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Citations

  • 17 CFR 170.16
  • 17 CFR 45.2
  • 17 CFR 151.7
  • 17 CFR 140.99
  • 17 CFR 13.2
  • 12 CFR 917.6
  • 17 CFR 5.18
  • 17 CFR 39.10
  • 5 CFR 1320.11
  • 5 CFR 23.206
  • 75 FR 76666
  • 75 FR 71397
  • 75 FR 70152
  • 75 FR 70881
  • 76 FR 25274
  • 75 FR 81519
  • 76 FR 13101
  • 76 FR 45730
  • 76 FR 45724
  • 47 FR 18618
  • 48 FR 35248
  • 58 FR 51
  • 66 FR 14
  • 63 FR 59362 : OTC Derivatives Dealers (11/03/1998)
    Full Title:
    OTC Derivatives Dealers
    Date Entered:
    Tuesday, November 03, 1998
    Type:
    Rule
  • 68 FR 74714 : Compliance Programs of Investment Companies and Investment Advisers (12/24/2003)
    Full Title:
    Compliance Programs of Investment Companies and Investment Advisers
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, December 24, 2003
    Type:
    Rule
  • 75 FR 70885 : Designation of a Chief Compliance Officer; Required Compliance Policies; and Annual Report of a Futures Commission Merchant, Swap Dealer, or Major Swap Participant (11/19/2010)
    Full Title:
    Designation of a Chief Compliance Officer; Required Compliance Policies; and Annual Report of a Futures Commission Merchant, Swap Dealer, or Major Swap Participant
    Date Entered:
    Friday, November 19, 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 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 1 : Continuous Construction-Permanent Loan Guarantees Under the Section 538 Guaranteed Rural Rental Housing Program (01/03/2011)
    Full Title:
    Continuous Construction-Permanent Loan Guarantees Under the Section 538 Guaranteed Rural Rental Housing Program
    Agency:
    Department of Agriculture
    Date Entered:
    Monday, January 03, 2011
    Type:
    Rule
  • 76 FR 2 : Continuous Construction-Permanent Loan Guarantees Under the Section 538 Guaranteed Rural Rental Housing Program (01/03/2011)
    Full Title:
    Continuous Construction-Permanent Loan Guarantees Under the Section 538 Guaranteed Rural Rental Housing Program
    Agency:
    Department of Agriculture
    Date Entered:
    Monday, January 03, 2011
    Type:
    Rule
  • 76 FR 41 : Airworthiness Directives; Airbus Model A310 Series Airplanes (01/03/2011)
    Full Title:
    Airworthiness Directives; Airbus Model A310 Series Airplanes
    Agency:
    Department of Transportation
    Date Entered:
    Monday, January 03, 2011
    Type:
    Proposed Rule
  • 76 FR 54 : Airworthiness Directives; Airbus Model A310 Series Airplanes (01/03/2011)
    Full Title:
    Airworthiness Directives; Airbus Model A310 Series Airplanes
    Agency:
    Department of Transportation
    Date Entered:
    Monday, January 03, 2011
    Type:
    Proposed Rule
  • 76 FR 1214 : Core Principles and Other Requirements for Swap Execution Facilities (01/07/2011)
    Full Title:
    Core Principles and Other Requirements for Swap Execution Facilities
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Friday, January 07, 2011
    Type:
    Proposed Rule
  • 76 FR 3821 : Improving Regulation and Regulatory Review (01/21/2011)
    Full Title:
    Improving Regulation and Regulatory Review
    Agency:
    Executive Office of the President
    Date Entered:
    Friday, January 21, 2011
    Type:
    Presidential Document
  • 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
  • 76 FR 42396 : Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants (07/18/2011)
    Full Title:
    Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, July 18, 2011
    Type:
    Proposed Rule
  • 76 FR 54538 : Swap Data Repositories: Registration Standards, Duties and Core Principles (09/01/2011)
    Full Title:
    Swap Data Repositories: Registration Standards, Duties and Core Principles
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Thursday, September 01, 2011
    Type:
    Rule
  • 76 FR 69334 : Derivatives Clearing Organization General Provisions and Core Principles (11/08/2011)
    Full Title:
    Derivatives Clearing Organization General Provisions and Core Principles
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Tuesday, November 08, 2011
    Type:
    Rule
  • 76 FR 71626 : Position Limits for Futures and Swaps (11/18/2011)
    Full Title:
    Position Limits for Futures and Swaps
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Friday, November 18, 2011
    Type:
    Rule
  • 77 FR 1182 : Real-Time Public Reporting of Swap Transaction Data (01/09/2012)
    Full Title:
    Real-Time Public Reporting of Swap Transaction Data
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Monday, January 09, 2012
    Type:
    Rule
  • 77 FR 2136 : Swap Data Recordkeeping and Reporting Requirements (01/13/2012)
    Full Title:
    Swap Data Recordkeeping and Reporting Requirements
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Friday, January 13, 2012
    Type:
    Rule
  • 77 FR 2613 : Registration of Swap Dealers and Major Swap Participants (01/19/2012)
    Full Title:
    Registration of Swap Dealers and Major Swap Participants
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Thursday, January 19, 2012
    Type:
    Rule
  • 77 FR 9734 : Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties (02/17/2012)
    Full Title:
    Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties
    Date Entered:
    Friday, February 17, 2012
    Type:
    Rule
  • 18 U.S.C. 1001
  • 7 U.S.C. 19
  • 44 U.S.C. 3501
  • 5 U.S.C. 601
  • 5 U.S.C. 605
  • 44 U.S.C. 3507
  • 5 U.S.C. 552
  • 44 U.S.C. 3506
  • 7 U.S.C. 1

