Source: http://www.cftc.gov/LawRegulation/DoddFrankAct/Rulemakings/DF_18_RealTimeReporting/index.htm
Timestamp: 2015-01-31 07:03:56
Document Index: 256847527

Matched Legal Cases: ['art 43', 'art 43', 'arts 43', 'art 43', 'art 45', 'art 46', 'art 43']

Privacy Office	Home // Law & Regulation // Dodd-Frank Act // Rulemaking Areas // Real-Time Reporting
The Commission finalized rules to implement the Dodd-Frank Wall Street Reform and Consumer Protection Act related to Real-Time Reporting.
The Commission issued proposed rules to address Block Sizes for Large Notational Off-Facility Swaps and Block Trades and Measures to Protect the Identities of Counterparties.
The Commission issued proposed rules Prohibiting the Aggregation of Orders to Satisfy Minimum Block Size or Cap Size Requirements, and Establishing Requirements for Parties to Block Trades.
Additional information is provided below, including factsheets for the proposed rules, and details of meetings held between CFTC staff and outside parties.
Final Rule: 78 FR 32866 // PDF Version
----See Also----
78 FR 42436 // PDF Version 7/16/2013
Correction: Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Correction
Proposed Rule: 77 FR 15460 // PDF Version
3/15/201217 CFR Part 43 Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades
Final Rule: 77 FR 1182 // PDF Version
Correction: 17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data; Correction
Proposed Rule: 75 FR 76139 // PDF Version
Proposed Rule (Correction): 75 FR 76930 // PDF Version
No-Action Letter 13-10
Parts 43, 45 and 46 of the CFTC’s regulations
No-Action Letter 12-41
Part 43, Part 45 and Part 46 of the CFTC's regulations
No-Action Letter 12-32
Event: CFTC to Hold Open Meeting to Consider Trade Execution Rules; Anti-Disruptive Trading Practices Guidance
Fact Sheet: Proposed Rule on Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Further Measures to Protect the Identities of Parties to Swap Transactions (Reproposal)
Q&A: Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Further Measures to Protect the Identities of Parties to Swap Transactions (Reproposal)
Event: CFTC Open Meeting on One Final Rule and One Proposed Rule
Q&A: Final Rulemaking: Part 43 (Real-Time Public Reporting)
– Phase In – Real-Time Public Reporting Compliance Dates and Time Delays for Public Dissemination
Fact Sheet: Proposed Rule on Real Time Public Reporting of Swap Transaction and Pricing Data
Q&A: Real-Time Public Reporting Proposed Rulemaking
Event: Open Meeting on Fifth Series of Proposed Rules under the Dodd-Frank Act
XVI. Swap Data Repositories RegistrationXVII. Data RecordkeepingXVIII. Real Time Reporting
Markit and MarkitSERV
V. Capital & MarginXVIII. Real Time Reporting
Managed Funds AssociationCitadel Investment GroupKing Street Capital ManagementHBK Investments
XVIII. Real Time ReportingBlock Sizes for Large Notional Off-Facility Swaps
Parity Energy discussed the following aspects of the FNPRM: - Requested a separate swap category for swaps that are economically related to crude oil options because transactions in such options are typically larger in scale and fewer in number than those in fixed price energy instruments; - Requested that the final rule to clarify that any natural gas swap with optionality be subject to the minimum block size proposed in Appendix F of the FNPRM for natural gas options rather than the minimum block size for natural gas swaps; - Recommended setting a separate initial minimum block size for crude oil options at 1,000 contracts, consistent with CME’s minimum block size for Light Sweet Crude Oil options transactions.
