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DODD-FRANK ACT


IN THE AFTERMATH OF THE 2008 FINANCIAL CRISIS, THE DODD-FRANK WALL STREET REFORM
AND CONSUMER PROTECTION ACT OF 2010 (DODD-FRANK ACT) ENHANCED THE CFTC’S
REGULATORY AUTHORITY TO OVERSEE THE MORE THAN $400 TRILLION SWAPS MARKET.


RULE-WRITING

As a result of the Dodd-Frank Wall Street Reform and Consumer Protection Act,
the CFTC has written rules to regulate the swaps marketplace.

See information below regarding areas the CFTC addressed in its rule-writing.
Also see proposed rules and final rules issued by the Commission thus far.

View all Dodd-Frank Final Rules and Orders

View all Dodd-Frank Guidance, Advisories and Questions

Currently Effective Staff Letters

View all Dodd-Frank Open Meetings and Public Roundtables

View all Proposed Rules, Orders and Advance Notices of Proposed Rules

See List of Rulemaking Areas

View all Comparability Determinations for Substituted Compliance Purposes


EXTERNAL MEETINGS

The CFTC is committed to transparency in the rulemaking process. Information on
all meetings that the Chairman and Commission staff have with outside
organizations regarding the implementation of the Dodd-Frank Wall Street Reform
and Consumer Protection Act will be made public. The topics of the meetings,
attendees, summaries of the meetings and any materials presented to the CFTC are
posted here.

See List of External Meetings


REPORTS AND STUDIES

The Dodd-Frank Wall Street Reform and Consumer Protection Act required the CFTC
to conduct a number of studies and reports on a wide variety of issues that
affect the derivatives market. Information regarding these reports and studies
will be published as it becomes available.

See List of Reports and Studies


TEXT OF H.R. 4173: DODD-FRANK WALL STREET REFORM AND CONSUMER PROTECTION ACT

Download the PDF of the bill, or

Read the text on THOMAS


SWAPS REGULATION

The Dodd-Frank Wall Street Reform and Consumer Protection Act brings
comprehensive reform to the regulation of swaps.  These products, which have
not previously been regulated in the United States, were at the center of the
2008 financial crisis.  The historic Dodd-Frank bill authorizes the CFTC to:


REGULATE SWAP DEALERS

 * List of Provisionally Registered Swap Dealers
 * Swap dealers will be subject to capital and margin requirements to lower risk
   in the system. 
 * Dealers will be required to meet robust business conduct standards to lower
   risk and promote market integrity.
 * Dealers will be required to meet recordkeeping and reporting requirements so
   that regulators can police the markets.


INCREASE TRANSPARENCY AND IMPROVE PRICING IN THE DERIVATIVES MARKETPLACE

 * Instead of trading out of sight of the public, standardized derivatives will
   be required to be traded on regulated exchanges or swap execution facilities.
 * Transparent trading of swaps will increase competition and bring better
   pricing to the marketplace.  This will lower costs for businesses and
   consumers.


LOWER RISK TO THE AMERICAN PUBLIC

 * Standardized derivatives will be moved into central clearinghouses to lower
   risk in the financial system.
 * Clearinghouses act as middlemen between two parties to a transaction and take
   on the risk that one counterparty may default on its obligations.
 * Clearinghouses have lowered risk in the futures marketplace since the 1890s. 
   The Dodd-Frank bill brings this crucial market innovation to the swaps
   marketplace.




RELATED LINKS

 * Dodd-Frank Wall Street Reform and Consumer Protection Act Compliance Dates
 * Learn more about the Reports and Studies mandated by Dodd-Frank

RESOURCES

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ACTIONS

 * Search Public Comments
 * Submit Tips & Complaints
 * Search Industry Filings

 * Whistleblower.gov
 * Office of Technology Innovation
   Inspector General

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