As anticipated the Commodities Futures Trading Commission has been extremely active in 2011 in rule making proposals to implement Dodd-Frank. Here is a list of the 2011 proposals to date with links to the actual proposals and comment files.
1/6/2011
76 FR 722 // PDF Version
17 CFR Parts 1, 37, 38, 39, and 40 Governance Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities; Additional Requirements Regarding the Mitigation of Conflicts of Interest
Comment File - Closing Date: 3/7/2011
Regarding Rulemaking: IX. Governance & Possible Limits
76 FR 1214 // PDF Version
17 CFR Part 37 Core Principles and Other Requirements for Swap Execution Facilities
Comment File - Closing Date: 3/8/2011
Regarding Rulemaking: XIII. SEF Registration
76 FR 3698 // PDF Version
17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations
Comment File - Closing Date: 3/21/2011
Regarding Rulemaking: VII. DCO Core Principles
2/3/2011
76 FR 6095 // PDF Version
17 CFR Parts 3, 32, 33, and 35 Commodity Options and Agricultural Swaps
Comment File - Closing Date: 4/4/2011
Regarding Rulemaking: XIX. Agricultural Swaps
2/8/2011
76 FR 6715 // PDF Version
17 CFR Part 23 Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants
Comment File - Closing Date: 4/11/2011
Regarding Rulemaking: IV. Business Conduct Standards - Internal
2/8/2011
76 FR 6708 // PDF Version
17 CFR Part 23 Orderly Liquidation Termination Provision in Swap Trading Relationship Documentation for Swap Dealers and Major Swap Participants
Comment File - Closing Date: 4/11/2011
Regarding Rulemaking: IV. Business Conduct Standards - Internal
2/11/2011
76 FR 7976 // PDF Version
17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
Comment FIle - Closing Date: 4/12/2011
Regarding Rulemaking: XXVII. Investment Adviser Reporting
2/11/2011
76 FR 8068 // PDF Version
Commodity Futures Trading Commission 17 CFR Part 4 Securities and Exchange Commission 17 CFR Parts 275 and 279 Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
Comment File - Closing Date: 4/12/2011
Regarding Rulemaking: XXVII. Investment Adviser Reporting
3/3/2011
76 FR 11701 // PDF Version
17 CFR Part 4 Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act
Comment File - Closing Date: 5/2/2011
Regarding Rulemaking: XXXI. Conforming Amendments
3/9/2011
76 FR 12888 // PDF Version
17 CFR Part 3 Registration of Intermediaries
Comment File - Closing Date: 5/2/2011
Regarding Rulemaking: XXXI. Conforming Amendments
3/10/2011
76 FR 13101 // PDF Version
17 CFR Parts 23, 37, 38, and 39 Requirements for Processing, Clearing, and Transfer of Customer Positions
Comment File - Closing Date: 4/11/2011
Regarding Rulemaking: VII. DCO Core Principles
3/18/2011
76 FR 14943 // PDF Version
Antidisruptive Practices Authority (Proposed Interpretive Order)
Comment File - Closing Date: 5/17/2011
Regarding Rulemaking: XXIV. Disruptive Trading Practices
3/18/2011
76 FR 14826 // PDF Version
Notice: 17 CFR Chapter I Antidisruptive Practices Authority (Advance Notice of Proposed Rulemaking; Notice of Termination)
Regarding Rulemaking: XXIV. Disruptive Trading Practices
3/18/2011
76 FR 14825 // PDF Version
Comments Extension: 17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contact Markets
Comment File - Closing Date: 4/18/2011
Regarding Rulemaking: XII. DCM Core Principles
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Robert Kiggins, Esq. of McCarthy Fingar LLP, is author of the blog, and may be reached at (914) 385-1024 or rkiggins@mccarthyfingar.com.
Nothing is this blog is intended to be or may be relied upon as specific legal advice. Securities and related laws are complex and competent counsel should be consulted. Views expressed by the author in this article are his own and not those of any other person.
