Regulatory Timelines
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Contents
- 1 Agricultural Commodities
- 2 Asset-Backed Securities
- 3 Commodity Trading Advisors, Commodity Pool Operators
- 4 Derivatives Clearing Organizations
- 5 Designated Contract Market
- 6 Disruptive Trading Practices
- 7 End-User Exception to Mandatory Clearing
- 8 Executive Compensation
- 9 Futures Commission Merchants
- 10 Foreign Exchange Swaps and Retail Foreign Exchange
- 11 Hedge Funds
- 12 Investment Advisers
- 13 Market Manipulation
- 14 Orderly Liquidation
- 15 Position Limits and Large Trader Reporting
- 16 Swap Data Regulation|Swap Data]]
- 17 Swap Dealers and Major Swap Participants
- 18 Swap Entities Regulation
- 19 Swap Execution Facilities
- 20 Review of Swaps for Mandatory Clearing
- 21 Volcker Rule
- 22 Whistleblower Provisions
Agricultural Commodities[edit]
Final Rule Issue | Effective Date | No-action Deadline |
---|---|---|
August 10, 2011 | December 31, 2011 | December 31, 2012 |
Proposal Date | Final Rule | Effective/Compliance Date |
---|---|---|
October 26,2010 | July 13, 2011, | September 12, 2011 |
Final Rule-Swaps | Effective Date - Swaps | Effective Date-Options |
---|---|---|
August 10, 2011 | December 31, 2011 | June 26, 2012 |
Asset-Backed Securities[edit]
Proposal Date | Comment File Reopened | New Comment Deadline |
---|---|---|
August 5, 2011 | February 25, 2014 | March 28, 2014 |
Comment Deadline | Final Rule Issue | Effective Date |
---|---|---|
February 7, 2011 | August 23, 2011 | September 22, 2011 |
Proposal Date | Comment Deadline | Reopened Comment Period Deadline |
---|---|---|
October 26, 2010 | April 29, 2011 | July 22, 2013 |
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
January 26, 2011 | March 28, 2011 | February 14, 2012 |
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
January 25, 2011 | March 28, 2011 | December 31, 2011 |
Approval Date | Comment Deadline | Effective Date |
---|---|---|
October 20, 2010 | December 20, 2010 | January 12, 2012 |
Commodity Trading Advisors, Commodity Pool Operators[edit]
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
February 9, 2012 | July 2, 2012 | by December 2012* |
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
November 16, 2011 | March 31 2012 | June 15, 2012* |
Derivatives Clearing Organizations[edit]
Proposal Date | Final Rule Issue | Effective Date |
---|---|---|
December 13, 2010 | October 18, 2011 | January 9, 2012 |
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
October 18, 2011 | January 9, 2012 | May 7, 2012 |
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
November 2, 2010 | September 26, 2011 | September 26, 2011 |
Proposal Date | Final Rule Issue | Effective Date |
---|---|---|
December 13, 2010 | October 18, 2011 | January 9, 2012 |
Proposal Date | Comment Deadline | Final Rule Issue |
---|---|---|
January 6, 2011 | June 3, 2011 | TBA |
Final Rule Issue | Effective Date | Effective Date, SIDCOs | Compliance Date, SIDCOs |
---|---|---|---|
October 18, 2011 | January 9, 2012 | October 15, 2013 | December 31, 2013 |
Designated Contract Market[edit]
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
June 19, 2012 | August 20, 2012 | October 17, 2012 |
Final Rule Issue | First MAT Determination | First Compliance Date |
---|---|---|
June 4, 2013 | January 16, 2014 | February 15, 2014 |
Proposal Date | Comment Deadline | Final Rule Issue |
---|---|---|
January 6, 2011 | June 3, 2011 | TBA |
Disruptive Trading Practices[edit]
Proposal Date | Comment Deadline | Effective Date |
---|---|---|
March 18, 2011 | May 17, 2011 | May 28, 2013 |
End-User Exception to Mandatory Clearing[edit]
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
July 19, 2012 | September 17, 2012 | April 10, 2013 |
Proposal Date | Comment Deadline | Reopened Comment Period Deadline |
---|---|---|
December 21, 2010 | February 4, 2011 | July 22, 2013 |
Executive Compensation[edit]
Proposal Date | Re-proposed Rule | Comment Deadline |
---|---|---|
April 14, 2011 | May 6, 2016 | July 22, 2016 |
Approval Date | Effective Date | Compliance Date |
---|---|---|
February 2, 2011 | April 4, 2011 | April 4, 2011 |
Final Rule Issue | Effective Date | Compliance Date, Rule Changes | Compliance Date, Disclosure |
---|---|---|---|
June 27, 2012 | July 27, 2012 | September 25, 2012 | January 1, 2013 |
Futures Commission Merchants[edit]
Final Rule Issue | Effective Date | Compliance Deadline |
---|---|---|
