Retirement >> Financial Reform/Swaps


Legislative — proposals, bills and analysis from 2006-present

Regulatory — administrative rules and information from U.S. offices and agencies

Judicial — current and past court cases and amicus briefs

Archive — Click to access archived items for this issue

Press Releases — Council statements and advisories to the news media

See Also — for related information

Related Links — for related links



(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 a Swap, Security-Based Swap, and Security-Based Swap Agreement

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'

May 23, 2012 — CFTC/SEC Final Rule/Interim Final Rule/Interpretations: Clarification/Correction (July 5, 2012)

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

December 18, 2015 — Highlights from the Obama Administration’s October 2015 Regulatory Agendas and IRS Priority Guidance Plan

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

January 11, 2012 — Council commends CFTC's revision of business conduct standards
February 15, 2011 — Council, CIEBA testify: Dodd-Frank regulatory process moving too quickly, could adversely affect pension plans