Pierpont Securities LLCPierpoint Derivatives LLC
ICAP Energy LLCICAP Americas
XIII. SEF RegistrationXVIII. Real Time ReportingBlock Sizes for Large Notional Off-Facility Swaps
Javelin Delta Strategy Group
National Rural Electric Cooperative Association (NRECA)American Public Power Association (APPA)
II. DefinitionsXVII. Data RecordkeepingXVIII. Real Time Reporting
Wholesale Market Brokers' Association (WMBA):BGC Partners, Inc.ICAPGFI Group, Inc.Patton BoggsTraditionTullett Prebon
VII. DCO Core PrinciplesXIII. SEF RegistrationXVIII. Real Time ReportingBlock Sizes for Large Notional Off-Facility Swaps
XVIII. Real Time Reporting
XVII. Data RecordkeepingXVIII. Real Time Reporting
Southwest AirlinesChesapeake Energy Delta Strategy Group
BGCGFIICAPPatton Boggs LLPTradition Financial ServicesTullet Prebon
XIII. SEF RegistrationXVII. Data RecordkeepingXVIII. Real Time Reporting
FXallWinston & Strawn
Jackson National Life Insurance (Jackson)PPM AmericaRobertu & WhiteOffice of Rep. Ed Perlmutter (CO-7)
BGCGFI GroupICAPTraditionTullet PrebonPatton Boggs LLPWholesale Market Brokers Association of America (WMBAA)
EU-US Financial Regulation Technical Working Group
Goldman SachsHSBC
Securities and Exchange Commission (SEC)Asset Management Group of the Securities Industry and Financial Markets Association (SIFMA AMG)BlackRockDavis PolkFidelity Investments (Fidelity)PIMCOVanguardGoldman SachsMFS Investment Management (MFS)Wellington Capital Management (Wellington)
XVI. Swap Data Repositories RegistrationXVIII. Real Time Reporting
Securities and Exchange Commission ("SEC")International Swaps and Derivatives Association ("ISDA")
Securities and Exchange Commission ("SEC")Depository Trust & Clearing Corporation (“DTCC”)
International Swaps and Derivatives Association ("ISDA")Mayer BrownKalorama Partners
Depository & Trust Clearing Corporation (DTCC)
Fidelity Investments (Fidelity)Vanguard
American Council of Life InsurersGenworthManulifeJohn Hancock LifeNew York Life Insurance Company (New York Life)Northwestern MutualPrudentialMetLifeAllstate Life
II. DefinitionsXIII. SEF RegistrationXVIII. Real Time ReportingXXI. Joint Rules w/ SEC
II. DefinitionsIII. Business Conduct Standards w/ CounterpartiesXIII. SEF RegistrationXVIII. Real Time Reporting
III. Business Conduct Standards w/ CounterpartiesXIII. SEF RegistrationXVIII. Real Time Reporting
Coalition for Derivatives End-UsersAgriculture Retailers AssociationChesapeake EnergyEnergy Future HoldingsGeneral MotorsFordChathamU.S. Chamber of CommerceBusiness RoundtableProctor & Gamble
Wholesale Market Brokers Association (WMBA)BGC CantorICAPTradition Financial Services ("Tradition")Tullett PrebonGFI Group ("GFI")Patton Boggs
SIFMAHSBC
XIII. SEF RegistrationXVI. Swap Data Repositories RegistrationXVIII. Real Time Reporting
Winston & Strawn LLPUnited TechnologiesU.S. Steel & Carnegie Pension FundNISA Investment AdvisorsSkadden, ArpsAmerican Benefits CouncilCommittee on Investment of Employee Benefit Assets (CIEBA)
NISA Investment AdvisorsUnited TechnologiesCommittee on Investment of Employee Benefit Assests(CIEBA)American Benefits Council (ABC)U.S. SteelWinstonSkadden
Edison Electric Institute (“EEI”)Dominion Resources Services, Inc. (“Dominion”)Exelon Corporation (“Exelon”)Bracewell & Giuliani (“Bracewell”)NextEra Energy (“NextEra”)Dayton Power & Light (“DPL”)Consolidated EdisionAmerican Electric Power (“AEP”)Constellation Energy
Committee on Investment of Employee Benefit Assets ("CIEBA")American Benefits Council ("ABC")NISA Investment AdvisorsLockheed MartinDavis & HarmanGeneral MotorsWinston StrawnSkadden Arps
XIII. SEF RegistrationXVIII. Real Time Reporting
Barclays Capital, Goldman Sachs
Wilmer Cutler Pickering Hale and Dorr LLP ("WilmerHale")U.S. AirwaysJetBlueAirTranAir Transport Association ("ATA")
Not-For-Profit Energy End-User Coalition ("NFPEEU")National Rural Electric Cooperative AssociationAmerican Public Power AssociationAmerican Public Gas AssociationLarge Public Power CouncilACES Power MarketingNational Rural Electric Cooperative AssociationSchiff Hardin LLPWilmer Cutler Pickering Hale and Dorr LLP ("WilmerHale")
MarkitWinston & StrawnSecurities and Exchange Commission (SEC)
ArgusMcDermott
MFABlue Mountain Capital Management LLCBrevan Howard Inc.Tudor Investment CorporationDelta Strategy GroupKing Street Capital Management
Ernst & Young LLPFTI Consulting, Inc.SolutionPoint International, Inc.University of Maryland School of LawAll Stars Project, Inc.NextEra Energy Resources, LLCElliot Management Corporation
V. Capital & MarginVII. DCO Core PrinciplesXVI. Swap Data Repositories RegistrationXVII. Data RecordkeepingXVIII. Real Time Reporting
NAREITChatham FinancialGE CapitalNational Association of ManufacturersFinancial Executives InternationalFordForest CityBoeingGeneral MotorsGibson Dunn
VI. Segregation and BankruptcyXVIII. Real Time Reporting
