Dodd-Frank

Fri 30 Sep, 2107

Expiration of an extension of relief from Transaction-Level Requirements for certain non-US SDs using personnel or agents located in the US to arrange, negotiate, or execute a swap – CFTC Letter No. 16-64 (extends CFTC Letter No. 15-48, which extended CFTC Letters No. 14-140, 1474, 14-01 and 13-71). Deadline to submit comments to the CFTC’s request for information pertaining to Project KISS.

Wed 31 Jan, 2018

Expiration of relief to reporting counterparties clearing swaps through DCOs exempt from registration or CCPs provided relief from the requirement to register as a DCO. The reporting counterparties were granted relief from certain Part 45 reporting obligations. Relief was also granted pertaining to certain data field reporting requirements in Parts 43 and 45 (CFTC Letter No. 16-85)

Sun 31 Dec, 2017

Expiration of relief providing for the addition of Australia and Mexico to the list of jurisdictions eligible under the alternative compliance framework of Commission regulation 50.52(b)(4)(ii) used to satisfy the Outward-Facing Swaps Condition in the Inter-Affiliate Exemption (CFTC Letter No. 16-84).

Sun 31 Dec, 2017

Expiration of an extension of relief to Eligible Affiliate Counterparties who do not claim the Inter Affiliate Exemption from the trade execution requirement (CFTC Letter No. 16-80) (previously No. 15-62).

Sun 31 Dec, 2017

US SEC Regulation SBSR (Reporting and Dissemination of Security-Based Swap Information) Compliance.

Fri 01 Dec, 2017

Expiration of relief from Parts 45 and 46 for swaps with non-US counterparties that are not guaranteed affiliates, or conduit affiliates, of a US person (CFTC Letter No. 16-79) (previously No. 15-61). Applies to CFTC-registered SDs and MSPs that are non-US persons established under the laws of Australia, Canada, the EU, Japan or Switzerland, and that are not part of an affiliated group in which the ultimate parent entity is a US: SD, MSP, bank, financial holding company or bank holding company.

Thu 30 Nov, 2017

Expiration of relief to Shanghai Clearing House permitting it to clear certain proprietary trades of US clearing members and their affiliates (CFTC Letter No. 16-56). Extension of relief to Shanghai Clearing House allowing it to continue to clear certain swaps subject to mandatory clearing in China for the proprietary trades of its clearing members that are US persons or affiliates of U.S. persons (CFTC Letter No. 17-26).

Wed 15 Nov, 2017

CFTC relief for swap execution facilities from certain audit trail requirements in Commission Regulation 37.205 related to post-trade allocation information (CFTC Letter No. 1568) expires.

Mon 06 Nov, 2017

Extension of relief to swap dealers from certain requirements of the U.S. final rule on margin requirements for uncleared swaps when transacting with counterparties subject to the corresponding EU rules expires (CFTC Letter No. 17-22).

Tue 26 Sep, 2017

Expiration of relief from submitting certain specified information via New Form 102A (relief period begins September 29, 2016) (CFTC Letter No. 16-32).

Expiration of relief from submitting certain specified information regarding DCM volume threshold accounts via New Form 102B (relief period begins September 29, 2016) (CFTC Letter No. 16-32).

Fri 01 Sep, 2017

Expiration of an extension of the relief granted under Letter No. 16-03 and 16-33 for “French Reportable Swaps” and “Swiss Reportable Swaps” relating to the masking of counterparty identifying information (CFTC Letter No. 17-16).

Mon 14 Aug, 2017

Relief from the notice filing requirement under CFTC Regulation 150.4(c) relating to exemption from aggregation of positions (CFTC Letter No. 17-06) expires.

Mon 24 Jul, 2017

Extended CFTC order designating the Global Markets Entity Identifier utility (formerly known as the DTCC-SWIFT utility) and other pre-Local Operating Units as acceptable suppliers of approved LEIs expires.

Fri 07 Jul, 2017

Deadline for comments to the CFTC’s proposed rule Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants.

Tue 27 Jun, 2017

Relief to DCOs from the requirement to report continuation data on original swaps accepted for clearing (CFTC Letter No. 16-86) expires.

Tue 21 Feb, 2017

Volcker Rule effective date for entities that were granted two one-year extensions.

