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CFTC RIN: 3038-AD54 Publication ID: Fall 2019 
Title: Capital Requirements for Swap Dealers and Major Swap Participants  
Abstract:

The staff is considering comments received on the Notice of Proposed Rulemaking that would impose capital requirements for swap dealers and major swap participants that are not banks, as required by section 731 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

 
Agency: Commodity Futures Trading Commission(CFTC)  Priority: Other Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 1    17 CFR 23    17 CFR 140   
Legal Authority: Pub. L. 111-203, sec. 731, Dodd-Frank   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  05/12/2011  76 FR 27802   
NPRM Comment Period End  07/11/2011    
Second NPRM  12/16/2016  81 FR 91252   
Second NPRM Comment Period End  03/16/2017 
Second NPRM Comment Period Extended  03/16/2017  82 FR 13971   
Second NPRM Comment Period Extended End  05/15/2017 
Final Rule  03/00/2020 
Final Rule Effective  06/00/2020 
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:
Thomas J. Smith
Deputy Director, Market Participants Division
Commodity Futures Trading Commission
Three Lafayette Centre, 1155 21st Street NW,
Washington, DC 20581
Phone:202 418-5495
Email: tsmith@cftc.gov