Swap and Security-Based Swap Data Reporting (CFTC/SEC)

Current understanding

Under Dodd-Frank, the CFTC and SEC administer parallel data reporting regimes for swaps and security-based swaps, requiring reporting to swap data repositories (SDRs) and security-based swap data repositories (SBSDRs) to support market oversight and systemic risk monitoring. In 2026 the two agencies jointly issued a request for public comment on the design, scope, and structure of these reporting requirements, exploring potential harmonization and streamlining. Status: joint request for comment (pre-proposal stage); no rule changes are yet in effect.

Evidence log

• 2026-07-21 — Order Sunsetting Certain Large Trader Reporting Requirements for Physical Commodity Swaps: cross-connection with cftc-part-20-swaps-large-trader-reporting-sunset: Both concern the scope of CFTC swaps reporting obligations; the Part 20 sunset narrows routine large-trader position reporting while general swap data reporting regimes remain. (novelty: 3)
• 2026-06-24 — Joint Request for Comment on Swap and Security-Based Swap Data Reporting: cross-connection with swap-security-based-swap-definitions: Companion 2026 joint CFTC/SEC requests for comment addressing, respectively, reporting infrastructure and jurisdictional definitions for swaps and security-based swaps. (novelty: 2)

Open questions

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