Sat 31 Dec, 2016

By end -2016, FSB Resolution Steering Group to report and to develop, as appropriate, develop proposals for further guidance to support CCP resolvability and resolution planning and to enhance prefunded financial resources and liquidity arrangements

Sat 01 Oct, 2016

Joint BCBS, CPMI, FSB and IOSCO study group to finalise and publish report on analysis of interdependencies between CCPs and clearing members

Thu 01 Sep, 2016

Entry into force of rules on risk-mitigation techniques for OTC-derivatives not cleared by a CCP, subject to a phase-in period of 4 years (expected) 

Wed 01 Jun, 2016

Mid-2016: CPMI-IOSCO to publish a report for public consultation on CCP resilience and recovery issues and report of the Level 3 assessment of CCP risk management

Fri 18 Mar, 2016

Compliance date of SEC Final Rule on Security-based Swap Data Repository Registration, Duties and Core Principles

Fri 12 Feb, 2016

Expiry of CFTC “MAT/New Issuance Bond” time-limited no-action relief for counterparties, SEFs and DCMs (execution on a SEF or DCM, SEF or DCM to offer any method of execution, SEF or DCM to offer an Order Book) (Letter no. 14-137) 

Fri 12 Feb, 2016

Expiry of CFTC “MAT/Non-MAT (Uncleared), MAT/Non-Swap Instruments and MAT/Non-CFTC Swap”  time-limited no-action relief for counterparties, SEFs and DCMs (SEF or DCM to offer any method of execution, SEF or DCM to offer an Order Book) (Letter no. 14-137)

Thu 11 Feb, 2016

Expiry of CFTC time-limited no-action relief from “E-reporting via New Form 40/40S and New Form 71”, for the Ownership and Control Reports (OCR) data reporting requirements. (Letter 14-95)

 

Thu 31 Dec, 2015

By end 2015 FSB Resolution Steering Group to establish a working group (Cross-border Crisis Management Group for FMIs – fmiCBCM) as a forum for authorities to exchange views, share experiences and discuss orderly resolution of CCPs

Tue 01 Dec, 2015

Expiry of CFTC “SDR Reporting Rules” time-limited no-action relief for certain SDs and MSPs established under the laws of Australia, Canada, the European Union, Japan or Switzerland. 1 December 2015 at the latest, or 30 days following a comparability determination by the CFTC (Letter no. 14-141).

Sat 14 Nov, 2015

Expiry of CFTC “MAT/Futures” time-limited no-action relief for counterparties, SEFs and DCMs (execution on a SEF or DCM, SEF or DCM to offer any method of execution, SEF or DCM to offer an Order Book) (Letter no. 14-137)

Thu 22 Oct, 2015

U.S. prudential regulators issue joint final rules governing VM and IM requirements for non-centrally cleared derivatives

Tue 22 Sep, 2015

FSB, BCBS, CPMI and IOSCO publish 2015 CCP Workplan (dated 15 April 2015) and Progress Report on the CCP Workplan on the coordination of international policy work aimed at enhancing the resilience, recovery planning and resolvability of CCPs

Tue 01 Sep, 2015

A joint BCBS, CPMI, FSB and IOSCO study group is established to identify, quantify and analyse interdependencies between CCPs and clearing members

Thu 16 Jul, 2015

Swaps Push-Out Rule becomes effective, unless an additional delay of up to one additional year is granted by the OCC or the Board of Governors of the Federal Reserve System (as detailed in the Guidance from the OCC and the Interim Final Rule from the Board of Governors of the Federal Reserve System)

Mon 18 May, 2015

Compliance date of SEC Final Rule on Regulation SBSR – Reporting and Dissemination of Security-based Swaps Information

Fri 15 May, 2015

Expiry of CFTC “MAT/Agency MBS”  no-action relief for counterparties to certain package transactions, SEFs and DCMs (execution on a SEF or DCM, SEF or DCM to offer any method of execution) (Letter no. 14-137)

Thu 19 Mar, 2015

SEC publishes Final Rule on Regulation SBSR – Reporting and Dissemination of Security-based Swaps Information and Final Rule on Security-based Swap Data Repository Registration, Duties and Core Principles

Wed 18 Mar, 2015

BCBS/IOSCO publish a revised final framework for margin requirements for non-centrally cleared derivatives, with an updated timeline

Wed 11 Mar, 2015

Expiry of CFTC time-limited no-action relief from “E-reporting via New Form 102B”, for the Ownership and Control Reports (OCR) data reporting requirements. (Letter 14-95)

