Margin and Capital Requirements for Covered Swap Entities

Docket ID: OCC-2011-0008
Agency: Comptroller of the Currency (OCC)
Parent Agency: Department of the Treasury (TREAS)
The OCC, Board, FDIC, FCA, and FHFA (each an "Agency'' and, collectively, the "Agencies'') are seeking comment on a proposed joint rule to establish minimum margin and capital requirements for registered swap dealers, major swap participants, security-based swap dealers, and major security-based swap participants for which one of the Agencies is the prudential regulator. This proposed rule implements sections 731 and 764 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which require the Agencies to adopt rules jointly to establish capital requirements and initial and variation margin requirements for such entities and their counterparties on all non-cleared swaps and non-cleared security-based swaps in order to offset the greater risk to such entities and the financial system arising from the use of swaps and security-based swaps that are not cleared.
RIN: Not Assigned
Docket Details open glossary dialog  
Related RINs: None
Related Dockets: None
Keyword(s): margin requirements, capital requirements
Type: Rulemaking

Primary Documents

View All  (6)
Comment Period Closed
Nov 24, 2014 11:59 PM ET
Proposed Rule
Posted: 09/24/2014
ID: OCC-2011-0008-0132
Comment Period Closed
Nov 26, 2012 11:59 PM ET
Proposed Rule
Posted: 10/02/2012
ID: OCC-2011-0008-0089
Comment Period Closed
Jul 11, 2011 11:59 PM ET
Proposed Rule
Posted: 06/24/2011
ID: OCC-2011-0008-0016
Comment Period Closed
Jun 24, 2011 11:59 PM ET
Proposed Rule
Posted: 05/11/2011
ID: OCC-2011-0008-0001
Comment Period Closed
Posted: 11/30/2015
ID: OCC-2011-0008-0203

Supporting Documents

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Comments Not Accepted
Supporting & Related Material
Posted: 10/22/2015
ID: OCC-2011-0008-0202
Comments Not Accepted
Supporting & Related Material
Posted: 06/24/2015
ID: OCC-2011-0008-0196
Comments Not Accepted
Supporting & Related Material
Posted: 06/24/2015
ID: OCC-2011-0008-0198


View All  (185)

Comments Received*
*This count refers to the total comment/submissions received on this docket, as of 11:59 PM yesterday. Note: Agencies review all submissions, however some agencies may choose to redact, or withhold, certain submissions (or portions thereof) such as those containing private or proprietary information, inappropriate language, or duplicate/near duplicate examples of a mass-mail campaign. This can result in discrepancies between this count and those displayed when conducting searches on the Public Submission document type. For specific information about an agency’s public submission policy, refer to its website or the Federal Register document.