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January 30, 2012

CFTC rule writing schedule / time line

Well I’ve seen some time plans in my time, but this one is the simplest. Original CFTC PDF is here. They omitted the “gantt charts for beginners” course from the agenda.

The page from which this PDF is taken is here: http://www.cftc.gov/PressRoom/Events/opaevent_cftcdoddfrank011112 – look for the heading Additional Documents.

January to March

  • Client Clearing Documentation, Clearing Member Risk Management, Straight Through Processing
  • Commodity Options
  • DCMs
  • End-User Exception
  • Entity Definitions
  • External Business Conduct
  • Internal Business Conduct (Duties, Recordkeeping, CCOs)
  • Product Definitions
  • Registration of SDs and MSPs
  • Reporting of Historical Swaps
  • Segregation for Cleared Swaps 

April and after

  • Block Rule
  • Capital and Margin
  • Conforming Rules
  • Disruptive Trade Practices
  • Extraterritoriality
  • Governance and Conflict of Interest
  • Implementation (clearing and trade execution)
  • Internal Business Conduct (Documentation)
  • Process for Making a Swap Available to Trade (SEFs and DCMs)
  • SEFs
  • Segregation for Uncleared Swaps 

CFTC NOTE: This outline is tentative and for preliminary purposes, and is subject to change.


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