{"abstract":"The Commodity Futures Trading Commission (\"Commission\" or \"CFTC\") is adopting new rules, guidance, and acceptable practices to implement certain statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (\"Dodd-Frank Act\"). The final rules, guidance, and acceptable practices, which apply to the registration and operation of a new type of regulated entity named a swap execution facility (\"SEF\"), implement the Dodd- Frank Act's new statutory framework that, among other requirements, adds a new section 5h to the Commodity Exchange Act (\"CEA\" or \"Act\") concerning the registration and operation of SEFs, and adds a new section 2(h)(8) to the CEA concerning the execution of swaps on SEFs.","action":"Final rule.","agencies":[{"raw_name":"COMMODITY FUTURES TRADING COMMISSION","name":"Commodity Futures Trading Commission","id":77,"url":"https://www.federalregister.gov/agencies/commodity-futures-trading-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/77","parent_id":null,"slug":"commodity-futures-trading-commission"}],"body_html_url":"https://www.federalregister.gov/documents/full_text/html/2013/06/04/2013-12242.html","cfr_references":[{"chapter":null,"citation_url":null,"part":37,"title":17}],"citation":"78 FR 33476","comment_url":null,"comments_close_on":null,"correction_of":null,"corrections":[],"dates":"The rules will become effective August 5, 2013, with the exception of regulation 37.3(b)(5) (17 CFR 37.3(b)(5)), which shall become effective August 5, 2015.","disposition_notes":null,"docket_ids":[],"dockets":[],"document_number":"2013-12242","effective_on":"2013-08-05","end_page":33604,"executive_order_notes":null,"executive_order_number":null,"full_text_xml_url":"https://www.federalregister.gov/documents/full_text/xml/2013/06/04/2013-12242.xml","html_url":"https://www.federalregister.gov/documents/2013/06/04/2013-12242/core-principles-and-other-requirements-for-swap-execution-facilities","images":{},"images_metadata":{},"json_url":"https://www.federalregister.gov/api/v1/documents/2013-12242?publication_date=2013-06-04","mods_url":"https://www.govinfo.gov/metadata/granule/FR-2013-06-04/2013-12242/mods.xml","not_received_for_publication":null,"page_length":129,"page_views":{"count":5164,"last_updated":"2026-07-27 16:15:03 -0400"},"pdf_url":"https://www.govinfo.gov/content/pkg/FR-2013-06-04/pdf/2013-12242.pdf","presidential_document_number":null,"proclamation_number":null,"public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2013-12242.pdf?1370263658","publication_date":"2013-06-04","raw_text_url":"https://www.federalregister.gov/documents/full_text/text/2013/06/04/2013-12242.txt","regulation_id_number_info":{"3038-AD18":{"issue":"201110","html_url":"https://www.federalregister.gov/regulations/3038-AD18/core-principles-and-other-requirements-for-swap-execution-facilities","title":"Core Principles and Other Requirements for Swap Execution Facilities","xml_url":"http://www.reginfo.gov/public/do/eAgendaViewRule?pubId=201110&RIN=3038-AD18&operation=OPERATION_EXPORT_XML","priority_category":"Other Significant"}},"regulation_id_numbers":["3038-AD18"],"regulations_dot_gov_info":{"supporting_documents":[],"regulatory_plan":{"html_url":"https://www.federalregister.gov/regulations/3038-AD18/core-principles-and-other-requirements-for-swap-execution-facilities","title":"Core Principles and Other Requirements for Swap Execution Facilities"},"comments_url":"https://www.regulations.gov/docketBrowser?rpp=50&so=DESC&sb=postedDate&po=0&dct=PS&D=CFTC-2013-0056","supporting_documents_count":0,"docket_id":"CFTC-2013-0056","regulation_id_number":"3038-AD18","title":"Core Principles and Other Requirements for Swap Execution Facilities","checked_regulationsdotgov_at":"2013-06-24T06:00:09Z"},"regulations_dot_gov_url":null,"significant":true,"signing_date":null,"start_page":33476,"subtype":null,"title":"Core Principles and Other Requirements for Swap Execution Facilities","toc_doc":"Core Principles and Other Requirements for Swap Execution Facilities","toc_subject":null,"topics":["Reporting and recordkeeping requirements","Swaps"],"type":"Rule","volume":78}