A
- Accredited Investor Definition Regulation - Comment Letter - American Bar Association - March 31, 2011
- Accredited Investor Definition Regulation - Comment Letter - International Association of Small Broker Dealers and Advisors - February 9, 2011
- Accredited Investor Definition Regulation - Comment Letter - Investment Adviser Association - March 9, 2011
- Accredited Investor Definition Regulation - Comment Letter - Investment Program Association - March 2, 2011
- Accredited Investor Definition Regulation - Comment Letter - Managed Funds Association - March 11, 2011
- Accredited Investor Definition Regulation - Comment Letter - Real Estate Investment Securities Association - March 11, 2011
- Adaptation of CFTC Regulations to Incorporate Swaps - Comment Letter - Environmental Markets Association - July 21, 2011
- Adaptation of CFTC Regulations to Incorporate Swaps - Comment Letter - National Introducing Brokers Association - August 8, 2011
- Adaptation of CFTC Regulations to Incorporate Swaps - Comment Letter - National Council of Farmer Cooperatives - August 8, 2011
- Adaptation of CFTC Regulations to Incorporate Swaps - Comment Letter - Futures Industry Association - August 8, 2011
- Adaptation of CFTC Regulations to Incorporate Swaps - Comment Letter - National Futures Association - August 8, 2011
- Adaptation of CFTC Regulations to Incorporate Swaps - Comment Letter - Minneapolis Grain Exchange - August 8, 2011
- Adaptation of CFTC Regulations to Incorporate Swaps - Comment Letter - IntercontinentalExchange - August 4, 2011
- Adaptation of CFTC Regulations to Incorporate Swaps - Comment Letter - Swaps & Derivatives Market Association - August 8, 2011
- Adaptation of CFTC Regulations to Incorporate Swaps - Comment Letter - CME Group - August 8, 2011
- Adaptation of CFTC Regulations to Incorporate Swaps - Comment Letters
- Agricultural Commodities Definition Regulation
- Agricultural Swaps Regulation
- Agricultural Swaps Regulation - ANPRM
- Agricultural Swaps Regulation - Comment Letter - Amcot - April 1, 2011
- Agricultural Swaps Regulation - Comment Letter - CME Group - March 29, 2011
- Agricultural Swaps Regulation - Comment Letter - Commodity Options and Agricultural Swaps Working Group - April 11, 2011
- Agricultural Swaps Regulation - Comment Letter - Federal Energy Regulatory Commission - April 4, 2011
- Agricultural Swaps Regulation - Comment Letter - Futures Industry Association/International Swaps and Derivatives Association - April 1, 2011
- Agricultural Swaps Regulation - Comment Letter - National Council of Farmer Cooperatives - April 4, 2011
- Agricultural Swaps Regulation - Comment Letters
- Algorithmic Descriptions Regulation
- Algorithmic Descriptions Regulation - Comment Letters
- Algorithmic Descriptions Regulation - Hearings & Testimony
- Algorithmic Descriptions Regulation - White Paper - CFTC/SEC: Joint Study on the Feasibility of Mandating Algorithmic Descriptions for Derivatives - April 7, 2011
- Algorithmic Descriptions Regulation - White Papers
- Asset-Backed Securities Regulation
- Asset-Backed Securities Regulation - Comment Letter - ABA Securities Association - November 16, 2010
- Asset-Backed Securities Regulation - Comment Letter - American Bar Association - November 17, 2010
- Asset-Backed Securities Regulation - Comment Letter - Americans for Financial Reform - November 15, 2010
- Asset-Backed Securities Regulation - Comment Letter - BNY Mellon - July 30, 2010
- Asset-Backed Securities Regulation - Comment Letter - Bank of America - November 15, 2010
- Asset-Backed Securities Regulation - Comment Letter - Bank of America - October 4, 2011
- Asset-Backed Securities Regulation - Comment Letter - Better Markets - October 4, 2011
- Asset-Backed Securities Regulation - Comment Letter - Fannie Mae & Freddie Mac - November 15, 2010
