Derivatives Regulation Timeline

DerivSource’s Derivatives Regulation Timeline is a new reference guide that provides a comprehensive outline of regulatory activity in the U.S. and U.K./Europe and the involvement of various regulatory and legislative bodies. Please review this guide frequently to keep up with the current regulatory reform activities.

Use your cursor to drag the timeline window right or left to view older or newer events.

Related Commentary & Responses | Regulation & Compliance News

United States

United Kingdom

May 6th - May 12th 2012
- CFTC Proposes Order Amending the Effective Date for Swap Regulation Order Issued on July 14, 2011
  CFTC
- Joint Statement on Regulation of OTC Derivatives Markets
  SEC
Apr 29th - May 5th 2012
- CFTC to Hold Open Meeting to Consider a Final Rule on Core Principles and Other Requirements for Designated Contract Markets and a Proposed Order Amending the Effective Date for Swap Regulation
  CFTC Votes to Clarify Indemnification and Confidentiality Provisions in the Dodd-Frank Act
  CFTC
Apr 15th - Apr 21st 2012
- SEC Adopts Rule Defining Swaps-Related Terms for Regulating Derivatives
  SEC
- OpenLink Releases CFTC Large Trader Reporting for Dodd-Frank Compliance – Actively on Top of Regulatory Requirements
  CFTC
Apr 8th - Apr 14th 2012
- CFTC to Hold Open Meeting to Consider Two Final Rules and One Proposed Rule
  CFTC
Apr 1st - Apr 7th 2012
- CFTC’s Division of Swap Dealer and Intermediary Oversight Provides Financial Reporting Guidance to Futures Commission Merchants
  CFTC
Mar 25th - Mar 31st 2012
- CFTC’s Division of Market Oversight Issues Advisory Addressing Bona Fide Hedge Transactions and Positions
  CFTC Announces Public Meeting of the Technology Advisory Committee and Members of the New Subcommittee on Automated and High Frequency Trading
  CFTC
Mar 11th - Mar 17th 2012
- CFTC Releases Staff Analysis of Market Data Related to Single-Name and Index Credit Default Swaps
  SEC
- CFTC to Hold Open Meeting to Consider One Final Rule
  CFTC Announces Process to Designate the Provider of CFTC Interim Compliant Identifiers
  CFTC
Feb 19th - Feb 25th 2012
- CFTC Staff to Host a Two-Day Public Roundtable to Discuss Additional Customer Collateral Protections
  CFTC to Hold Open Meeting to Consider One Final Rule and One Proposed Rule
  CFTC
Feb 12th - Feb 18th 2012
- CFTC to Hold Open Meeting to Consider Two Final Rules and One Proposed Rule
  CFTC
Feb 5th - Feb 11th 2012
- EP-Council Deal on Rules for a Safe and Transparent Derivatives Market
  EUROPEAN PARLIAMENT
Jan 29th - Feb 4th 2012
- Commodity Futures Trading Commission and Securities and Exchange Commission Release Joint Report to Congress on International Swap Regulation
  SEC
Jan 22nd - Jan 28th 2012
- CFTC Releases Results of Limited Reviews of Futures Commission Merchants
  CFTC Staff to Host Public Roundtable to Discuss the “Available to Trade” Provision for Swap Execution Facilities and Designated Contract Markets
  CFTC
Jan 8th - Jan 14th 2012
- CFTC Approves Final Rules on Customer Collateral, Business Conduct for Swap Dealers & Major Swap Participants; Approves Proposed Volcker Rule (Fact Sheets via CFTC)
  SIFMA Statement on CFTC's Volcker Rule Proposal
  CFTC
Jan 1st - Jan 7th 2012
- CFTC Chairman Names Vincente Martinez as Director of Recently Opened Whistleblower Office
  CFTC to Hold Open Meeting to Consider Three Final Rules, One Proposed Rule and a Delegation of Authority Order
  CFTC
Dec 18th - Dec 24th 2011
- CFTC Issues Final Order Amending the Effective Date for Swap Regulation
  CFTC
Dec 11th - Dec 17th 2011
- Commissioner Jill E. Sommers Responds to Concerned Customers of MF Global, Inc.
