17 CFR 140 - ORGANIZATION, FUNCTIONS, AND PROCEDURES OF THE COMMISSION
Title 17 published on 2012-04-01
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§ 4a - Transferred
§ 13 - Violations generally; punishment; costs of prosecution
114 Stat. 2763
Title 17 published on 2012-04-01
The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 140 after this date.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-26435 RIN 3038-AD88 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before January 14, 2013. 17 CFR Parts 1, 3, 22, 30, and 140 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to adopt new regulations and amend existing regulations to require enhanced customer protections, risk management programs, internal monitoring and controls, capital and liquidity standards, customer disclosures, and auditing and examination programs for futures commission merchants (“FCMs”). The proposal also addresses certain related issues concerning derivatives clearing organizations (“DCOs”) and chief compliance officers (“CCOs”). The proposed rules will afford greater assurances to market participants that: customer segregated funds and secured amounts are protected; customers are provided with appropriate notice of the risks of futures trading and of the FCMs with which they may choose to do business; FCMs are monitoring and managing risks in a robust manner; the capital and liquidity of FCMs are strengthened to safeguard their continued operations; and the auditing and examination programs of the Commission and the self-regulatory organizations (“SROs”) are monitoring the activities of FCMs in a prudent and thorough manner.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-25764 RIN 3038-AD53 COMMODITY FUTURES TRADING COMMISSION Final rules. Effective January 2, 2013. 17 CFR Parts 1, 4, 5, 7, 8, 15, 16, 18, 21, 22, 36, 38, 41, 140, 145, 155, and 166 The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act” or “DFA”) established a comprehensive new statutory framework for swaps and security-based swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act (“CEA” or “Act”), amends others, and adds a number of new provisions. The DFA also requires the Commodity Futures Trading Commission (“CFTC” or “Commission”) to promulgate a number of rules to implement the new framework. The Commission has proposed and finalized numerous rules to satisfy its obligations under the DFA. This rulemaking makes a number of conforming amendments to integrate the CFTC's regulations more fully with the new framework created by the Dodd-Frank Act.