December 19, 2011 | February 17, 2012 | June 18, 2012 |
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
April 3, 2012 | August 3, 2012 | October 12, 2012 |
Final Rule Issue | Effective Date | Compliance Date, Non-Covered Firms | Compliance Date, Covered Firms |
---|---|---|---|
April 3, 2012 | June 4, 2012 | September 30, 2012 | March 31, 2013 |
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
February 7, 2012 | April 9, 2012 | November 13, 2012 |
Foreign Exchange Swaps and Retail Foreign Exchange[edit]
Proposal Date | Comment Deadline | Proposed Determination | Final Determination |
---|---|---|---|
October 28, 2010 | November 29, 2010 | April 29, 2011 | November 16, 2012 |
Proposal Date | Final Rule Issue | Effective Date |
---|---|---|
January 20, 2010 | September 10, 2010 | October 18, 2010 |
Proposal Date | Final Rule Issue | Effective Date |
---|---|---|
April 22, 2011 | July 14, 2011 | July 15, 2011 |
Proposal Date | Final Rule Issue | Effective Date |
---|---|---|
May 10, 2011 | July 8, 2011 | July 15, 2011 |
Proposal Date | Comment Deadline | Final Rule Issue |
---|---|---|
July 28, 2011 | October 11, 2011 | April 9, 2013 |
Hedge Funds[edit]
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
November 16, 2011 | March 31 2012 | June 15, 2012* |
Comment Deadline | Final Rule Issue | Effective Date |
---|---|---|
November 18, 2010 | June 29, 2011 | August 29, 2011 |
Proposal Date | Final Rule Issue | Effective Date |
---|---|---|
January 31, 2011 | December 29, 2011 | February 27, 2012 |
Comment Deadline | Final Rule Issue | Effective Date |
---|---|---|
January 24, 2011 | July 6, 2011 | July 21, 2011 |
Investment Advisers[edit]
Proposal Date | Final Rule Issue | Effective Date |
---|---|---|
May 13, 2011 | February 22, 2012 | May 22, 2012 |
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
July 19, 2011 | September 19, 2011 | March 30, 2012 |
Comment Deadline | Final Rule Issue | Effective Date |
---|---|---|
January 24, 2011 | July 6, 2011 | July 21, 2011 |
Market Manipulation[edit]
Proposal Date | Final Rule | Effective Date |
---|---|---|
November 3, 2010 | July 14, 2011 | August 15, 2011 |
Proposal Date | Comment Deadline | Reopened Comment Period Deadline |
---|---|---|
November 8, 2010 | December 23, 2010 | July 22, 2013 |
Orderly Liquidation[edit]
Final Rule Issued | Effective Date | Comment Deadline |
---|---|---|
January 25, 2011 | January 25, 2011 | March 28, 2011 |
Proposal Date | Comment Deadline | Final Rule Issue |
---|---|---|
March 23, 2011 | May 23, 2011 | August 15, 2011 |
Proposal Date | Comment Deadline | Final Rule Issue |
---|---|---|
November 25, 2011 | January 24, 2012 | April 23 2012 |
Position Limits and Large Trader Reporting[edit]
Interim and Final Rule | VACATED BY COURT ORDER | Re-proposed Rule Issue | Comment Deadline (reopen February 26, 2015) |
---|---|---|---|
November 18, 2011 | September 28, 2012 | November 5, 2013 | March 28, 2015 |
Effective Date | Compliance Date, "Sponsored Access" | Compliance Date, Other Bkr-Dlrs |
---|---|---|
October 3, 2011 | November 30, 2012 | May 1, 2013 |
Final Rule | Effective Date | No-action Relief Deadline |
---|---|---|
July 22, 2011 | September 20, 2011 | June 30, 2013 |
Swap Data Regulation|Swap Data]][edit]
Proposal Date | Comment Deadline | Study Issued |
---|---|---|
December 9, 2010 | December 31, 2010 | April 7 2011 |
Proposal Date | Comment Deadline | Final Rule Issue |
---|---|---|
October 14, 2010 | November 15, 2010 | June 12, 2012 |
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
December 20, 2011 | March 9, 2012 | December 31, 2012 |
Proposal Date | Final Rule Issue | Effective Date* |
---|---|---|
December 23, 2010 | September 1, 2011 | October 31, 2011 |
Final Rule Issue | Effective Date | No-Action Relief, Part 43/45 | No-Action Relief, Part 23 |
---|---|---|---|
January 13, 2012 | March 13, 2012 | July 1, 2013 (IRS, CDS); Aug. 19 for other swaps | June 30, 2013 |
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
June 12, 2012 | August 13, 2012 | April 10, 2013 |
Reopened Comment Period Deadline | Final Rule Issue | Effective Date |
---|---|---|
July 22, 2013 | March 19, 2015 | May 18, 2015 |
Final Rule Issue/New Proposal | Proposal Comment Deadline | Effective Date, Final Rule |
---|---|---|
March 19, 2015 | May 4, 2015 | May 18, 2015 |
Approval Date | Comment Deadline | Effective Date |
---|---|---|
October 20, 2010 | December 20, 2010 | January 12, 2012 |
Swap Dealers and Major Swap Participants[edit]