Sun 15 Feb, 2015

Expiry of CFTC “MAT/Non-MAT (Uncleared), MAT/Non-Swap Instruments and MAT/Non-CFTC Swap”  time-limited no-action relief for counterparties, SEFs and DCMs (execution on a SEF or DCM) (Letter no. 14-137)

Wed 11 Feb, 2015

Expiry of CFTC time-limited no-action relief for “E-reporting via New Form 102A and New Form 102S”, for the Ownership and Control Reports (OCR) data reporting requirements. (Letter 14-95)

 

Wed 28 Jan, 2015

IOSCO publishes Final Report Risk Mitigation Standards for Non-centrally Cleared OTC Derivatives (FR01/2015)

Mon 12 Jan, 2015

Terrorism Risk  Insurance Program Reauthorization Act of 2015 (TRIPRA) signed into law, amending sections 731 and 764 of the Dodd-Frank Act (Section 302)

Wed 31 Dec, 2014

Expiration of relief granted to LCH Clearnet and Nodal Exchange LLC pending LCH DCO application

Tue 09 Dec, 2014

Section 716 of Dodd-Frank, the “push-out” / “Lincoln” rule,  is amended. The amendment confines the rule’s application to ABS that are not eligible for hedging exemptions (Consolidated and Further Continuing Appropriations Act, 2015’)

Mon 01 Dec, 2014

Expiry of CFTC “SDR Reporting Rules” time-limited no-action relief for certain SDs and MSPs established under the laws of Australia, Canada, the European Union, Japan or Switzerland. (Letter no. 13-75), subject to further time-limited no-action relief until 1 December 2015 at the latest (Letter no. 14-141).

Mon 24 Nov, 2014

CFTC issues extension of time-limited no-action relief from certain SDR Reporting Rules for certain SDs and MSPs established under the laws of Australia, Canada, the European Union, Japan or Switzerland. Expiry at the latest on 1 December 2015 (Letter no. 14-141)

Sat 15 Nov, 2014

Expiry of CFTC “MAT/Non-MAT Uncleared Package Transactions”, “MAT/Non-Swap Instruments Package Transactions (excluding U.S. Dollar Swap Spreads)” and “MAT/Non-CFTC Swap Package Transactions” time-limited no-action relief for counterparties, SEFs and DCMs. (Letter no. 14-62), subject to further time-limited no-action relief for counterparties to certain package transactions, SEFs and DCMs (Letter no. 14-137)

 

Mon 10 Nov, 2014

CFTC grants time-limited no-action relief for counterparties to certain package transactions, SEFs and DCMs. Expiry for MAT/Agency MBS on 15 May 2015 (execution on a SEF or DCM, SEF or DCM to offer any method of execution), Expiry for MAT/Non-MAT (Uncleared), MAT/Non-Swap Instruments and MAT/Non-CFTC Swap on 15 February 2015 (execution on a SEF or DCM) and 12 February 2016 (SEF or DCM to offer any method of execution, SEF or DCM to offer an Order Book), Expiry for MAT/New Issuance Bond on 12 February 2016 (execution on a SEF or DCM, SEF or DCM to offer any method of execution, SEF or DCM to offer an Order Book), Expiry for MAT/Futures on 14 November 2015 (execution on a SEF or DCM, SEF or DCM to offer any method of execution, SEF or DCM to offer an Order Book) (Letter no. 14-137)

Mon 03 Nov, 2014

Compliance date of CFTC IM Segregation Rules for uncleared swaps, covering transactions that are entered into with existing counterparties

Wed 15 Oct, 2014

FSB publishes updated version of “Key Attributes of Effective Resolution Regime for Financial Institutions” (originally published in November 2011)

Tue 07 Oct, 2014

The OCC, the Board of Governors of the Federal Reserve System, the FDIC, the Farm Credit Administration, and the Federal Housing Finance Agency  request comment on a proposal to establish
minimum margin requirements for registered swap dealers, major swap participants, security-based swap dealers, and major security-based swap participants (swap entities) (Comment period open until 24 November 2014)

Thu 02 Oct, 2014

End of phase-in period under CFTC SEF rules, where a Request for Quote (RFQ) could be transmitted to a minimum of two market participants. RFQ must be transmitted to no less than three.