  CFTC to Hold Open Meeting to Consider Three Final Rules
  CFTC
Dec 4th - Dec 10th 2011
- Global Regulators Discuss OTC Derivatives Regulation
  SEC
- CFTC Announces Public Meeting of the Technology Advisory Committee
  CFTC’s Division of Market Oversight Issues Guidebook for Part 20 Reports
  CFTC
Nov 27th - Dec 3rd 2011
- CFTC Issues Interpretation Concerning Dodd-Frank Anti-Fraud Authority
  CFTC to Hold Open Meeting to Consider Two Final Rules and Two Proposals
  CFTC
Nov 13th - Nov 19th 2011
- CFTC’s Division of Market Oversight Issues Letter to Market Participants Requiring Compliance with New Large Trader Reporting System for Physical Commodity Swaps and Swaptions
  CFTC Supports Prompt Initiation of MF Global Customer Claims and Moving “Cash-Only” Accounts
  CFTC
Oct 30th - Nov 5th 2011
- CFTC-SEC Statement on MF Global
  SEC
Oct 9th - Oct 15th 2011
- CFTC to Hold Open Meeting to Consider Two Final Rules and One Proposed Amendment
  CFTC
Sep 25th - Oct 1st 2011
- CFTC Announces Second Public Meeting of the Technology Advisory Subcommittee on Data Standardization
  CFTC
Sep 11th - Sep 17th 2011
- CFTC’s Division of Market Oversight Provides Temporary Relief from Large Swaps Trader Reporting for Physical Commodities
  CFTC
Sep 4th - Sep 10th 2011
- The CFTC Announces Appointment of John Rogers as Chief Information Officer
  CFTC
Aug 28th - Sep 3rd 2011
- CFTC to Hold Open Meeting to Consider Two Proposed Rules under Dodd-Frank Act
  CFTC Releases Rule Enforcement Review of the New York Mercantile Exchange and the Commodity Exchange
  CFTC
Aug 21st - Aug 27th 2011
- The CFTC Announces Appointment of Gary Barnett as Swaps Division Director
  CFTC
Aug 14th - Aug 20th 2011
- CFTC’s Office of Chief Economist to Host Conference on Commodity Markets
  CFTC
- SEC and CFTC Seek Public Input for Joint Stable Value Contract Study
  SEC
Jul 24th - Jul 30th 2011
- CFTC Commissioner Scott D. O’Malia Seeks Public Comment on the Review of Swaps for Mandatory Clearing
  CFTC Chairman Gary Gensler Announces Appointment of Tony Thompson as Executive Director
  CFTC Announces First Public Meeting of the Technology Advisory Subcommittee on Data Standardization
  CFTC
- U.S. Regulators Seek Public Input for a Joint CFTC-SEC Study on International Swap Regulation
  SEC
Jul 17th - Jul 23rd 2011
- CFTC and SEC Staffs to Host Public Roundtable to Discuss International Issues relating to the Implementation of Title VII of the Dodd-Frank Act
  SEC
- Lawmakers Provide Recommendations to CFTC for Improving Implementation Process of Dodd-Frank
  CFTC
Jul 10th - Jul 16th 2011
- CFTC to Hold Open Meeting to Consider Four Final Rule Proposals and One Proposed Rule under the Dodd-Frank Act
  CFTC
Jul 3rd - Jul 9th 2011
- Parliament Decides Stance on Derivatives, Short Selling, Investor Compensation
  EUROPEAN PARLIAMENT
- CFTC Publishes Two New Data Sets on Daily Net Position Changes
  CFTC
Jun 26th - Jul 2nd 2011
- CFTC Staff to Host Public Roundtable to Discuss Proposed Changes to Registration and Compliance Regime for Commodity Pool Operators and Commodity Trading Advisors
  CFTC
Jun 19th - Jun 25th 2011
- CFTC Announces Members of the Technology Advisory Subcommittee on Data Standardization
  Agencies Extend Comment Period on Swap Margin and Capital Proposed Rulemaking
  CFTC
Jun 12th - Jun 18th 2011
