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Regulatory documents from Regulations.gov including rules, proposed rules, notices, and supporting materials.

Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API

28 rows where agency_id = "CFTC", document_type = "Rule" and posted_year = 2013 sorted by posted_date descending

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posted_year 1

  • 2013 · 28 ✖

document_type 1

  • Rule · 28 ✖

agency_id 1

  • CFTC · 28 ✖
id agency_id docket_id title document_type subtype posted_date ▲ posted_year posted_month comment_start_date comment_end_date last_modified fr_doc_num open_for_comment withdrawn object_id
CFTC-2013-0103-0001 CFTC   Derivatives Clearing Organizations and International Standards Rule   2013-12-02T05:00:00Z 2013 12 2013-12-02T05:00:00Z   2013-12-02T14:04:25Z 2013-27849 0 0 09000064814a200e
CFTC-2013-0099-0001 CFTC   Ownership and Control Reports: Enhanced Identification of Futures and Swap Market Participants Rule   2013-11-18T05:00:00Z 2013 11 2013-11-18T05:00:00Z   2013-11-18T14:20:15Z 2013-26789 0 0 0900006481486bb6
CFTC-2013-0097-0001 CFTC   Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations Rule   2013-11-14T05:00:00Z 2013 11 2013-11-14T05:00:00Z   2013-11-14T14:17:22Z 2013-26665 0 0 090000648147d909
CFTC-2013-0094-0001 CFTC   Protection of Collateral of Counterparties to Uncleared Swaps: Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy Rule   2013-11-06T05:00:00Z 2013 11 2013-11-06T05:00:00Z   2013-11-07T21:28:29Z 2013-26479 0 0 0900006481472628
CFTC-2013-0093-0001 CFTC   Swap Dealers and Major Swap Participants: Clerical or Ministerial Employees Rule   2013-10-28T04:00:00Z 2013 10 2013-10-28T04:00:00Z   2013-10-28T13:10:08Z 2013-25279 0 0 0900006481463270
CFTC-2013-0078-0001 CFTC   Retail Commodity Transactions under Commodity Exchange Act Rule   2013-08-23T04:00:00Z 2013 8 2013-08-23T04:00:00Z   2013-08-23T13:30:32Z 2013-20617 0 0 09000064813c0cdf
CFTC-2013-0077-0001 CFTC   Harmonization of Compliance Obligations for Registered Investment Companies Required to Register as Commodity Pool Operators Rule   2013-08-22T04:00:00Z 2013 8 2013-08-22T04:00:00Z   2013-08-22T13:02:19Z 2013-19894 0 0 09000064813bf0d5
CFTC-2013-0076-0001 CFTC   Clearing Exemption for Certain Swaps Entered into by Cooperatives Rule   2013-08-22T04:00:00Z 2013 8 2013-08-22T04:00:00Z   2013-08-22T13:02:00Z 2013-19945 0 0 09000064813bf08a
CFTC-2013-0069-0001 CFTC   Enhanced Risk Management Standards for Systemically Important Derivatives Clearing Organizations Rule   2013-08-15T04:00:00Z 2013 8 2013-08-15T04:00:00Z   2013-08-15T12:41:26Z 2013-19791 0 0 09000064813b3725
CFTC-2013-0068-0001 CFTC   Core Principles and Other Requirements for Swap Execution Facilities; Correction Rule   2013-08-05T04:00:00Z 2013 8 2013-08-05T04:00:00Z   2013-08-05T12:57:24Z 2013-18773 0 0 090000648138e3fb
CFTC-2013-0067-0001 CFTC   Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations Rule   2013-07-26T04:00:00Z 2013 7 2013-07-26T04:00:00Z   2013-07-26T13:45:05Z 2013-17958 0 0 090000648137f954
CFTC-2013-0066-0001 CFTC   Exemptive Order Regarding Compliance with Certain Swap Regulations Rule   2013-07-22T04:00:00Z 2013 7 2013-07-22T04:00:00Z   2013-07-22T13:17:04Z 2013-17467 0 0 0900006481374042
CFTC-2013-0065-0001 CFTC   Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Correction Rule   2013-07-16T04:00:00Z 2013 7 2013-07-16T04:00:00Z   2013-07-16T13:29:57Z 2013-16938 0 0 090000648136808e
CFTC-2013-0056-0001 CFTC   Core Principles and Other Requirements for Swap Execution Facilities Rule   2013-06-04T04:00:00Z 2013 6 2013-06-04T04:00:00Z   2013-06-04T13:18:55Z 2013-12242 0 0 090000648130902e
CFTC-2013-0055-0001 CFTC   Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade, etc. Rule   2013-06-04T04:00:00Z 2013 6 2013-06-04T04:00:00Z   2013-06-04T13:17:52Z 2013-12250 0 0 0900006481308ed6
