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CFTC RIN: 3038-AD28 Publication ID: Spring 2011 
Title: ●Segregation & Bankruptcy: Protection of Collateral for Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy 
Abstract: The proposed regulation would – 1. For uncleared swaps transactions between a swap dealer or major swap participant and a counterparty, promulgate rules governing segregation of assets posted as collateral by the counterparty; and 2. 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: Final Rule Stage 
Major: No  Unfunded Mandates: No 
EO 13771 Designation: uncollected 
CFR Citation: 17 CFR 23 and 190   
Legal Authority: sec 713(c) and 724 of PL 111-203, 124 Stat 1376   
Legal Deadline:  None
Action Date FR Cite
NPRM  12/03/2010  75 FR 75432   
NPRM Comment Period End  02/01/2011    
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 
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