- A New Dodd-Frank Deadline but the Industry Keeps Pedal to the Metal
  SEC
Jun 5th - Jun 11th 2011
- SEC-CFTC Staffs to Host Public Roundtable Discussion on Proposed Dealer and Major Participant Definitions Under Dodd-Frank Act
  SEC
- CFTC to Hold Open Meeting to Consider Effective Dates of Provisions in the Dodd-Frank Act
  CFTC
May 22nd - May 28th 2011
- CFTC Staff to Host Public Roundtable to Discuss Swap Data Recordkeeping and Reporting Requirements
  CFTC Staff to Host Public Roundtable to Discuss Protection of Cleared Swaps Customer Collateral
  CFTC
May 1st - May 7th 2011
- Commodity Futures Trading Commission Votes to Establish a New Subcommittee of the Technology Advisory Committee (TAC)
  CFTC
Apr 24th - Apr 30th 2011
- CFTC Staff Provides Concepts and Questions Document Ahead of Joint CFTC-SEC Public Roundtable Discussion on Dodd-Frank Implementation
  SEC
- CFTC to Hold Open Meeting on Fourteenth Series of Proposed Rules under the Dodd-Frank Act
  CFTC
Apr 17th - Apr 23rd 2011
- CFTC to Hold Open Meeting on Fourteenth Series of Proposed Rules under the Dodd-Frank Act
  CFTC
Apr 10th - Apr 16th 2011
- Key House Lawmakers Introduce Bill to Extend Deadline for Derivatives Title of Dodd-Frank Say regulators need time to get it right
  Subcommittee Continues Oversight of CFTC's Rulemaking Process
  Agencies Seek Comment on Swap Margin and Capital Requirements
  HOUSE
- CFTC and SEC Staffs to Host Public Roundtable Discussion on Dodd-Frank Implementation
  SEC
- Johnson Opening Statement on Derivatives Oversight Hearing
  SENATE
- CFTC Issues Notice of Proposed Rulemaking on Swap Data Recordkeeping and Reporting Requirements for Pre-Enactment and Transition Swaps
  CFTC
Apr 3rd - Apr 9th 2011
- Publication of Joint Study on the Feasibility of Mandating Algorithmic Descriptions for Derivatives
  SEC
- CFTC to Hold Open Meeting on Thirteenth Series of Proposed Rules under the Dodd-Frank Act
  CFTC
Mar 20th - Mar 26th 2011
- CFTC to Hold Open Meeting on Thirteenth Series of Proposed Rules under the Dodd-Frank Act
  CFTC
Mar 6th - Mar 12th 2011
- MEPs Crack Down on Sovereign Debt Speculation and Naked Short Selling
  AIMA Warns of Economic Impact of EU Naked CDS Ban
  EUROPEAN PARLIAMENT
Feb 27th - Mar 5th 2011
- Lawmakers Begin Work on Derivatives Regulation
  EUROPEAN PARLIAMENT
Feb 20th - Feb 26th 2011
- Exploring Title VII of the Dodd-Frank Act & the Impact on Margin Posed by End Users
  SEC
- ESMA nominates Verena Ross Executive Director
  EUROPEAN PARLIAMENT
Feb 13th - Feb 19th 2011
- CFTC to Hold Open Meeting on Twelfth Series of Proposed Rules under the Dodd-Frank Act
  CFTC
Feb 6th - Feb 12th 2011
- Federal Reserve Issues Proposals Related to Designation of Systemically Important Nonbank Financial Companies
  CFTC
- European Systemic Risk Board: President Trichet in Parliament
  EUROPEAN PARLIAMENT
Jan 30th - Feb 5th 2011
- CFTC Grants New York Portfolio Clearing, LLC Registration as a Derivatives Clearing Organization
  CFTC
- Parliament to Seek Guarantees for Financial Supervisory Watchdogs
  EUROPEAN PARLIAMENT
- Update of the List of Measures Recently Taken by Competent Authorities Regarding Short-selling
  CESR
Jan 23rd - Jan 29th 2011
- SEC Adopts Rules for Say-on-Pay and Golden Parachute Compensation as Required Under Dodd-Frank Act
  SEC
Jan 16th - Jan 22nd 2011
