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CFTC RIN: 3038-AD06 Publication ID: 2012 
Title: Further Definitions of Swap Dealer, Major Swap Participant, and Eligible Contract Participant 
Abstract: Title VII of the Dodd-Frank Act requires that the CFTC and the SEC, in consultation with the Board of Governors of the Federal Reserve System, jointly further define certain terms (specifically swap dealer, security-based swap dealer, major swap participant, major security-based swap participant, and eligible contract participant). 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Other Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Completed Actions 
Major: Yes  Unfunded Mandates: No 
EO 13771 Designation: uncollected 
CFR Citation: 17 CFR 1.3   
Legal Authority: PL 111-203, sec 712, sec 721(c) Dodd-Frank Wall Street Reform and Consumer Protection Act   
Legal Deadline:
Action Source Description Date
Final  Statutory  Statutory timeframe for mandatory rulemakings where no other deadline is specified   07/15/2011 
Action Date FR Cite
ANPRM  08/13/2010  75 FR 51429   
ANPRM Comment Period End  09/20/2010    
NPRM  12/21/2010  75 FR 80174   
NPRM Comment Period End  02/22/2011    
NPRM Comment Period Extended  05/04/2011  76 FR 25274   
Final Action  05/23/2012  77 FR 60596   
NPRM Comment Period Extended End  06/03/2011    
Joint Public Roundtable  06/06/2011  76 FR 34667   
Correction  07/05/2012  77 FR 39626   
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 Agencies: Joint: SEC; 
Agency Contact:
Jeffrey P. Burns
Assistant General Counsel, Office of the General Counsel
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street, NW.,
Washington, DC 20581
Phone:202 418-5101

Mark Fajfar
Assistant General Counsel, Office of General Counsel
Commodity Futures Trading Commission
1155 21st Street NW.,
Washington, DC 20581
Phone:202 418-6636