- Asset-Backed Securities Regulation - Comment Letter - Fannie Mae - November 15, 2010
- Asset-Backed Securities Regulation - Comment Letter - Financial Services Roundtable - November 15, 2010
- Asset-Backed Securities Regulation - Comment Letter - Investment Company Institute - November 15, 2010
- Asset-Backed Securities Regulation - Comment Letter - Loan Syndications and Trading Association - November 15, 2010
- Asset-Backed Securities Regulation - Comment Letter - Loan Syndications and Trading Association - July 30, 2010
- Asset-Backed Securities Regulation - Comment Letter - Loan Syndications & Trading Association - October 4, 2011
- Asset-Backed Securities Regulation - Comment Letter - Moody's - November 17, 2010
- Asset-Backed Securities Regulation - Comment Letter - SIFMA - August 2, 2010
- Asset-Backed Securities Regulation - Comment Letter - SIFMA - November 15, 2010
- Asset-Backed Securities Regulation - Comment Letter - Standard & Poor's - November 15, 2010
- Asset-Backed Securities Regulation - Comment Letter - WL Ross & Co. - July 30, 2010
- Asset-Backed Securities Regulation - Comment Letter - Wells Fargo - August 2, 2010
- Asset-Backed Securities Regulation - Comment Letter - Wells Fargo - November 15, 2010
- Asset-Backed Securities Regulation - Comment Letter - Wells Fargo - October 4, 2011
- Asset-Backed Securities Regulation - Comment Letters
- Asset-Backed Securities Regulation - Disclosure of ABS - Comment Letter - ABA Securities Association - November 16, 2010
- Asset-Backed Securities Regulation - Disclosure of ABS - Comment Letter - Financial Services Roundtable - November 15, 2010
- Asset-Backed Securities Regulation - Disclosure of ABS - Comment Letter - SIFMA - November 15, 2010
- Asset-Backed Securities Regulation - Disclosure of ABS - Comment Letter - Investment Company Institute - November 15, 2010
B
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B cont.
C
- CFTC Final Rule: Agricultural Swaps
- CFTC Final Rule: Anti-Manipulation and Anti-Fraud
- CFTC Final Rule: Business Conduct Standards for Swap Dealers and Major Swap Participants with Counterparties
- CFTC Final Rule: Commodity Options
- CFTC Final Rule: Conflicts of Interest for Swap Dealers, Major Swap Participants, Futures Commission Merchants, and Introducing Brokers
- CFTC Final Rule: Core Principles and Other Requirements for Designated Contract Markets
- CFTC Final Rule: Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management
- CFTC Final Rule: Derivatives Clearing Organization General Provisions and Core Principles
- CFTC Final Rule: Designation of Chief Compliance Officer and Preparation of Annual Compliance Report
- CFTC Final Rule: Duties for Swap Dealers and Major Swap Participants
- CFTC Final Rule: Investment of Customer Funds by Futures Commission Merchants and Derivatives Clearing Organizations
- CFTC Final Rule: Large Trader Reporting
- CFTC Final Rule: Position Limits for Futures and Swaps
- CFTC Final Rule: Process for Review of Swaps for Mandatory Clearing
- CFTC Final Rule: Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
- CFTC Final Rule: Provisions Common to Registered Entities
- CFTC Final Rule: Real-Time Public Reporting of Swap Transaction Data
- CFTC Final Rule: Registration and Compliance Obligations for Commodity Pool Operators and Commodity Trading Advisors
- CFTC Final Rule: Registration and Regulation of Swap Data Repositories
- CFTC Final Rule: Registration of Foreign Boards of Trade
- CFTC Final Rule: Registration of Swap Dealers and Major Swap Participants
- CFTC Final Rule: Removing Reliance on Credit Ratings
- CFTC Final Rule: Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants
- CFTC Final Rule: Swap Data Recordkeeping and Reporting Requirements
- CFTC Final Rule: Whistleblower Incentives and Protection
- CFTC Guidebook for Part 20 Reports (Large Trader Reporting), December 7, 2011