Highbridge Capital (HC)Citadel (C)The Hartford (H)Eaton Vance (EV)UBS
Chesapeake Energy (CE)Delta Strategy Group (DSG)
XVIII. Real Time ReportingXXVI. Position Limits
MetLifeClifford Chance
II. DefinitionsVII. DCO Core PrinciplesXIII. SEF RegistrationXVIII. Real Time Reporting
SIFMA, Morgan Stanley, Credit Suisse and Citi
Patton BoggsICAP
Wholesale Market Brokers AssociationBGC PartnersGFI GroupICAP plcTullett Prebon Ltd.Patton Boggs LLP
Merchants Data RepositoryBNY Mellon (BNY)Northern Trust Corporation
CIEBAAmerican Benefits CounselGM Asset ManagementBoeingNISA Investment AdvisorsWinston & Strawn LLPSkadden, Arps, Slate, Meagher & Flom LLP
BlackRock (BR)
XIII. SEF RegistrationXVI. Swap Data Repositories RegistrationXVII. Data RecordkeepingXVIII. Real Time Reporting
Barclays Capital Inc. (BC)Winston & Strawn LLP (WS)
Bank of AmericaSullivan & Cromwell
V. Capital & MarginXVIII. Real Time ReportingXXVI. Position Limits
XIII. SEF RegistrationXVIII. Real Time ReportingXXIV. Disruptive Trading Practices
MarkitMarkitSERVDepository Trust & Clearing Corporation (DTCC)Winston & Strawn
II. DefinitionsXIII. SEF RegistrationXVI. Swap Data Repositories RegistrationXVIII. Real Time Reporting
Energy End User Coalition
V. Capital & MarginXVII. Data RecordkeepingXVIII. Real Time Reporting
MarkitSERVDepository Trust & Clearing Corporation (DTCC)Winston & Strawn
BarclaysWinston & Strawn
II. DefinitionsXVIII. Real Time Reporting
London Stock Exchange (LSE)Patton Boggs
Barclays CapitalWinston & Strawn
XIII. SEF RegistrationXVIII. Real Time ReportingXXVI. Position Limits
II. DefinitionsV. Capital & MarginXVIII. Real Time Reporting
CME Clearinghouse
Transcript: Open Meeting on the 29th Series of Rulemakings Under the Dodd-Frank Act CFTC
Kinetix Trading Solutions Presentation_1548 From External Meeting on 4/19/2012
Product Representation for Standardized Derivatives (White Paper) ISDA, From External Meeting on 4/21/2011
On behalf of SIFMA - comment letter on funds portion of the Volcker Rule Young-Anglim, Alexander
Data Reporting and Universal ID Requirements DTCC
Division of Market Oversight Presentation to TAC Meeting CFTC Division of Market Oversight
Recommended Practices for Trading Firms, Clearing Firms and Exchanges Involved in Direct market Access CFTC Pre-Trade Functionality Subcommittee
Recommendations on Pre-Trade Practices for Trading Firms, Clearing Firms and Exchanges involved in Direct Market Access CFTC Pre-Trade Functionality Subcommittee
Technology applications needed to implement pre-trade risk management controls for DMA and Sponsored access clients Newedge
Technology Implications and Costs of Dodd-Frank on Financial Markets TABB Group
Presentation to the CFTC Technology Advisory Committee (TAC) BlackRock
Where is the Value in High Frequency Trading? Álvaro Cartea and José Penalva
Re: RIN Number 3038-AD08 Real-Time Public Reporting of Swap Transaction Data Richard G. Ketchum, FINRA
Proposed Real-Time Reporting Rules; CFTC RIN 3038?AD08; SEC File No. S7?34?10 Colin D. Lloyd, Cleary Gottlieb Steen & Hamilton LLP
SBSR Letter Cameron, Tim
Pre-NOPR Comment Letter regarding Reporting Barron, Melody R.
SEF Letter SIFMA
Proposed Rule on Real-Time Reporting Swap Financial Group
Letter to CFTC and SEC WMBA America
OTC Derivative Data November 2010 NASDAQ OMX
OTC Derivative Data November 2010 NASDAQ OMX_334 NASDAQ OMX, From External Meeting on 11/17/2010
Re: The Definition of Swap Execution Facility in Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (File No. S7-16-10) Morgan Stanley
Re: Implementation of Certain Provisions of Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act Morgan Stanley
Letter re Swap and Security-Based Swap Execution Facilities Cleary Gottlieb Steen and Hamilton LLP
Re: Swap Execution Facilities under Dodd-Frank Cleary Gottlieb Steen & Hamilton LLP
No Unilateral Change of Swap Terms by Data Collectors and the Use of Required Electronic Technology ERISA Pension Plans
Re: Regulatory rule writing regarding Sec 727 and Sec 763 entitled ?Public reporting of Swap Transaction Data? and with specific regard to Block Trade exemptions. Javelin
Middleware_10-28_Slides FINAL_262 CIEBA and American Benefits Council, From External Meeting on 10/20/2010
Swap Execution Facility (SEF) discussion BlackRock
(10-19-10) Presentation Materials - BlackRock_182 BlackRock, From External Meeting on 10/19/2010
Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation and Guidance SNL Energy
Real-Time Reporting Issues and Considerations markitSERV
SDR Real-time reporting 09-28-10 FINAL_101 MarkitSERV, From External Meeting on 9/28/2010
Definitions; Real Time Reporting GSIC
Discussions with the CFTC & SEC Goldman Sachs
Goldman Sachs 9-20-10 RTPR_24 The Goldman Sachs Group, Inc., From External Meeting on 9/20/2010
Transcript of Public Roundtable on Swap Data, Swap Data Repositories and Real Time Reporting CFTC