Thu 18 Sep, 2014

IOSCO publishes a consultation report on risk mitigation techniques for non-cleared derivatives (CR06/2014)

Wed 23 Jul, 2014

CFTC grants time-limited no-action relief from certain Ownership and Control Reports (OCR) data reporting requirements. Expiry on 11 February 2015 for relief from E-reporting via New Form 102A and New Form 102S, 11 March 2015 for relief from E-reporting via New Form 102B, 11 February 2016 for relief from E-reporting via New Form 40/40S and New Form 71. (Letter 14-95)

Sun 15 Jun, 2014

Expiry of CFTC “U.S. Dollar Swap Spreads” time-limited no-action relief for counterparties, SEFs and DCMs. (Letter no. 14-62)

Sun 01 Jun, 2014

Expiry of CFTC “MAT/Non-MAT Cleared Package Transactions” time-limited no-action relief for counterparties, SEFs and DCMs. (Letter no. 14-62)

Fri 16 May, 2014

Block Trade Rule enters into “post-initial period”, where the CFTC may announce post-initial block trade thresholds and cap sizes

Thu 15 May, 2014

Expiry of CFTC no-action relief for counterparties to package transactions, SEFs and DCMs (Letter no. 14-12), subject to further time-limited no-action relief for counterparties to certain package transactions, SEFs and DCMs. (Letter no. 14-62)

Mon 05 May, 2014

Compliance date of CFTC IM Segregation Rules for uncleared swaps, covering transactions that are entered into with new counterparties

Thu 01 May, 2014

CFTC grants time-limited no-action relief for counterparties to certain package transactions, SEFs and DCMs.  Expiry on 1 June 2014 for MAT/Non-MAT Cleared Package Transactions, 15 June 2014 for U.S. Dollar Swap Spreads, 15 November 2014 for MAT/Non-MAT Uncleared Package Transactions, MAT/Non-Swap Instruments Package Transactions (excluding U.S. Dollar Swap Spreads) and MAT/Non-CFTC Swap Package Transactions (Letter no. 14-62)

Tue 18 Feb, 2014

Effective date of CFTC Final Rule on Ownership and Control Reports (OCR), Forms 102/102S, 40/40S, and 71 on electronic submission of trader identification and market participant data (Compliance date of 15 August 2014, subject to CFTC time-limited no-action relief from certain OCR data reporting requirements)  (Letter 14-95)

Mon 10 Feb, 2014

CFTC grants time-limited no-action relief for counterparties to package transactions, SEFs and DCMs. Expiry on 15 May 2014. (Letter no. 14-12)

 

Mon 06 Jan, 2014

Effective date of CFTC IM Segregation Rules for uncleared swaps (N.B. compliance date is 5 May 2014 for transactions that are entered into with new counterparties, and 3 November 2014 for existing counterparties)

Fri 27 Dec, 2013

Effective date of the CFTC series of eight comparability determinations for substituted compliance by SDs/MSPs, with respect to Australia, Canada, the EU, Hong Kong, Japan and Switzerland

Fri 20 Dec, 2013

CFTC issues time-limited no-action relief from certain SDR Reporting Rules for certain SDs and MSPs established under the laws of Australia, Canada, the European Union, Japan or Switzerland. Expiry on 1 December 2014 (Letter no. 13-75)

Mon 02 Dec, 2013

Expiry of CFTC time-limited no-action relief to SEFs, from certain swap data reporting requirements re Equities and Commodities (Letter no. 13-55)

Sun 01 Dec, 2013

Expiry of CFTC time-limited no-action relief to reporting counterparties, from continuation data reporting re Equities and Commodities (Letter no. 13-56)

Wed 30 Oct, 2013

Expiry of CFTC time-limited no-action relief to SEFs, from certain swap data reporting requirements re FX (Letter no. 13-55)

Tue 29 Oct, 2013

Expiry of CFTC time-limited no-action relief to reporting counterparties, from continuation data reporting re FX transactions (Letter no. 13-56)

Wed 02 Oct, 2013

Compliance date for CFTC SEF rules

Tue 01 Oct, 2013

Board and FDIC issue new resolution plan filing deadline for large US banks and foreign banks with USD 250 billion or more nonbank assets

Mon 23 Sep, 2013

Effective date of CFTC Final Rule on clearing requirement exemption for certain swaps entered into by cooperatives

Mon 09 Sep, 2013

Compliance date for Category 3 entities – clearing obligation of certain IRS and CDS