- CFTC Open Meeting, April 12, 2011
- CFTC Open Meeting, April 18, 2012
- CFTC Open Meeting, April 27, 2011
- CFTC Open Meeting, August 4, 2011
- CFTC Open Meeting, December 1, 2010
- CFTC Open Meeting, December 16, 2010
- CFTC Open Meeting, December 20, 2011
- CFTC Open Meeting, December 5, 2011
- CFTC Open Meeting, December 9, 2010
- CFTC Open Meeting, February 23, 2012
- CFTC Open Meeting, February 24, 2011
- CFTC Open Meeting, January 11, 2012
- CFTC Open Meeting, January 13, 2011
- CFTC Open Meeting, January 20, 2011
- CFTC Open Meeting, January 26, 2011
- CFTC Open Meeting, July 19, 2011
- CFTC Open Meeting, July 7, 2011
- CFTC Open Meeting, June 14, 2011
- CFTC Open Meeting, March 20, 2012
- CFTC Open Meeting, May 10, 2012
- CFTC Open Meeting, November 10, 2010
- CFTC Open Meeting, November 19, 2010
- CFTC Open Meeting, October 1, 2010
- CFTC Open Meeting, October 18, 2011
- CFTC Open Meeting, October 19, 2010
- CFTC Open Meeting, October 26, 2010
- CFTC Open Meeting, September 8, 2011
- CFTC Proposed Rule: Amendments to Adapt CFTC Regulations to the Dodd-Frank Act
- CFTC Proposed Rule: Core Principles and Other Requirements for Swap Execution Facilities
- CFTC Proposed Rule: Harmonization of Compliance Obligations for Registered Investment Companies Required to Register as Commodity Pool Operators
- CFTC Proposed Rule: Position Reports for Physical Commodity Swaps
- CFTC Proposed Rule: Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Further Measures to Protect the Identities of Parties to Swap Transactions
- CFTC Proposed Rule: Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade
- CFTC Proposed Rule: Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors; and Amendments to Compliance Obligations of Commodity Pool Operators and Commodity Trading Advisors
- CFTC Proposed Rule: Swap Data Recordkeeping and Reporting Requirements: Pre- Enactment and Transition Swaps
- CFTC Rule Proposal: Clearing Member Risk Management
- CFTC Rule Proposal: Customer Clearing Documentation and Timing of Acceptance for Clearing
- CFTC/SEC Joint Final Rule on Swap Entity Definitions
- CFTC/SEC Joint Proposed Rule: Identity Theft Red Flags
- Capital Requirements of Swap Dealers and Major Swap Participants
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C cont.
- Chart: Reporting, Recordkeeping, Public Information and Information Sharing Requirements for DCOs
- Commodity Pool Operator Regulation
- Commodity Pool Operator Regulation - Comment Letters
- Commodity Trading Advisor Regulation
- Commodity Trading Advisor Regulation - Hearings & Testimony
- Comparison Chart – Regulation 1.25, Current vs Proposed Changes
- Conflict Minerals - Comment Letter - AT&T - March 9, 2011
- Conflict Minerals - Comment Letter - Center for Capital Markets Competitiveness - July 18, 2011
- Conflict Minerals - Comment Letter - Ford Motor Company - March 2, 2011
- Conflict Minerals - Comment Letter - United States Steel Corporation - March 4, 2011
- Conflict Minerals - Comment Letter - Verizon - June 24, 2011
- Consumer Financial Information Regulation
- Corporate Governance Regulation
- Corporate Governance Regulation - Comment Letters
- Corporate Governance Regulation - Paper - Bank for International Settlements - The Governance of Financial Regulation:Reform Lessons fron the Recent Crisis - November 2010
- Corporate Governance Regulation - Paper - Corporate Governance in Financial Institutions and Remuneration Policies - June 2, 2010
- Corporate Governance Regulation - Paper - Financial Services Authority: Effective Corporate Governance - January 2010
- Corporate Governance Regulation - Paper - The EU Corporate Governance Framework - April 5, 2011
- Corporate Governance Regulation - Papers
- Corporate Governance Regulation - Proxy Access - Fidelity Investments - November 18, 2010