Entries Referencing This

  • 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 41110: Exemptive Order Regarding Compliance With Certain Swap Regulations (07/12/2012)
    Full Title:
    Exemptive Order Regarding Compliance With Certain Swap Regulations
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Thursday, July 12, 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 43433: Endangered and Threatened Wildlife and Plants; Listing Foreign Bird Species in Peru and Bolivia as Endangered Throughout Their Range (07/24/2012)
    Full Title:
    Endangered and Threatened Wildlife and Plants; Listing Foreign Bird Species in Peru and Bolivia as Endangered Throughout Their Range
    Agency:
    Department of the Interior
    Date Entered:
    Tuesday, July 24, 2012
    Type:
    Rule
  • 77 FR 49428: Agency Information Collection Activities; Proposed Collection, Comment Request: Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping: Book-out Agreement Confirmation (08/16/2012)
    Full Title:
    Agency Information Collection Activities; Proposed Collection, Comment Request: Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping: Book-out Agreement Confirmation
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Thursday, August 16, 2012
    Type:
    Notice
  • 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
  • 77 FR 67865: Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations (11/14/2012)
    Full Title:
    Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Wednesday, November 14, 2012
    Type:
    Proposed Rule
  • 77 FR 69694: Determination of Foreign Exchange Swaps and Foreign Exchange Forwards Under the Commodity Exchange Act (11/20/2012)
    Full Title:
    Determination of Foreign Exchange Swaps and Foreign Exchange Forwards Under the Commodity Exchange Act
    Agency:
    Department of the Treasury
    Date Entered:
    Tuesday, November 20, 2012
    Type:
    Notice
  • 77 FR 74283: Clearing Requirement Determination Under Section 2(h) of the CEA (12/13/2012)
    Full Title:
    Clearing Requirement Determination Under Section 2(h) of the CEA
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Thursday, December 13, 2012
    Type:
    Rule
  • 77 FR 74647: Agency Information Collection Activities: Proposed Collection, Comment Request: Form TO, Annual Notice Filing for Counterparties to Unreported Trade Options (12/17/2012)
    Full Title:
    Agency Information Collection Activities: Proposed Collection, Comment Request: Form TO, Annual Notice Filing for Counterparties to Unreported Trade Options
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Monday, December 17, 2012
    Type:
    Notice
  • 77 FR 75523: Adaptation of Regulations To Incorporate Swaps-Records of Transactions (12/21/2012)
    Full Title:
    Adaptation of Regulations To Incorporate Swaps-Records of Transactions
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Friday, December 21, 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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