Mon 02 Sep, 2013

BCBS/IOSCO publish the final framework for margin requirements for non-centrally cleared derivatives (a revised version was published on 18 March 2015, with an updated timeline)

Fri 23 Aug, 2013

Compliance date for Portfolio Reconciliation (as delayed per the CFTC Time-Limited No-Action Relief no. 13-40)

Mon 05 Aug, 2013

Effective date of CFTC SEF rules (N.B. compliance date is 2 October 2013)

Mon 05 Aug, 2013

Phase-in period under CFTC SEF rules, where a Request for Quote (RFQ) may be transmitted to a minimum of two market participants, instead of three

Tue 30 Jul, 2013

Effective date of the Block Trade Rule, referring to “initial period” for block trade size thresholds and cap levels

Fri 26 Jul, 2013

Effective date of CFTC Interpretive Guidance and Policy Statement regarding the cross-border application of the swaps provisions of Dodd-Frank, addressing the issues of U.S. Person, Entity-Level Requirements and Transaction-Level Requirements

Tue 16 Jul, 2013

Swaps Push-Out Rule becomes effective, unless individual requests were granted to delay implementation up to July 16, 2015 (as detailed in the Guidance from the OCC and the Interim Final Rule from the Board of Governors of the Federal Reserve System)

Thu 11 Jul, 2013

CFTC and European Commission issue a joint statement “A Path Forward” on cross-border regulation of swaps/derivatives

Mon 10 Jun, 2013

Effective date of CFTC Final Rule on clearing requirement exemption for swaps between certain affiliated entities

Mon 10 Jun, 2013

Compliance date for Category 2 entities – clearing obligation of certain IRS and CDS

Mon 10 Jun, 2013

The Board of Governors of the Federal Reserve System publishes Interim Final Rule on the Swaps Push-Out Rule, providing for a process to delay the implementation from July 16, 2013 to July 16, 2015 for state member banks, or uninsured state branch or agency of a foreign bank

Thu 16 May, 2013

CFTC adopts Swap Execution Facility (SEF) Rule, Made Available to Trade (MAT) Rule and Block Trade Rule

Wed 01 May, 2013

Compliance date for certain External Business Conduct Standards

Wed 10 Apr, 2013

Compliance date for Historical Swap Reporting of IRS, CDS, FX Swaps, FX Forwards, Other FX Derivatives, Equity Swaps, Commodity Swaps and Other Swaps between a U.S end user and a U.S. end user, or a non-U.S. end user

Wed 10 Apr, 2013

Compliance date for SDR Reporting (no Real-Time Reporting) of FX Swaps and FX Forwards between a U.S. end user and a U.S end user, or a non-U.S. end user 

Wed 10 Apr, 2013

Compliance date for SDR Reporting and Real-Time Reporting of IRS, CDS, FX Swaps, FX Forwards, Other FX Derivatives, Equity Swaps, Commodity Swaps and Other Swaps between a U.S end user and a U.S. end user, or a non-U.S. end user

Sat 30 Mar, 2013

Compliance date for Historical Swap Reporting of FX Swaps or FX Forwards between a U.S. person that is a SD/MSP and any counterparty; a non-U.S. branch of U.S. SD/MSP and a U.S. person (other than another non-U.S. branch), a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP with a U.S. ultimate parent and a U.S. person (other than a non-U.S. branch), a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP without a U.S. ultimate parent and a U.S. person or a non-U.S. branch

Sat 30 Mar, 2013

Compliance date for Historical Swap Reporting of Other FX Derivatives, Equity Swaps, Commodity Swaps and Other Swaps between a U.S. person that is a SD/MSP and any counterparty; a non-U.S. branch of U.S. SD/MSP and a U.S. person (other than another non-U.S. branch), a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP with a U.S. ultimate parent and a U.S. person (other than a non-U.S. branch), a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP without a U.S. ultimate parent and a U.S. person or a non-U.S. branch

Mon 11 Mar, 2013

Compliance date for Category 1 entities – clearing obligation of certain IRS and CDS

Thu 28 Feb, 2013

Compliance date for SDR Reporting (no Real-Time Reporting) of FX Swaps and FX Forwards between a U.S. person that is a SD/MSP and any counterparty; a non-U.S. branch of U.S. SD/MSP and a U.S. person (other than another non-U.S. branch), a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP with a U.S. ultimate parent and a U.S. person (other than a non-U.S. branch), a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP without a U.S. ultimate parent and a U.S. person or a non-U.S. branch

