CFTC Approves Conforming Amendments to Swap Reporting Requirements
The CFTC approved technical corrections to its swap dealer and major swap participant regulations.
The changes conform aspects of Reg. 23.202 ("Daily trading records") and Reg. 23.205 ("Real-time public reporting") in accordance with amendments made to Part 45 of the CFTC rules ("Swap Data Recordkeeping and Reporting Requirements"). The Part 45 amendments were finalized in September 2020 (see previous coverage).
Primary Sources
- CFTC Voting Draft: Swap Data Recordkeeping and Reporting Requirements
- CFTC Voting Draft: Real-Time Public Reporting Requirements
- CFTC Correcting Amendments: Reporting, Recordkeeping, Daily Trading Records, and Swap Documentation Requirements for Swap Dealers and Major Swap Participants; Corrections
- CFTC Press Release: CFTC Approves Technical Corrections to Swap Dealer Regulations
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- CFTC Rules Part 23-Swap Dealers and Major Swap Participants
- CFTC Rules Part 43-Real-Time Public Reporting
- CFTC Rules Part 45-Swap Data Recordkeeping and Reporting Requirements
- CFTC Rules Part 49-Swap Data Repositories
- CFTC Rules Part 44-Interim Final Rule for Pre-Enactment Swap Transactions
- CFTC Rules Part 48-Registration of Foreign Boards of Trade
- CFTC Rule 45.1: Definitions.
- CFTC Rule 45.3: Swap data reporting: Creation data.
- CFTC Rule 45.4: Swap data reporting: Continuation data.
- CFTC Rule 45.5: Unique transaction identifiers.
- CFTC Rule 45.6: Legal entity identifiers.
- CFTC Rule 45.8: Determination of which counterparty shall report.
- CFTC Rule 45.10: Reporting to a single swap data repository.
- CFTC Rule 45.11: Data reporting for swaps in a swap asset class not accepted by any swap data repository.
- CFTC Rule 45.12: [Reserved]
- CFTC Rule 45.13: Required data standards.
- CFTC Rules--Appendix 1 to Part 45: Swap Data Elements
- CFTC Rules Part 46-Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps
- CFTC Rule 46.1: Definitions.
- CFTC Rule 46.3: Data reporting for pre-enactment swaps and transition swaps.
- CFTC Rule 46.10: Required data standards.
- CFTC Rule 46.11: Reporting of errors and omissions in previously reported data.
- CFTC Rule 49.2: Definitions.
- CFTC Rule 49.4: Withdrawal from registration.
- CFTC Rule 49.10: Acceptance and validation of data.
- CFTC Rule 43.1: Purpose, scope, and rules of construction.
- CFTC Rule 43.2: Definitions.
- CFTC Rule 43.3: Method and timing for real-time public reporting.
- CFTC Rule 43.4: Swap transaction and pricing data to be publicly disseminated in real-time.
- CFTC Rule 43.5: Time delays for public dissemination of swap transaction and pricing data.
- CFTC Rule 43.6: Block trades and large notional off-facility swaps.
- CFTC Rule 43.7: Delegation of authority.
- CFTC Rules--Appendix A to Part 43: Swap Transaction and Pricing Data Elements
- CFTC Rules--Appendix B to Part 43: Enumerated Physical Commodity Contracts and Other Contracts
- CFTC Rules--Appendix C to Part 43: Time Delays for Public Dissemination
- CFTC Rules--Appendix D to Part 43: Other Commodity Swap Categories
- CFTC Rules--Appendix E to Part 43: Other Commodity Geographic Identification for Public Dissemination Pursuant to § 43.4(c)(4)(iii)
- CFTC Rules--Appendix F to Part 43: Initial Appropriate Minimum Block Sizes by Asset Class for Block Trades and Large Notional Off-Facility Swaps
- CFTC Comment Deadline: Real-Time Public Reporting Requirements
- 85 FR 22690 - Extension of Currently Open Comment Periods for Rulemakings in Response to the COVID-19 Pandemic
- CFTC Comment Deadline: Swap Data Recordkeeping and Reporting Requirements
- 85 FR 21339 - Certain Swap Data Repository and Data Reporting Requirements
- CFTC Comment Deadline: Reopened Comment Period for Certain Swap Data Repository and Data Reporting Requirements
- 85 FR 21578 - Swap Data Recordkeeping and Reporting Requirements
- 85 FR 21516 - Real-Time Public Reporting Requirements
- CFTC Comment Deadline: Reopened Comment Period for Certain Swap Data Repository and Data Reporting Requirements
- 88 FR 8752 - Reporting, Recordkeeping, Daily Trading Records, and Swap Documentation Requirements for Swap Dealers and Major Swap Participants; Corrections
- CFTC Rule 23.202: Daily trading records.
- CFTC Rule 23.205: Real-time public reporting.
- Appendix 1 to Subpart I
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