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 2016_register executive 2018-02-14 article Part II Proposed Rules D09002ee1c7f31390 D09002ee1c7f31498 United States Commodity Futures Trading Commission originator org United States Government Agency or Subagency The Commodity Futures Trading Commission ("Commission" or "CFTC") is proposing to adopt new regulations and to amend existing regulations to implement sections 4s(e) and (f) of the Commodity Exchange Act ("CEA"), as added by section 731 of the Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"). Section 4s(e) requires the Commission to adopt capital requirements for swap dealers ("SDs") and major swap participants ("MSPs") that are not subject to capital rules of a prudential regulator. Section 4s(f) requires the Commission to adopt financial reporting and recordkeeping requirements for SDs and MSPs. The Commission also is proposing to amend existing capital rules for futures commission merchants ("FCMs"), providing specific capital deductions for market risk and credit risk for swaps and security-based swaps entered into by an FCM. The Commission is further proposing several technical amendments to the regulations. 81 FR 91252 https://www.govinfo.gov/app/details/FR-2016-12-16/2016-29368 2016-29368 fr16de16-42 RIN 3038-AD54 6351-01-P https://www.govinfo.gov/app/details/FR-2016-12-16/2016-29368 https://www.govinfo.gov/content/pkg/FR-2016-12-16/html/2016-29368.htm https://www.govinfo.gov/content/pkg/FR-2016-12-16/pdf/2016-29368.pdf Brokers Commodity Futures Reporting and Recordkeeping Requirements Authority Delegations (Government Agencies) Capital and Margin Requirements Major Swap Participants Swap Dealers Swaps 83 p. 91252 91334 81 FR 91252 Title 17 Part 140 17 CFR Part 140 Title 17 Part 1 17 CFR Part 1 Title 17 Part 23 17 CFR Part 23 RIN 3038-AD54 Capital Requirements of Swap Dealers and Major Swap Participants; Federal Register Vol. 81, Issue PRORULE 2016-29368 II COMMODITY FUTURES TRADING COMMISSION 2017-03-16 6351-01-P 2016-29368 Notice of proposed rulemaking.

The Commodity Futures Trading Commission ("Commission" or "CFTC") is proposing to adopt new regulations and to amend existing regulations to implement sections 4s(e) and (f) of the Commodity Exchange Act ("CEA"), as added by section 731 of the Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"). Section 4s(e) requires the Commission to adopt capital requirements for swap dealers ("SDs") and major swap participants ("MSPs") that are not subject to capital rules of a prudential regulator. Section 4s(f) requires the Commission to adopt financial reporting and recordkeeping requirements for SDs and MSPs. The Commission also is proposing to amend existing capital rules for futures commission merchants ("FCMs"), providing specific capital deductions for market risk and credit risk for swaps and security-based swaps entered into by an FCM. The Commission is further proposing several technical amendments to the regulations.

Comments must be received on or before March 16, 2017. Eileen T. Flaherty, Director, Division of Swap Dealer and Intermediary Oversight, 202-418-5326, eflaherty@cftc.gov; Thomas Smith, Deputy Director, Division of Swap Dealer and Intermediary Oversight, 202-418-5495, tsmith@cftc.gov; Jennifer C.P. Bauer, Special Counsel, Division of Swap Dealer and Intermediary Oversight, 202-418-5472, jbauer@cftc.gov; Joshua Beale, Special Counsel, Division of Swap Dealer and Intermediary Oversight, 202-418-5446, jbeale@cftc.gov; Rafael Martinez, Senior Financial Risk Analyst, Division of Swap Dealer and Intermediary Oversight, 202-418- 5462, rmartinez@cftc.gov; Paul Schlichting, Assistant General Counsel, Office of the General Counsel, 202-418-5884, pschlichting@cftc.gov; or Lihong McPhail, Research Economist, 202-418-5722, lmcphail@cftc.gov, Office of the Chief Economist; Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581. Brokers Commodity Futures Reporting and Recordkeeping Requirements Authority Delegations (Government Agencies) Capital and Margin Requirements Major Swap Participants Swap Dealers Swaps Capital Requirements of Swap Dealers and Major Swap Participants , eflaherty@cftc.gov jbauer@cftc.gov jbeale@cftc.gov lmcphail@cftc.gov OIRAsubmissions@omb.eop.gov pschlichting@cftc.gov rmartinez@cftc.gov tsmith@cftc.gov http://comments.cftc.gov http://investor.bankofamerica.com/phoenix.zhtml?c=71595&p=quarterlyearnings#fbid=ECX9ZgSZ-Oq http://RegInfo.gov http://www.bis.org/bcbs/publ/d338.pdf http://www.cargill.com/company/financial/five-year/index.jsp http://www.cftc.gov http://www.cftc.gov/idc/groups/public/@financialdataforfcms/documents/file/fcmdata0416.pdf http://www.cftc.gov/LawRegulation/OTCDERIVATIVES/index.htm http://www.cftc.gov/MarketReports/SwapsReports/L1GrossExpCS http://www.citigroup.com/citi/investor/data/qer116.pdf?ieNocache=23 http://www.goldmansachs.com/investor-relations/creditor-information/creditor-Website-presentation.pdf http://www.ing.com/About-us/Profile-Fast-facts/Fast-facts.htm http://www.macquarie.com/us/about/newsroom/2015/agm-2015 http://www.mizuho-fg.co.jp/english/faq/kessan.html http://www.reginfo.gov/public/do/PRAOMBHistory?ombControlNumber=3038-0024 http://www.regulations.gov http://www.smfg.co.jp/english/investor/financial/latest_statement/2016_3/h2803_e1_01.pdf https://www.jpmorganchase.com/corporate/investor-relations/document/1Q16_Earnings_Presentation.pdf https://www.morganstanley.com/about-us-ir/shareholder/1q2016.pdf https://www.sec.gov/Archives/edgar/vprr/1600/16001826.pdf www.cftc.gov Vol. 81, no. 242 Office of the Federal Register, National Archives and Records Administration 2016-12-16 continuing daily deposited born digital 705 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2016-12-16 P0b002ee198681e3a 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr16de16 https://www.govinfo.gov/app/details/FR-2016-12-16 https://www.govinfo.gov/content/pkg/FR-2016-12-16/pdf/FR-2016-12-16.pdf https://www.govinfo.gov/content/pkg/FR-2016-12-16/xml/FR-2016-12-16.xml fdlp 90949 91642 DGPO 2018-02-14 2024-06-01 FR-2016-12-16 machine generated eng FR FR-2016-12-16 81 242