Thu 28 Feb, 2013

Compliance date for SDR Reporting (no Real-Time Reporting) of Other FX Derivatives, Equity Swaps, Commodity Swaps and Other Swaps between a non-U.S. branch of U.S. SD/MSP and a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP with a U.S. ultimate parent and a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP without a U.S. ultimate parent and a non-U.S branch

Thu 28 Feb, 2013

Compliance date for SDR Reporting and Real-Time Reporting of Other FX Derivatives, Equity Swaps, Commodity Swaps and Other Swaps between a U.S. person that is a SD/MSP and any counterparty; a non-U.S. branch of a U.S. SD/MSP and a U.S. person (other than another non-U.S. branch); a non-U.S SD/MSP with a U.S. ultimate parent and a U.S. person (other than a non-U.S. branch); a non-U.S. SD/MSP without a U.S. ultimate parent and a U.S. person

Wed 30 Jan, 2013

Compliance date for Historical Swap Reporting of IRS and CDS between a U.S. person that is a SD/MSP and any counterparty; a non-U.S. branch of U.S. SD/MSP and a U.S. person (other than another non-U.S. branch), a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP with a U.S. ultimate parent and a U.S. person (other than a non-U.S. branch), a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP without a U.S. ultimate parent and a U.S. person or a non-U.S. branch

Thu 03 Jan, 2013

The OCC issues a Guidance on the Swaps Push-Out Rule, providing for a process to delay implementation from July 16, 2013 to July 16, 2015 for federally-chartered insured depository institutions

Mon 31 Dec, 2012

Compliance date for SDR Reporting (no Real-Time Reporting) of IRS and CDS between a non-U.S. branch of U.S. SD/MSP and a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP with a U.S. ultimate parent and a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP without a U.S. ultimate parent and a non-U.S. branch

Mon 31 Dec, 2012

Compliance date for SDR Reporting and Real-Time Reporting of IRS and CDS between a U.S. person that is a SD/MSP and any counterparty; a non-U.S. branch of U.S. SD/MSP and a U.S. person (other than another non-U.S. branch); a non-U.S. SD/MSP with a U.S. ultimate parent and a U.S. person (other than a non-U.S. branch); a non-U.S. SD/MSP without a U.S. ultimate parent and a U.S. person

Thu 29 Nov, 2012

CFTC adopts final rule on first clearing requirements for four classes of IRS and two classes of CDS

Tue 13 Nov, 2012

Effective date of CFTC Final Rule governing swap confirmation, portfolio reconciliation, portfolio compression, swap trading documentation and end user exception documentation, subject to specific compliance dates

Thu 08 Nov, 2012

Compliance date for Part 22 rules, in connection with CFTC final rule on LSOC margin segregation model for FCMs and DCOs

Fri 28 Sep, 2012

Effective date of CFTC Final Rule on Swap Transaction Compliance and Implementation Schedule for Clearing Requirement, providing for phase-in compliance schedule

Mon 17 Sep, 2012

Effective date of CFTC Final Rule on end-user exception to the clearing requirement for swaps

Tue 17 Apr, 2012

Effective date of CFTC Final Rule on Business Conduct Standards for SDs and MSPs with counterparties (N.B. CFTC Interim Final Rule delayed compliance date to 1 May 2013 for certain Business Conduct Standards)

Mon 09 Apr, 2012

Effective date of CFTC final rule on LSOC margin segregation model for FCMs and DCOs.  (N.B. compliance date is 9 April 2012 for Part 190 Rules, 8 November 2012 for Part 22 rules)

Wed 11 Jan, 2012

CFTC adopts final rule on LSOC margin segregation model for FCMs and DCOs.

Tue 01 Nov, 2011

FSB publishes “Key Attributes of Effective Resolution Regime for Financial Institutions” (Updated version published on 15 October 2014)

Wed 02 Feb, 2011

The SEC  publishes proposed rules defining security-based swap execution facilities (SEFs) and establishing their registration requirements, as well as their duties and core principles.

Wed 21 Jul, 2010

Dodd-Frank Act becomes law

Thu 24 Sep, 2009

G20 Summit at Pittsburgh

This content is restricted to site members.
If you are an existing user, please login. New users may register here.
Memberships:

Copyright © 2018

Document Risk Solutions Ltd