CFTC-2013-0054-0001 CFTC   Core Principles and Other Requirements for Designated Contract Markets; Correction Rule   2013-06-03T04:00:00Z 2013 6 2013-06-03T04:00:00Z   2013-06-03T13:08:27Z 2013-13045 0 0 09000064813072be
CFTC-2013-0053-0001 CFTC   Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades Rule   2013-05-31T04:00:00Z 2013 5 2013-05-31T04:00:00Z   2013-05-31T13:20:40Z 2013-12133 0 0 0900006481304259
CFTC-2013-0040-0001 CFTC   Identity Theft Red Flags Rules Rule   2013-04-19T04:00:00Z 2013 4 2013-04-19T04:00:00Z   2013-04-19T12:48:06Z 2013-08830 0 0 090000648129c0ba
CFTC-2013-0039-0001 CFTC   Reassignment of Commission Staff Responsibilities and Delegations of Authority Rule   2013-04-16T04:00:00Z 2013 4 2013-04-16T04:00:00Z   2013-04-16T13:26:28Z 2013-08353 0 0 0900006481295c4d
CFTC-2013-0037-0001 CFTC   Delegations of Authority: Disclosure of Confidential Information to a Contract Market, Registered Futures Association or Self-Regulatory Organization Rule   2013-04-11T04:00:00Z 2013 4 2013-04-11T04:00:00Z   2013-04-11T13:45:58Z 2013-08440 0 0 090000648128eee1
CFTC-2013-0036-0001 CFTC   Clearing Exemption for Swaps Between Certain Affiliated Entities Rule   2013-04-11T04:00:00Z 2013 4 2013-04-11T04:00:00Z   2013-04-11T13:45:58Z 2013-07970 0 0 090000648128ed74
CFTC-2013-0035-0001 CFTC   Requirements for Swap Dealers and Major Swap Participants; Correction: Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Rule   2013-04-09T04:00:00Z 2013 4 2013-04-09T04:00:00Z   2013-04-09T12:43:44Z 2013-08197 0 0 0900006481289ea0
CFTC-2013-0034-0001 CFTC   Adaptation of Regulations to Incorporate Swaps-Records of Transactions; Correction Rule   2013-04-09T04:00:00Z 2013 4 2013-04-09T04:00:00Z   2013-04-09T12:43:47Z 2013-07797 0 0 0900006481289daa
CFTC-2013-0030-0001 CFTC   Dual and Multiple Associations of Persons Associated with Swap Dealers: Major Swap Participants and Other Commission Registrants Rule   2013-04-08T04:00:00Z 2013 4 2013-04-08T04:00:00Z   2013-04-08T13:17:48Z 2013-07755 0 0 090000648127fff0
CFTC-2013-0021-0001 CFTC   Proceedings before Commodity Futures Trading Commission Rule   2013-02-26T05:00:00Z 2013 2 2013-02-26T05:00:00Z   2013-02-26T14:40:51Z 2013-04252 0 0 0900006481209fa9
CFTC-2013-0004-0001 CFTC   Rules of Practice; Amendments to Delegations of Authority to the Office of General Counsel Rule   2013-01-08T05:00:00Z 2013 1 2013-01-08T05:00:00Z   2013-01-09T23:30:20Z 2012-31721 0 0 09000064811b08bd
CFTC-2013-0003-0001 CFTC   Final Exemptive Order Regarding Compliance with Certain Swap Regulations Rule   2013-01-07T05:00:00Z 2013 1 2013-01-07T05:00:00Z   2013-01-09T23:46:46Z 2012-31736 0 0 09000064811ae171
CFTC-2013-0001-0001 CFTC   Business Conduct and Documentation Requirements: Swap Dealers and Major Swap Participants; Extension of Compliance Date Rule   2013-01-02T05:00:00Z 2013 1 2013-01-02T05:00:00Z 2013-02-02T04:59:59Z 2013-01-02T14:06:56Z 2012-30885 0 0 09000064811a1dbb

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CREATE TABLE documents (
    id TEXT PRIMARY KEY,
    agency_id TEXT,
    docket_id TEXT REFERENCES dockets(id),
    title TEXT,
    document_type TEXT,
    subtype TEXT,
    posted_date TEXT,
    posted_year INTEGER,
    posted_month INTEGER,
    comment_start_date TEXT,
    comment_end_date TEXT,
    last_modified TEXT,
    fr_doc_num TEXT,
    open_for_comment INTEGER,
    withdrawn INTEGER,
    object_id TEXT
);
CREATE INDEX idx_docs_agency ON documents(agency_id);
CREATE INDEX idx_docs_docket ON documents(docket_id);
CREATE INDEX idx_docs_date ON documents(posted_date);
CREATE INDEX idx_docs_year ON documents(posted_year);
CREATE INDEX idx_docs_type ON documents(document_type);
CREATE INDEX idx_docs_frnum ON documents(fr_doc_num);
CREATE INDEX idx_docs_comment_end ON documents(comment_end_date) WHERE comment_end_date IS NOT NULL AND withdrawn = 0;