Retirement: Financial Reform / Swaps


Legislative — proposals, bills and analysis from the 112th and 113th Congresses (2011-present)
Regulatory — administrative rules and information from U.S. offices and agencies
Judicial — current and past court cases and amicus briefs
Archive — All materials dated prior to 2011
Press Releases — Council statements and advisories to the news media
See Also — for related information



(Items in italic are available only to Council members.)

Official Source Documents

October 3, 2014 — CFTC Proposed Rule and Advance Notice of Proposed Rulemaking on Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

September 24, 2014 — Multi-Agency Notice of Proposed Rulemaking on Margin and Capital Requirements for Covered Swap Entities

June 21, 2013 — DOL Notice Of Proposed Amendments To Certain Class Exemptions: Use of Credit Ratings as Standards of Creditworthiness

February 7, 2013 — DOL Advisory Opinion Regarding Application of ERISA to Cleared Swaps Transactions

August 13, 2012 — CFTC/SEC Final Regulations Defining “Swap,â€�’ “Security-Based Swapâ€� and “Security-Based Swap Agreementâ€�

May 30, 2012 — CFTC Proposed Regulations on Aggregation, Position Limits for Futures and Swaps

May 23, 2012 — CFTC/SEC Final Rule/Interim Final Rule/Interpretations Providing Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and ‘"Eligible Contract Participant"

January 18, 2012 — CFTC Final Regulations on Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties

January 17, 2012 — Phyllis Borzi/DOL-EBSA Letter to CFTC Regarding Final Regulations on Business Conduct Standards

January 11, 2012 — CFTC Questions & Answers on Final Business Conduct Standards Rules

January 11, 2012 — CFTC Fact Sheet on Final Business Conduct Standards Rules

November 18, 2011 — CFTC Final and Interim Final Regulations on Position Limits for Futures and Swaps

August 25, 2011 — CFTC/SEC Request for Comment on Study of Stable Value Contracts under Dodd-Frank

July 19, 2011 — CFTC Final Order Regarding Effective Date for Swap Regulation

July 18, 2011 — SEC Final Regulations Regarding Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants

June 17, 2011 — CFTC Notice of Proposed Order Regarding Effective Dates for Swaps Regulations

May 11, 2011 — Prudential Regulators’ Proposed Regulations on Margin and Capital Requirements for Covered Swap Entities

April 28, 2011 — CFTC Extension of Comment Period for Dodd-Frank Implementation

April 26, 2011 — CFTC/SEC Announcement of Joint Roundtable Discussion and RFI

April 25, 2011 — CFTC Proposed Regulations on Swap Data Recordkeeping and Reporting Requirements

April 12, 2011 — CFTC Proposed Regulations on Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

March 16, 2011 — CFTC Proposed Regulations on Clearing Agency Standards for Operation and Governance

January 7, 2011 — CFTC Proposed Regulations Regarding Core Principles and Other Requirements for Swap Execution Facilities

Council Materials

November 25, 2014 — Global Pension Coalition Letter to Government Agencies Regarding Proposed Rules Related to Margin for Uncleared Swaps

February 10, 2014 — Council Letter to CFTC Regarding Position Aggregation Proposal

February 1, 2013 — Council Letter to DOL Regarding Needed Guidance on Treatment of Swaps Transactions under ERISA

October 31, 2012 — Council Letter to CFTC/SEC Regarding Study of Stable Value Contracts under Dodd-Frank (Second Submission)

September 14, 2012 — Group Comments on Proposed Rules Related to Margin for Uncleared Swaps

June 29, 2012 — Council Letter to CFTC Regarding Aggregation, Position Limits for Futures and Swaps

January 25, 2012 — Council Summary of CFTC Final Business Conduct Standards with Respect to ERISA Plans Under Dodd-Frank (Prepared by Davis & Harman LLP)

September 26, 2011 — Council Letter to CFTC/SEC Regarding Study of Stable Value Contracts under Dodd-Frank

August 29, 2011 — Council Comment Letter to SEC on Proposed Business Conduct Standards Regulations

June 3, 2011 — Council/CEIBA Letter to CFTC Regarding Business Conduct Standards

May 6, 2011— Council Letter to SEC Regarding Clearing Agency Standards for Operation and Governance

March 25, 2011 — Council/CIEBA Letter to NY Federal Reserve Regarding Swaps

March 8, 2011 — Council/CEIBA Letter to CFTC Regarding Core Principles and Other Requirements for Swap Execution Facilities

March 8, 2011 — Council/CEIBA letter to CFTC Regarding Swap Execution Facilities

February 28, 2011 — Council/CEIBA Letter to CFTC Regarding Confirmation, Portfolio Reconciliation and Portfolio Compression Requirements for Swap Dealers and Major Swap Participants

February 22, 2011 — Group Letter to CFTC Regarding Business Conduct Standards

February 22, 2011 — Council/CEIBA Letter to CFTC Regarding Business Conduct Standards

February 22, 2011 — Council/CEIBA Letter to CFTC Regarding Various Definitions

February 22, 2011 — Council/CEIBA Letter to CFTC Regarding Swap Data Repositories

February 7, 2011 — Council Letter to CFTC Regarding Unique Counterparty Identifiers

February 7, 2011 — Council/CIEBA Letter to CFTC Regarding Swaps Issues

January 31, 2011 — Council Comment Letter to Treasury Regarding Legal Entity Identifiers

January 3, 2011 — Council Comment Letter to CFTC Regarding Process for Review of Swaps for Mandatory Clearing and Provisions Common to Registered Entities

Official Source Documents
Council Materials

Council commends CFTC's revision of business conduct standards
January 11, 2012

Council, CIEBA testify: Dodd-Frank regulatory process moving too quickly, could adversely affect pension plans
February 15, 2011