- CFTC to Hold Open Meeting on Eleventh Series of Proposed Rules under the Dodd-Frank Act
  CFTC Staff to Host Public Roundtable to Discuss Swap Data Recordkeeping and Reporting Requirements
  Remarks, Financial Stability Oversight Council
  CFTC
Jan 9th - Jan 15th 2011
- CFTC to Hold Open Meeting on Tenth Series of Proposed Rules under the Dodd-Frank Act
  Statement on Support of the Dodd-Frank Rulemaking of Chairman Gary Gensler
  Statement, Prior to Notice of Proposed Rulemaking – Position Limits for Derivatives
  Opening Statement, Open Meeting on the Ninth Series of Proposed Rulemakings under the Dodd-Frank Act
  CFTC
Jan 2nd - Jan 8th 2011
- CFTC to Hold Open Meeting on Ninth Series of Proposed Rules under the Dodd-Frank Act
  Open Meeting on Ninth Series of Proposed Rules under the Dodd-Frank Act
  Open Meeting on Tenth Series of Proposed Rules under the Dodd-Frank Act
  CFTC
Dec 5th - Dec 11th 2010
- CFTC to Hold Open Meeting on Eighth Series of Proposed Rules under the Dodd-Frank Act
  CFTC Requests Public Comment on an Application by CME Clearing Europe Limited for Registration as a Derivatives Clearing Organization
  CFTC Seeks Public Input for a Joint CFTC-SEC Study on the Feasibility of Requiring the Adoption of Standardized Computer-Readable Descriptions of Complex and Standardized Derivatives
  CFTC
- CFTC, SEC to Host Joint Public Roundtable to Discuss Issues Related to Capital and Margin for Swaps and Security-Based Swaps
  CFTC, SEC to Host Joint Public Roundtable to Discuss Issues Related to Capital and Margin for Swaps and Security-Based Swaps
  SEC
- FSA Announces Appointment of Two Senior Advisors
  FSA
Nov 28th - Dec 4th 2010
- CFTC to Hold Open Meeting on Seventh Series of Proposed Rules under the Dodd-Frank Act
  CFTC
- Trade Associations Urge CFTC and SEC to Implement Dodd-Frank Derivatives Rules in Phases
  SEC
Nov 21st - Nov 27th 2010
- Parliament Sees its Priorities Through on Hedge Funds Directive
  Parliament Sees its Priorities Through on Hedge Funds Directive
  EUROPEAN PARLIAMENT
- CFTC to Hold Open Meeting on Sixth Series of Proposed Rules under the Dodd-Frank Act
  CFTC
Nov 14th - Nov 20th 2010
- CFTC Requests Public Comment on an Application by ICE Trust U.S. LLC for Registration as a Derivatives Clearing Organization
  CFTC
- SEC and CESR Members Announce Efforts to Continue Close Cooperation as National Securities Regulators Implement New Regulatory Reform Initiatives
  SEC and UK FSA Hold Meeting of SEC-FSA Strategic Dialogue
  SEC
Oct 31st - Nov 6th 2010
- CFTC Requests Public Comment on Application Submitted by New York Portfolio Clearing, LLC for Registration as a Derivatives Clearing Organization
  Chairman Gary Gensler Announces the Appointment of David Meister as Director of Enforcement
  CFTC
Oct 17th - Oct 23rd 2010
- CFTC to Hold Open Meeting on Third Series of Proposed Rules under the Dodd-Frank Act
  CFTC
Oct 10th - Oct 16th 2010
- CFTC/SEC Staffs to Host Joint Public Roundtable to Discuss Issues Related to the Clearing of Credit Default Swaps
  SEC
- FIA Calls for Joint Industry-CFTC Cooperation to Develop Ownership and Control Reporting System
  CFTC
Oct 3rd - Oct 9th 2010
- Commodity Futures Trading Commission’s Technology Advisory Committee to Meet October 12, 2010
  CFTC
- New Basel Bank Capital Standards Need Fine-tuning
  EUROPEAN PARLIAMENT
Sep 19th - Sep 25th 2010