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
April 3, 2012 | June 4, 2012 | October 12, 2012 |
Final Rule Issue | Effective Date | Compliance Date - Swap Dealers | Compliance Date - Major Swap Participants |
---|---|---|---|
January 19, 2012 | March 19, 2012 | January 1, 2013 | October 12, 2012 |
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
April 3, 2012 | August 3, 2012 | October 12, 2012 |
Final Rule Issue | Effective Date | Compliance Date, Non-Covered Firms | Compliance Date, Covered Firms |
---|---|---|---|
April 3, 2012 | June 4, 2012 | September 30, 2012 | March 31, 2013 |
Final Rule Issue | Effective Date | No-action Relief, Valuation |
---|---|---|
April 3, 2012 | June 4, 2012 | June 30, 2014 |
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
May 23, 2012 | July 23/Dec. 31, 2012 | October 12, 2012 |
Final Rule Issue | Effective Date | Compliance Date (Extended) |
---|---|---|
February 17, 2012 | April 17, 2012 | May 1, 2013 |
Proposal Date | Final Rule Issue | Effective Date |
---|---|---|
December 28, 2010 | September 11, 2012 | November 13, 2012 |
Proposal Date | Comment Deadline | Final Rule Issue |
---|---|---|
February 8, 2011 | June 3, 2011 | August 27, 2012 |
Proposal Date | Final Rule Issue | Effective Date |
---|---|---|
February 8, 2011 | September 11, 2012 | November 13, 2012 |
Original Proposal | Re-proposal Approved | Final Rule Approved |
---|---|---|
May 12, 2011 | September 17, 2014 | December 16, 2015 |
Reopened Comment Period Deadline | Final Rule Approved | Effective Date |
---|---|---|
July 22, 2013 | April 13, 2016 | June 27, 2016 |
Proposal Date | Comment Deadline (Reopened) | Final Rule Issue | Effective Date |
---|---|---|---|
October 24, 2011 | July 22, 2013 | August 14, 2015 | October 13, 2015 |
Swap Entities Regulation[edit]
Proposal Date | Comment Deadline | Final Rule Proposal |
---|---|---|
October 18, 2010 | June 3, 2011 | First Qtr. 2012 |
Proposal Date | Comment Deadline | Final Rule Issue |
---|---|---|
January 6, 2011 | June 3, 2011 | TBA |
Proposal Date | Final Rule Issue | Effective/Compliance Date |
---|---|---|
November 2, 2010 | July 27, 2011 | September 26, 2011 |
Proposal Date | Final Rule Issue | Effective Date |
---|---|---|
December 13, 2010 | October 18, 2011 | January 9, 2012 |
Proposal Date | Comment Deadline | Reopened Comment Period Deadline |
---|---|---|
October 26, 2010 | April 29, 2011 | July 22, 2013 |
Proposal Date | Final Rule Issue | Effective Date | Reopened Comment Period Deadline |
---|---|---|---|
March 16, 2011 | November 2, 2012 | January 2, 2013 | July 22, 2013 |
Swap Execution Facilities[edit]
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
June 4, 2013 | August 5, 2013 | October 2, 2013 (one-year phase-in of RFQ minimum); Also see No-action relief note |
Proposal Date | Comment Deadline | Final Rule Issue |
---|---|---|
January 6, 2011 | June 3, 2011 | TBA |
Proposal Date | Comment Deadline | Reopened Comment Period Deadline |
---|---|---|
February 28, 2011 | April 4, 2011 | July 22, 2013 |
Final Rule Issue | First MAT Determination | First Compliance Date |
---|---|---|
June 4, 2013 | January 16, 2014 | February 15, 2014 |
Proposal Date | Comment Deadline | Final Rule Issue |
---|---|---|
August 20, 2010 | September 20, 2010 | Late 2011 |
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
May 23, 2012 | July 23/Dec. 31, 2012 | October 12, 2012 |
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
August 13, 2012 | October 12, 2012 | October 12, 2012 |
Request Date | Comment Period Reopened | Comment Deadline |
---|---|---|
August 25, 2011 | October 2, 2012 | November 1, 2012 |
Review of Swaps for Mandatory Clearing[edit]
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
November 2, 2010 | September 26, 2011 | September 26, 2011 |
Final Rule Issue | Effective Date | Compliance Date |
---|---|---|
June 28, 2012 | August 13, 2012 | December 10, 2012 |
Volcker Rule[edit]
Proposal Date | Comment Deadline | Final Rule Released |
---|---|---|
October 12, 2011 | February 13, 2012 | December 10, 2013 |
Proposal Date | Comment Deadline | Final Rule Released |
---|---|---|
February 14, 2012 | April 16, 2012 | December 10, 2013 |
Whistleblower Provisions[edit]
Final Rule Issue | Effective Date | Proposed Amendment |
---|---|---|
August 4, 2011 | October 24, 2011 | August 30, 2016 |
Comment Deadline | Final Rule Issue | Effective Date |
---|---|---|
December 17, 2010 | June 13, 2011 | August 12, 2011 |