- Corporate Governance Regulation - Proxy Access - Financial Services Roundtable - November 18, 2010
- Corporate Governance Regulation - Proxy Access - Investment Adviser Association - November 16, 2010
- Corporate Governance Regulation - Proxy Access - Investment Company Institute - November 18, 2010
- Corporate Governance Regulation - Proxy Access - Managed Funds Association - December 22, 2010
- Covered Swap Entities Regulation - Comment Letter - Association of Institutional Investors - July 11, 2011
- Covered Swap Entities Regulation - Comment Letter - BNY Mellon/Northern Trust/State Street - July 11, 2011
- Covered Swap Entities Regulation - Comment Letter - Coalition for Derivatives End-Users - July 11, 2011
- Covered Swap Entities Regulation - Comment Letter - Deutsche Bank - July 11, 2011
- Covered Swap Entities Regulation - Comment Letter - Farm Credit Council - July 11, 2011
- Covered Swap Entities Regulation - Comment Letter - Financial Services Roundtable - July 11, 2011
- Covered Swap Entities Regulation - Comment Letter - Freddie Mac - July 11, 2011
- Covered Swap Entities Regulation - Comment Letter - Investment Company Institute - July 11, 2011
- Covered Swap Entities Regulation - Comment Letter - Markit - July 11, 2011
- Covered Swap Entities Regulation - Comment Letter - PIMCO - July 11, 2011
- Covered Swap Entities Regulation - Comment Letter - SIFMA - July 11, 2011
- Covered Swap Entities Regulation - Comment Letters
- Covered Swap Entities Regulation - Margin and Capital Requirements
- Credit Ratings Regulation
- Credit Ratings Regulation - Comment Letter - American Gas Association - March 28, 2011
- Credit Ratings Regulation - Comment Letter - Americans for Financial Reform - April 25, 2011
- Credit Ratings Regulation - Comment Letter - Better Markets - July 5, 2011
- Credit Ratings Regulation - Comment Letter - BlackRock - April 25, 2011
- Credit Ratings Regulation - Comment Letter - Boeing - March 25, 2011
- Credit Ratings Regulation - Comment Letter - Charles Schwab - April 25, 2011
- Credit Ratings Regulation - Comment Letter - Clearing House Association - October 12, 2010
- Credit Ratings Regulation - Comment Letter - Exelon - March 28, 2011
- Credit Ratings Regulation - Comment Letter - Fannie Mae - August 8, 2011
- Credit Ratings Regulation - Comment Letter - Fidelity - April 28, 2011
- Credit Ratings Regulation - Comment Letter - Financial Services Roundtable - March 28, 2011
- Credit Ratings Regulation - Comment Letter - Investment Company Institute - April 25, 2011
- Credit Ratings Regulation - Comment Letter - Investment Company Institute - August 8, 2011
- Credit Ratings Regulation - Comment Letter - Morningstar - August 8, 2011
- Credit Ratings Regulation - Comment Letter - SIFMA - April 18, 2011
- Credit Ratings Regulation - Comment Letter - SIFMA - July 5, 2011
- Credit Ratings Regulation - Comment Letter - SIFMA - March 18, 2011
- Credit Ratings Regulation - Comment Letter - Standard & Poor’s - August 8, 2011
- Credit Ratings Regulation - Comment Letter - The Clearing House Association - October 12, 2010
- Credit Ratings Regulation - Comment Letter - Vanguard - April 26, 2011
- Credit Ratings Regulation - Comment Letter - Wells Fargo - April 25, 2011
- Credit Ratings Regulation - Comment Letter - William J. Harrington - August 8, 2011
- Credit Ratings Regulation - Comment Letters
- Credit Ratings Regulation - White Paper - International Monetary Fund - The Systemic Regulation of Credit Rating Agencies and Rated Markets - June, 2009
- Credit Ratings Regulation - White Papers
- Credit Risk Retention Regulation
- Credit Risk Retention Regulation - Comment Letter - American Express - July 14, 2011
- Credit Risk Retention Regulation - Comment Letter - Amherst Securities Group - June 2, 2011
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