oversight, 202-418-5695, fkuo@cftc.gov; or Stephen A. Kane, Research Economist, Office of Chief Economist, 202- 418-5911, skane@cftc.gov; Commodity Futures Trading Commission, 1155 21st Street NW., Washington DC 20581.
Authority Delegations (Government Agencies)
Organization and Functions (Government Agencies)
Swaps
Swap Dealers
Major Swap Participants
Capital and Margin Requirements
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
,
fkuo@cftc.gov
jlawton@cftc.gov
OIRAsubmissions@omb.eop.gov
rmartinez@cftc.gov
skane@cftc.gov
tsmith@cftc.gov
http://comments.cftc.gov
http://fcic-static.law.stanford.edu/cdn_media/fcic-reports/fcic_final_report_full.pdf
http://www.bis.org/publ/bcbs242.pdf
http://www.bis.org/publ/bcbs261.pdf
http://www.bis.org/publ/bcbs279.pdf
http://www.bis.org/publ/cgfs49.pdf
http://www.cftc.gov
http://www.cftc.gov/MarketReports/SwapsReports/index.htm
http://www.federalreserve.gov/newsevents/press/bcreg/bcreg20140903c1.pdf
http://www.ft.com/intl/cms/s/0/48aa6b02-38f9-11e4-9526-00144feabdc0.html#axzz3DPM3AEzi
http://www.ft.com/intl/cms/s/0/a373646a-344b-11e4-b81c-00144feabdc0.html?siteedition=intl#axzz3DPM3AEzi
http://www.ifrasia.com/derivatives-fed-backs-off-corporate-margin-requirements/21162697.fullarticle
http://www.reginfo.gov/public/do/PRAOMBHistory?ombControlNumber=3038-0088
http://www.regulations.gov
http://www.regulations.gov/#!documentDetail
http://www2.isda.org/functional-areas/research/surveys/margin-surveys
RegInfo.gov
www.cftc.gov
Federal Register
Vol. 79, no. 192
Office of the Federal Register, National Archives and Records Administration
2014-10-03
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Table of Contents:
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https://www.govinfo.gov/app/details/FR-2014-10-03
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0042-1219
0364-1406
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https://www.govinfo.gov/app/details/FR-2014-10-03
https://www.govinfo.gov/content/pkg/FR-2014-10-03/pdf/FR-2014-10-03.pdf
https://www.govinfo.gov/content/pkg/FR-2014-10-03/xml/FR-2014-10-03.xml
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