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CFTC RIN: 3038-AD44 Publication ID: Spring 2011 
Title: ●Business Conduct Standards--Internal: Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants 
Abstract: The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations to implement new statutory provisions established under title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Section 731 of the Dodd-Frank Act added new sections 4s(f) and (g) to the Commodity Exchange Act (CEA), which set forth reporting and recordkeeping requirements and daily trading records requirements for swap dealers and major swap participants. The proposed rules would establish the regulatory standards for compliance with these new sections of the CEA. 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Other Significant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 23   
Legal Authority: sec 731 of PL 111-203 (Dodd-Frank)   
Legal Deadline:
Action Source Description Date
Final  Statutory    07/15/2011 
Timetable:
Action Date FR Cite
NPRM  12/09/2010  75 FR 76666   
NPRM Comment Period End  02/07/2011    
Final Action  07/00/2011    
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 
Related RINs: Previously reported as 3038-AC96 
Agency Contact:
Frank Fisanich
Chief Counsel, Market Participants Division
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5949
Email: ffisanich@cftc.gov