Documents

Confidential Information and Commission Records and Information

Federal Register · Proposed Rule · Jul 28, 2004

Act. … (e) * * * (2) The period for filing a detailed written justification may be extended upon request and for good cause shown. 14.

Annual Adjustment of Civil Monetary Penalties to Reflect Inflation-2022

Federal Register · Rule · Jan 13, 2022

Background The Federal Civil Penalties Inflation Adjustment Act of 1990 (FCPIAA)  1 requires the head of each Federal agency to periodically adjust for inflation the minimum and maximum amount … Commission further notes that the notice and comment procedures of the APA do not apply to this rulemaking because the Commission is acting herein pursuant to statutory language that mandates that the

Annual Adjustment of Civil Monetary Penalties To Reflect Inflation-2019

Federal Register · Rule · Feb 11, 2019

Background The Federal Civil Penalties Inflation Adjustment Act of 1990 (FCPIAA)  1 requires the head of each Federal agency to periodically adjust for inflation the minimum and maximum amount … .”  15 The Commission further notes that the notice and comment procedures of the APA do not apply to this rulemaking because the Commission is acting herein pursuant to statutory language that mandates

Foreign Option Transactions

Federal Register · Rule · Jan 29, 1996

which may result in a determination to delay the effective date of the Order pending review of such comments. … Contract Unit--One TGE Raw sugar futures contract Delivery Months--January, March, May, July, September and November within a 15 month period Price Quotation--Yen per 1,000 kilogram Minimum Price Fluctuation

Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Federal Register · Proposed Rule · Oct 22, 2019

Select the “Submit Comments” link for this rulemaking and follow the instructions on the Public Comment Form. … Request for comment: The Commission requests comment regarding the proposed amendment to Commission § 23.151.

Annual Adjustment of Civil Monetary Penalties To Reflect Inflation-2020

Federal Register · Rule · Jan 13, 2020

Background The Federal Civil Penalties Inflation Adjustment Act of 1990 (FCPIAA)  1 requires the head of each Federal agency to periodically adjust for inflation the minimum and maximum amount … Commission further notes that the notice and comment procedures of the APA do not apply to this rulemaking because the Commission is acting herein pursuant to statutory language that mandates that the

Annual Adjustment of Civil Monetary Penalties To Reflect Inflation-2024

Federal Register · Rule · Jan 24, 2024

Background The Federal Civil Penalties Inflation Adjustment Act of 1990 (FCPIAA)  1 requires the head of each Federal agency to periodically adjust for inflation the minimum and maximum amount … Commission further notes that the notice and comment procedures of the APA do not apply to this rulemaking because the Commission is acting herein pursuant to statutory language that mandates that the

Changes in Reporting Levels for Large Trader Reports

Federal Register · Proposed Rule · Feb 3, 1999

The Regulatory Flexibility Act The Regulatory Flexibility Act (RFA), 5 U.S.C. 601 et seq., requires that agencies, in proposing rules, consider the impact of those rules on small businesses. … Paperwork Reduction Act When publicizing proposed rules, the Paperwork Reduction Act (PRA) of 1995 (Pub.

Rules of Practice; Final Rules

Federal Register · Rule · Oct 19, 1998

, as amended (``Act''), other than reparations proceedings. … of April 3, 1998. --------------------------------------------------------------------------- \2\Although the comment period was originally scheduled to end on June 2, 1998, it was extended by the

Second Amendment to July 14, 2011 Order for Swap Regulation

Federal Register · Proposed Rule · May 16, 2012

DATES: Submit comments on or before May 30, 2012. … Follow the instructions for submitting comments. Please submit your comments using only one method. All comments must be submitted in English, or if not, accompanied by an English translation.

Annual Adjustment of Civil Monetary Penalties To Reflect Inflation-2021

Federal Register · Rule · Feb 2, 2021

Background The Federal Civil Penalties Inflation Adjustment Act of 1990 (FCPIAA)  1 requires the head of each Federal agency to periodically adjust for inflation the minimum and maximum amount … Commission further notes that the notice and comment procedures of the APA do not apply to this rulemaking because the Commission is acting herein pursuant to statutory language that mandates that the

Bunched Orders and Account Identification

Federal Register · Rule · May 9, 1997

By this Approval Order, the Commission, pursuant to Section 17(j) of the Commodity Exchange Act, is approving the NFA Notice. … This time period will provide NFA with an opportunity to review and verify the information contained in the certification.

Cash Settlement and Regulatory Halt Requirements for Security Futures Products

Federal Register · Rule · May 24, 2002

Record Retention Period F. Collection of Information Is Mandatory G. Confidentiality IV. Costs and Benefits of the Final Rule CFTC: SEC: A. Comments B. … volatility that may develop during periods of extreme downward volatility).

Concept Release on the Denomination of Customer Funds and the Location of Depositories

Federal Register · Notice · Dec 30, 1997

For a limited period of time, the country in which the customer is domiciled, and only for operational ease in receiving and disbursing funds from and to customers living in foreign countries and trading … on it would provide a valuable supplement to the other comments.

Annual Adjustment of Civil Monetary Penalties to Reflect Inflation-2018

Federal Register · Rule · Mar 6, 2018

Background The Federal Civil Penalties Inflation Adjustment Act of 1990 (FCPIAA)  1 requires the head of each Federal agency to periodically adjust for inflation the minimum and maximum amount … Commission further notes that the notice and comment procedures of the APA do not apply to this rulemaking because the Commission is acting herein pursuant to statutory language that mandates that the

Commission Records and Information; Open Commission Meetings

Federal Register · Rule · Jan 4, 1999

In response to its notice, the Commission received only one comment, which was submitted by the New York Mercantile Exchange (``NYMEX''). … provide a submitter with sufficient time to prepare and file a detailed written justification and urges the Commission to revise its proposal to permit a submitter to request an extension of the response period

Foreign Futures and Options Transactions

Federal Register · Proposed Rule · Sep 6, 2000

DATES: Comments must be received by September 21, 2000. ADDRESSES: Interested persons should submit their views and comments to Jean A. … in the capacity of an FCM from registration under the Commodity Exchange Act (“Act”) and compliance with certain Commission rules based upon the firm's compliance with comparable regulatory requirements

Comparability Determination for Japan: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Federal Register · Rule · Sep 15, 2016

(Act No. 108 of 1998). 83 83  JFSA Public Notice No. 15, Article 2(1). … No. 108 of 2006 (the “Trust Act of Japan”). 151  See Trust Act of Japan, Article 23(1) stating: Except where based on a claim pertaining to an Obligation Covered by the Trust Property . .

Annual Adjustment of Civil Monetary Penalties To Reflect Inflation-2023

Federal Register · Rule · Jan 11, 2023

Background The Federal Civil Penalties Inflation Adjustment Act of 1990 (FCPIAA)  1 requires the head of each Federal agency to periodically adjust for inflation the minimum and maximum amount … Commission further notes that the notice and comment procedures of the APA do not apply to this rulemaking because the Commission is acting herein pursuant to statutory language that mandates that the

Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants-Cross-Border Application of the Margin Requirements

Federal Register · Rule · May 31, 2016

Comments b. Final Rule C. Comparability Determinations 1. Proposed Rule 2. Comments 3. Final Rule III. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act 1. … and cause significant disruptions in financial markets. 185 182   See ABA/ABASA at 5 n.14; IIB/SIFMA at 13 n.44; ISDA at 10 (requesting an exemption for jurisdictions where getting a “clean