- Parliament Gives Green Light to New Financial Supervision Architecture
  EUROPEAN PARLIAMENT
- CFTC to Hold Open Meeting on First Series of Proposed Rules Under the Dodd-Frank Act
  CFTC
- FSA and FINRA Sign Cooperation Agreement
  FSA
Sep 12th - Sep 18th 2010
- CFTC Releases Rule Enforcement Review of the Chicago Mercantile Exchange and the Chicago Board of Trade
  CFTC
- CFTC, SEC Announce Panelists for Sept 14 Public Roundtable to Discuss Swap and Security-Based Swap Data, Swap and Security-Based Swap Data Repositories & Real Time Reporting
  SEC
Sep 5th - Sep 11th 2010
- CFTC, SEC to Host Public Roundtable to Discuss Swap Data, Swap Data Repositories and Real Time Reporting
  SEC
- Changes to the Financial Services Authority Board
  FSA
Aug 29th - Sep 4th 2010
- CFTC to Begin Releasing Index Investment Data on a Monthly Basis
  CFTC
Aug 22nd - Aug 28th 2010
- CFTC to Publish Federal Register Notice Seeking Public Input on Areas of Rulemaking to Implement the Dodd-Frank Wall Street Reform and Consumer Protection Act
  CFTC
- FSA Outlines a Fundamental Review of Trading Activity Regulation
  FSA
Aug 15th - Aug 21st 2010
- Statement of Chairman Gary Gensler on CFTC/SEC Public Roundtable to Discuss Governance and Conflicts of Interest in the Clearing and Listing of Swaps
  SEC
- CFTC Staff Allows Turkish Derivatives Exchange’s Futures Contract Based on the Istanbul Stock Exchange 30 Stock Index to be Offered and Sold in the United States
  CFTC
Aug 8th - Aug 14th 2010
- CFTC and SEC Issue Joint Advance Notice of Proposed Rulemaking and Request for Comment Regarding Definitions and the Regulation of Mixed Swaps as Part of Dodd-Frank Act Rulemaking
  Agencies Issue Advance Notice of Proposed Rulemaking Regarding Alternatives to the Use of Credit Ratings
  Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues Announces Agenda, List of Participants for August 11 Meeting
  SEC
Aug 1st - Aug 7th 2010
- CESR Consults on the Development of a Pan-European Access to Financial Information
  CESR
Jul 25th - Jul 31st 2010
- CFTC Adopts Amendment Regarding the Operation of a Commodity Broker in Bankruptcy
  CFTC
Jul 18th - Jul 24th 2010
- FSA Implements New Powers Granted by Financial Services Act 2010
  FSA
- CFTC Releases List of Areas of Rulemaking for Over-the-Counter Derivatives
  CFTC
Jul 11th - Jul 17th 2010
- Dodd Statement on Bipartisan Support for the Wall Street Reform Bill
  SENATE
Jul 4th - Jul 10th 2010
- MEPs Back Root-and-Branch Reform of Financial Supervision
  Financial Supervision - European Parliament Pushes for an Ambitious Agreement
  EUROPEAN PARLIAMENT
Jun 20th - Jun 26th 2010
- Dodd-Frank Wall Street Reform and Consumer Protection Act
  Dodd-Frank Wall Street Reform and Consumer Protection Act
  Frank Announces House Offer on Derivatives
  HOUSE
- Dodd Statement on Wall Street Reform Conference
  SENATE
Jun 13th - Jun 19th 2010
- Daylight and Strict Rules for the Derivatives Markets
  Derivatives: European Parliament Calls for EU Regulation. Werner Langen MEP
  EUROPEAN PARLIAMENT
Jun 6th - Jun 12th 2010
- Summary of House-passed Provisions Included in Senate Wall Street Reform Base Text
  HOUSE
- International Cooperation and Global Governance are Vital to Tackling the Crisis, say European Lawmakers Visiting the US
  EUROPEAN PARLIAMENT
May 30th - Jun 5th 2010
