Citations for: Registration of Swap Dealers and Major Swap Participants

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Citations

  • 5 CFR 1320.11
  • 75 FR 76666
  • 75 FR 81519
  • 76 FR 6708
  • 76 FR 6715
  • 75 FR 71397
  • 75 FR 70881
  • 75 FR 75162
  • 76 FR 42508
  • 48 FR 15940
  • 48 FR 35158
  • 48 FR 51809
  • 49 FR 8226
  • 49 FR 39593
  • 50 FR 34885
  • 75 FR 55310
  • 76 FR 44464
  • 47 FR 18618
  • 48 FR 35248
  • 75 FR 55410 : Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries (09/10/2010)
    Full Title:
    Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Friday, September 10, 2010
    Type:
    Rule
  • 75 FR 71379 : Registration of Swap Dealers and Major Swap Participants (11/23/2010)
    Full Title:
    Registration of Swap Dealers and Major Swap Participants
    Date Entered:
    Tuesday, November 23, 2010
    Type:
    Proposed Rule
  • 75 FR 71391 : Implementation of Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants (11/23/2010)
    Full Title:
    Implementation of Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants
    Date Entered:
    Tuesday, November 23, 2010
    Type:
    Proposed Rule
  • 75 FR 75432 : Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy (12/03/2010)
    Full Title:
    Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy
    Date Entered:
    Friday, December 03, 2010
    Type:
    Proposed Rule
  • 75 FR 80174 : Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant” (12/21/2010)
    Full Title:
    Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant”
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Tuesday, December 21, 2010
    Type:
    Proposed Rule
  • 75 FR 80638 : Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties (12/22/2010)
    Full Title:
    Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Wednesday, December 22, 2010
    Type:
    Proposed Rule
  • 76 FR 23732 : Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants (04/28/2011)
    Full Title:
    Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Thursday, April 28, 2011
    Type:
    Proposed Rule
  • 76 FR 27802 : Capital Requirements of Swap Dealers and Major Swap Participants (05/12/2011)
    Full Title:
    Capital Requirements of Swap Dealers and Major Swap Participants
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Thursday, May 12, 2011
    Type:
    Proposed Rule
  • 76 FR 33066 : Adaptation of Regulations to Incorporate Swaps (06/07/2011)
    Full Title:
    Adaptation of Regulations to Incorporate Swaps
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Tuesday, June 07, 2011
    Type:
    Proposed Rule
  • 44 U.S.C. 1510
  • 7 U.S.C. 1
  • 5 U.S.C. 553
  • 5 U.S.C. 601
  • 5 U.S.C. 605
  • 44 U.S.C. 3501
  • 44 U.S.C. 3507
  • 5 U.S.C. 552
  • 44 U.S.C. 3506
  • 5 U.S.C. 522
  • 7 U.S.C. 6

Entries Referencing This

  • 77 FR 20128: Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants (04/03/2012)
    Full Title:
    Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Tuesday, April 03, 2012
    Type:
    Rule
  • 77 FR 21278: Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management (04/09/2012)
    Full Title:
    Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Monday, April 09, 2012
    Type:
    Rule
  • 77 FR 25320: Commodity Options (04/27/2012)
    Full Title:
    Commodity Options
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Friday, April 27, 2012
    Type:
    Rule
  • 77 FR 30596: Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant” (05/23/2012)
    Full Title:
    Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant”
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Wednesday, May 23, 2012
    Type:
    Rule
  • 77 FR 35892: Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants (06/15/2012)
    Full Title:
    Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Friday, June 15, 2012
    Type:
    Proposed Rule
  • 77 FR 35892: Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants (06/15/2012)
    Full Title:
    Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Friday, June 15, 2012
    Type:
    Proposed Rule
  • 77 FR 38229: Rules Prohibiting the Aggregation of Orders To Satisfy Minimum Block Sizes or Cap Size Requirements, and Establishing Eligibility Requirements for Parties to Block Trades (06/27/2012)
    Full Title:
    Rules Prohibiting the Aggregation of Orders To Satisfy Minimum Block Sizes or Cap Size Requirements, and Establishing Eligibility Requirements for Parties to Block Trades
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Wednesday, June 27, 2012
    Type:
    Proposed Rule
  • 77 FR 41213: Cross-Border Application of Certain Swaps Provisions of the Commodity Exchange Act (07/12/2012)
    Full Title:
    Cross-Border Application of Certain Swaps Provisions of the Commodity Exchange Act
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Thursday, July 12, 2012
    Type:
    Proposed Rule
  • 77 FR 51898: Registration of Intermediaries (08/28/2012)
    Full Title:
    Registration of Intermediaries
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Tuesday, August 28, 2012
    Type:
    Rule
  • 77 FR 55903: Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants (09/11/2012)
    Full Title:
    Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Tuesday, September 11, 2012
    Type:
    Rule
  • 77 FR 66287: Adaptation of Regulations To Incorporate Swaps (11/02/2012)
    Full Title:
    Adaptation of Regulations To Incorporate Swaps
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Friday, November 02, 2012
    Type:
    Rule
  • 78 FR 17: Business Conduct and Documentation Requirements for Swap Dealers and Major Swap Participants; Extension of Compliance Date (01/02/2013)
    Full Title:
    Business Conduct and Documentation Requirements for Swap Dealers and Major Swap Participants; Extension of Compliance Date
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Wednesday, January 02, 2013
    Type:
    Rule

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