4s Submission Due Dates

Please see the following chart regarding the submission of documentation required to demonstrate compliance with the Section 4s Implementing Regulations. Clicking on a footnote will open a new page.

Section 4s Final Implementing Rule Descriptions Rule References Effective Date of Rule RDSS Call #

Non-US Firm

4s Submission Date

US Firm

4s Submission Date (Regulated by Prudential Regulator or SEC)

US Firm

4s Submission Date (Not Regulated Prudential Regulator or SEC)

A Internal Business Conduct Standards
1 Designation of a Chief Compliance Officer; Required Compliance Policies; and Annual Report of a Swap Dealer and Major Swap Participant1 CEA Section 4s(k), CFTC Regulations 3.1 & 3.3 6/4/2012 4SK1 12/23/20132 Due by Provisional Registration Date Due by Provisional Registration Date
2 Implementation of Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants CEA Section 4s(j), CFTC Regulation 23.605(c)-(d) 6/4/2012 4SJ3 12/23/20133 Due by Provisional Registration Date Due by Provisional Registration Date
3 Duties of Swap Dealers and Major Swap Participants - Risk Management1 CEA Section 4s(j), CFTC Regulation 23.600 6/4/2012 4SJ1 12/23/20134 5 Due by Provisional Registration Date Due by Provisional Registration Date
4 Duties of Swap Dealers and Major Swap Participants - Disclosure of Information to the CFTC and Anti-Trust Considerations CEA Section 4s(j), CFTC Regulations 23.606 & 23.607 6/4/2012 4SJ4 12/23/20136 Due by Provisional Registration Date Due by Provisional Registration Date
5 Duties of Swap Dealers and Major Swap Participants - Business Continuity and Disaster Recovery CEA Section 4s(j), CFTC Regulation 23.603 6/4/2012 4SJ2 12/23/20137 Due by Provisional Registration Date Due by Provisional Registration Date
6 Duties of Swap Dealers and Major Swap Participants - Diligent Supervision CEA Section 4s(j) CFTC Regulation 23.602 6/4/2012 4SJ5 12/23/20138 Due by Provisional Registration Date Due by Provisional Registration Date
7 Duties of Swap Dealers and Major Swap Participants - Recordkeeping CEA Section 4s(f) and (g), CFTC Regulation 23.201 and 23.203 6/4/2012 4SR1/4SRC 12/23/20139, 10 Due by Provisional Registration Date Due by Provisional Registration Date
8 Swap Dealer and Major Swap Participant - Daily Trading Records CEA Section 4s(g), CFTC Regulation 23.202 6/4/2012 4SRB/4SR9 Due by Provisional Registration Date11 Due by Provisional Registration Date Due by Provisional Registration Date
9 Swap Data Repository - Reporting CEA Section 4s(f), CFTC Regulation 23.204 6/4/2012 4SR2/4SR3 Due by Provisional Registration Date12 Due by Provisional Registration Date Due by Provisional Registration Date
10 Real-Time Public Reporting CEA Section 4s(f), CFTC Regulation 23.205 6/4/2012 4SR6/4SR7 Due by Provisional Registration Date13 Due by Provisional Registration Date Due by Provisional Registration Date
11 Swap Processing and Clearing - Restrictions on Counterparty and Clearing Member Risk Management CEA Section 4s(j) CFTC 23.608, 23.609 10/1/2012 4SIC 12/23/20135, 13, 14 Due by Provisional Registration Date Due by Provisional Registration Date
12 Swap Processing and Clearing CEA Section 4s(i) CFTC 23.506; CEA Section 4s(j) CFTC 23.610 10/1/2012 4SI1/4SI2 Due by Provisional Registration Date13 Due by Provisional Registration Date Due by Provisional Registration Date
13 Swap Confirmation CEA Section 4s(i), CFTC Regulation 23.500 & 23.501 11/13/2012 4SI3/4SI4 Due by Provisional Registration Date13, 15 Due by Provisional Registration Date Due by Provisional Registration Date
14 Portfolio Reconciliation CEA Section 4s(i), CFTC Regulation 23.502 11/13/2012 4SI5/4SI6 Due by Provisional Registration Date13, 15 Due by Provisional Registration Date Due by Provisional Registration Date
15 Portfolio Compression CEA Section 4s(i), CFTC Regulation 23.503 11/13/2012 4SI9/4SI0 Due by Provisional Registration Date13, 15 Due by Provisional Registration Date Due by Provisional Registration Date
16 Swap Trading Relationship Documentation CEA Section 4s(i), CFTC Regulation 23.504 and 23.505 11/13/2012 4SI7/4SIA Due by Provisional Registration Date13, 16 Due by Provisional Registration Date Due by Provisional Registration Date
B External Business Conduct Standards
17 Business Conduct Standards with Counterparties CEA Section 4s(h), CFTC Regulation 23.400 to 23.451 4/17/2012 4SH1 Due by Provisional Registration Date17 Due by Provisional Registration Date Due by Provisional Registration Date
C Segregation and Bankruptcy for Uncleared Swaps
18 Segregation of Collateral for Uncleared Swaps – New Counterparties CEA Section 4s(l), CFTC Regulation 23.700 to 23.704 1/6/2014 4SL1 5/5/2014 5/5/2014 5/5/2014
19 Segregation of Collateral for Uncleared Swaps – Existing Counterparties CEA Section 4s(l), CFTC Regulation 23.700 to 23.704 1/6/2014 4SL2 11/3/2014 11/3/2014 11/3/2014

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