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CFTC RIN: 3038-AD25 Publication ID: Spring 2011 
Title: Business Conduct Standards for Swap Dealers and Major Swap Participants Dealing With Counterparties 
Abstract: Section 731 of the Dodd-Frank Wall Street Reform and Consumer Protection Act regarding "Registration and Regulation of Swap Dealers and Major Swap Participants" directs the Commission to promulgate certain mandatory business conduct standards rules, as well as grants the Commission authority to promulgate discretionary rules. The rules will establish disclosure obligations and due diligence requirements, as well as outright prohibitions on certain types of abusive conduct. 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: No  Unfunded Mandates: No 
CFR Citation: 17 CFR 23 and 155   
Legal Authority: 7 USC 6s and 12a   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  12/22/2010  75 FR 80638   
NPRM Comment Period End  02/22/2011    
Final Action  08/00/2011    
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:
Phyllis J. Cela
Deputy Director and Chief Counsel, Division of Enforcement
Commodity Futures Trading Commission
1155 21st Street NW.,
Washington, DC 20581
Phone:202 418-5374
Email: pcela@cftc.gov