- Financial Crisis: MEPs to Discuss Transatlantic Cooperation in USA
  Daylight and Rules for the Derivatives Market
  EUROPEAN PARLIAMENT
May 16th - May 22nd 2010
- Dodd: Wall Street Reform Passes
  SENATE
- Remarks of Chairman Gary Gensler, OTC Derivatives Reform, Association for Financial Professionals’, Global Corporate Treasurers Forum
  CFTC
- Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues to Meet on Monday, May 24, 2010
  SEC
- Hedge Funds: European Parliament Takes First Step Towards Better Regulation. Jean-Paul Gauzès MEP
  Hedge funds: MEPs Call for Less Speculation and More Regulation Transparency
  EUROPEAN PARLIAMENT
May 9th - May 15th 2010
- Lincoln Language Maintains Strong, Bipartisan Support
  MEPs Vote to Beef Up Financial Supervisory Package
  EUROPEAN PARLIAMENT
- SEC, CFTC Announce Creation Of Joint CFTC-SEC Advisory Committee On Emerging Regulatory Issues
  SEC
Apr 25th - May 1st 2010
- Reforming the Derivatives Markets: EP Committee Quizzes Major Actors in the Field
  EUROPEAN PARLIAMENT
Apr 18th - Apr 24th 2010
- Lincoln Steers Landmark Wall Street Reform Through Agriculture Committee
  EUROPEAN PARLIAMENT
- Wall Street Reform Bill Addresses Problems Raised By Lehman Failure
  HOUSE
Apr 11th - Apr 17th 2010
- Lincoln Unveils Landmark Wall Street Reform Bill
  HOUSE
- CESR Begins Overhauling MiFID by Consulting on Policy Options
  CESR
Mar 28th - Apr 3rd 2010
- CFTC Approves Final Rules Creating a Separate Account Class for Customer Positions in Cleared OTC Derivatives
  CFTC
Mar 14th - Mar 20th 2010
- FSA Chairman Discusses Potential for New Macroprudential Policy Tools to Manage Credit and Asset Price Instability
  FSA
- EP Takes the Driving Seat on Hedge Funds Legislation
  MEPs Hear the US View on Derivatives
  EUROPEAN PARLIAMENT
Mar 7th - Mar 13th 2010
- Regulating the Derivatives Markets
  EUROPEAN PARLIAMENT
Feb 28th - Mar 6th 2010
- CFTC Chairman Gensler to Meet With Regulators to Discuss Critical Issues Related to Financial Regulatory Reform during Visits to Brussels and London
  EUROPEAN PARLIAMENT
- Subcommittee Reviews the Implementation of the Commodity Exchange Act
  HOUSE
Feb 21st - Feb 27th 2010
- Financial Regulation and Supervision Under the Spotlight at EP Special Committee
  The Langen Report - a Draft Report to be Reviewed by the ECON in the European Parliament
  EUROPEAN PARLIAMENT
Feb 7th - Feb 13th 2010
- Financial Services Committee Postpones All Hearings this Week
  HOUSE
Jan 31st - Feb 6th 2010
- SEC and UK FSA Hold Fifth Meeting of the SEC-FSA Strategic Dialogue
  SEC
- CESR Starts Consulting on Guidance How to Report Transactions on OTC Derivative Instruments
  CESR
Jan 24th - Jan 30th 2010
- CFTC Grants ICE Clear Europe Limited Registration as Derivatives Clearing Organization
  CFTC
Jan 17th - Jan 23rd 2010
- President Obama Calls for New Restrictions on Size and Scope of Financial Institutions to Rein in Excesses and Protect Taxpayers
  WHITE HOUSE
Jan 10th - Jan 16th 2010
- Summary of Hearing of Michel Barnier - Internal Market and Services (Committees)
  EUROPEAN PARLIAMENT
Jan 3rd - Jan 9th 2010
- Board Advises Institutions of Supervisory Expectations for Sound Practices in Managing Interest Rate Risk
  EUROPEAN PARLIAMENT
- CFTC Seeks Public Comment on Revised Petition From the Chicago Mercantile Exchange Involving Credit Default Swaps
  CFTC