- Part 43: Real-Time Public Reporting
- Part 45: Swap Data Recordkeeping and Reporting Requirements
- Part 49: Swap Data Repositories
- For Reference Only - CFTC Part 43 2020 Block Thresholds and Cap Sizes
Other related rules:
CFTC No-Action Letters:
- DOD is taking a time-limited no-action position with respect to the compliance dates for the November 25, 2020 amendments to certain of the swap data reporting rules in Parts 43, 45, 46, and 49.
See also: Request Letter; Requester(s): CMESDR, DTCC, ICE SDR, ISDA
CFTC Regulation Parts: 43, 45, 46, 49; No-Action
22-03 - Relief under Parts 43 and 45 to entities submitting swaps for clearing by derivatives clearing organizations (DCOs) operating under CFTC exemptive orders or no-action relief provided by CFTC staff.
CFTC Regulation Parts: 43, 45; No-Action
21-12 - Relief from Part 43 and 45 reporting, as well as related sections of Parts 38 and 39, for binary options executed on or pursuant to the rules of Kalshi and cleared through LedgerX.
CFTC Regulation Parts: 38.8, 38.10, 38.951, 39.20, 43, 45; No-Action
21-11 - Brexit-related time limited no-action position with respect to certain swap dealer transaction-level requirements.
CFTC Regulation Parts: 2(h)(8), 23, 23.202, 23.205, 23 Subpart I, 23.500, 23.501, 23.502, 23.503, 23.504, 23.505, 23.506, 23.610, 23 Subpart L, 23.700, 23.701, 23.702, 23.703, 23.704, 37, 38, 43, 50; No-Action
21-09 - No-action relief from certain Commission regulations with respect to certain warrants listed on foreign exchanges.
CFTC Regulation Parts: 23, 23.150, 23.151, 23.152, 23.153, 23.154, 23.155, 23.156, 23.157, 23.158, 23.159, 23.160, 23.161, 43, 45, 46; No-Action
20-18 - The Division of Market Oversight is issuing a no-action letter that extends Letter No. 16-25 and provides relief from: (1) the requirement that a SEF obtain documents that are incorporated by reference in a confirmation issued under Commission Regulation 37.6(b) prior to issuing the confirmation; (2) the requirement that a SEF maintain such documents as records; and (3) the requirement that a SEF report terms contained in such documents that are confirmation data.
Commodity Exchange Act Section 2(h)(8); CFTC Regulation Parts: 37.6(b), 37.1000, 37.1001, 45.2, and 45.3(a); No-Action
17-17 - The CFTC’s Division of Market Oversight further extends time-limited, conditional masking no-action relief provided in CFTC Letters 16-03 and 16-33 permitting Part 45 and Part 46 reporting counterparties to mask legal entity identifiers, other enumerated identifiers and other identifying terms, and permitting Part 20 reporting entities to mask identifying information in certain enumerated jurisdictions, in each case subject to conditions.
CFTC Regulation Parts: 20, 45 and 46; No-Action
17-16 - The Division of Market Oversight issues time-limited no-action relief from certain requirements of Part 45 and Part 46 of the Commission’s Regulations, for certain swap dealers and major swap participants established under the laws of Australia, Canada, the European Union, Japan or Switzerland.
CFTC Regulation Parts: 45 and Part 46; No Action
15-61 - The Division of Market Oversight extended time-limited no-action relief to Swap Execution Facilities (SEFs) from certain requirements in the definition of “Block trade” in Commission regulation § 43.2.
CFTC Regulation Part: 43.2; No Action
15-60 - Conditional no-action relief with respect to swaps trading on certain financial markets that are licensed in Australia and overseen by the Australian Securities & Investments Commission (ASIC).
Commodity Exchange Act Sections 2(h)(8) and 5h(a)(1); CFTC Regulation Part: 37.3(a)(1); parts 23, 43 and 45; No-Action
15-29 - The Division of Market Oversight is issuing Guidance to swap execution facilities regarding the calculation of projected operating costs or expenses for the purpose of meeting the financial resource requirements under SEF Core Principle 13 and Commission Regulation 37.1303 and clarifies that commissions paid employee-brokers, calculated as a percentage of transaction revenue, do not have to be included in the calculation.
Commodity Exchange Act Section 2(h)(8); CFTC Regulation Parts: 37.6(b), 37.1000, 37.1001, 45.2, and 45.3(a); Other Written Communication
15-26 - The Division of Market Oversight is issuing a no-action letter that extends No-Action Letter 14-108 and continues to provide relief from (1) the requirement that a SEF obtain documents that are incorporated by reference in confirmations issued under Commission Regulation 37.6(b) prior to issuing the confirmation, and (2) the requirement that a SEF maintain such documents as records. In addition, the division is providing relief from the requirement set forth in Commission Regulation 45.3(a) that SEFs report terms contained in the agreements that are confirmation data.
Commodity Exchange Act Section 2(h)(8); CFTC Regulation Parts: 37.6(b), 37.1000, 37.1001, 45.2, and 45.3(a); No-Action
15-25 - Extension of No-Action Relief: Transaction-Level Requirements for Non-U.S. Swap Dealers.
CFTC Regulation Parts: 23.202, 23.205, 23.400 to 23.451, 23.501, 23.502, 23.503, 23.504, 23.505, 23.506, 23.610, 23.701 to 23.704, and parts 37, 38, 43, and 50; No-Action
14-140 - The CFTC’s Division of Market Oversight issued an extension of no-action letter 13-86, which provided relief in connection with certain CDS trades executed pursuant to a DCO’s CDS Settlement Price Process, providing time-limited no-action relief to DCOs and their Clearing Members from the SEF Registration Requirement and Trading Mandate under Part 37, and from various reporting requirements under Part 45, allowing the DCO to fulfill the Reporting Counterparty’s Obligations.
CFTC Regulation Part: 37 and 45; No-Action
14-119 - Extension of no-action relief granted by DMO on June 26, 2013 to SD and MSP reporting counterparties for cleared swaps from valuation data reporting required in section 45.4(b)(2)(ii) of the Commission’s regulations.
CFTC Regulation Parts: 20, 45 and 46; No-Action
14-89 - Time-Limited No-Action Relief Permitting Part 45 and Part 46 Reporting Counterparties to Mask Legal Entity Identifiers, Other Enumerated Identifiers and Other Identifying Terms and Permitting Part 20 Reporting Entities to Mask Identifying Information, with respect to certain Enumerated Jurisdictions.
CFTC Regulation Parts: 20, 45 and 46; No-Action
13-41 - No-Action Relief for Swaps Between Affiliated Counterparties That Are Neither Swap Dealers Nor Major Swap Participants from Certain Swap Data Reporting Requirements Under Parts 45, 46, and Regulation 50.50(b) of the Commission’s Regulations.
CFTC Regulation Parts: 45, 46, and 50; No-Action
13-09