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GAO-12-633R 1 (2012-04-18)

handle is hein.gao/gaobadosv0001 and id is 1 raw text is: GAO Accountability * Integrity * Reliability United States Government Accountability Office Washington, DC 20548 B-323350 April 18, 2012 The Honorable Debbie Stabenow Chairman The Honorable Pat Roberts Ranking Member Committee on Agriculture, Nutrition, and Forestry United States Senate The Honorable Frank D. Lucas Chairman The Honorable Collin C. Peterson Ranking Member Committee on Agriculture House of Representatives Subject: Commodity Futures Trading Commission: Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants Pursuant to section 801 (a)(2)(A) of title 5, United States Code, this is our report on a major rule promulgated by the Commodity Futures Trading Commission (Commission), entitled Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants (RIN: 3038-AC96). We received the rule on April 3, 2012. It was published in the Federal Register as a final rule on April 3, 2012, with a stated effective date of June 4, 2012. 77 Fed. Reg. 20,128. The final rule implements provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).1 Specifically, this rule sets forth reporting and recordkeeping requirements and daily trading records 1 Pub. L. 111-203, 124 Stat. 1376 (2010). GAO-12-633R

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