Commodity Futures Trading Commission February 11, 2021 – Federal Register Recent Federal Regulation Documents

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Swap Execution Facilities

Document Number: 2020-28944

Type: Rule

Date: 2021-02-11

Agency: Commodity Futures Trading Commission, Agencies and Commissions

The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting final rules (``Final Rules'') addressing operational issues facing swap execution facilities (``SEF'') and their market participants in connection with the Commission's regulatory requirements for a SEF's audit trail data, financial resources, and chief compliance officer (``CCO'').

https://regulations.justia.com/regulations/fedreg/2021/02/11/2020-28944.html

Exemptions From Swap Trade Execution Requirement

Document Number: 2020-28943

Type: Rule

Date: 2021-02-11

Agency: Commodity Futures Trading Commission, Agencies and Commissions

The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting a final rule (``Final Rule'') that establishes two exemptions from the statutory requirement to execute certain types of swaps on a swap execution facility (``SEF'') or a designated contract market (``DCM'') (this requirement, the ``trade execution requirement'').

https://regulations.justia.com/regulations/fedreg/2021/02/11/2020-28943.html