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CFTC RIN: 3038-AC99 Publication ID: Fall 2010 
Title: ●Segregation & Bankruptcy (Cleared and Uncleared Swaps) 
Abstract: The proposed regulation would – 1. Promulgate rules governing protection of customer property (including but not limited to segregation) for cleared swaps, and appropriate conforming changes to the Commission’s Bankruptcy Rules; 2. Promulgate rules governing segregation of assets held as collateral in uncleared swaps transactions between a swap dealer or major swap participant and a counterparty; and 3. Exercise the Commission’s rulemaking authority pursuant to section 20 of the Commodity Exchange Act “to ensure that securities held in a portfolio margining account carried as a futures account are customer property and the owners of those accounts are customers for the purposes of Subchapter IV of Chapter 7 of the Bankruptcy Code." 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Other Significant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: No  Unfunded Mandates: No 
CFR Citation: 17 CFR 22 and 190   
Legal Authority: sec 713(c) and 724 of PL 111-203, 124 Stat 1376 (Dodd-Frank)   
Legal Deadline:
Action Source Description Date
Final  Statutory    07/15/2011 
Timetable:
Action Date FR Cite
NPRM  12/00/2010    
NPRM Comment Period End  01/00/2011    
Final Action  05/00/2011    
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Small Entities Affected: No  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Robert B. Wasserman
Chief Counsel, Division of Clearing and Risk
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street, NW.,
Washington, DC 20581
Phone:202 418-5092
Email: rwasserman@cftc.gov