Documents

Electronic Filing of Financial Reports and Notices

Federal Register · Proposed Rule · Oct 13, 2009

a new regulation under the Act. … Commenters also are invited to submit any data that they may have quantifying the costs and benefits of the proposal with their comment letters.

Corrections to Regional Office Information, References to Section 4d(2) and Criteria for CPO Registration Exemption

Federal Register · Rule · Jul 9, 2004

Administrative Procedure Act The Administrative Procedure Act (“APA”) generally requires notice of proposed agency rulemaking and procedures for public comment prior to the adoption of final rules. … Removing from paragraph (e) all of the text following the colon until the end of the paragraph, and by removing the colon and adding a period instead.

Records of Commodity Interest and Related Cash or Forward Transactions

Federal Register · Proposed Rule · Nov 14, 2014

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. … Whenever an agency publishes a general notice of proposed rulemaking for any rule, pursuant to the notice-and-comment provisions of the Administrative Procedure Act  43 a regulatory flexibility analysis

Voting by Interested Members of Self-Regulatory Organization Governing Boards and Committees

Federal Register · Rule · Jan 4, 1999

The comment period for the re-proposed rulemaking expired on March 25, 1998. --------------------------------------------------------------------------- \2\ For the purposes of this release, the term … Agency Information Activities; Proposed Collection; Comment Request When publishing final rules, the Paperwork Reduction Act of 1995 (``PRA'') (Pub.

Adjustment of Civil Monetary Penalties for Inflation

Federal Register · Rule · Oct 3, 2008

violation”; and (2) In the second sentence, by inserting before the period at the end the following: “, except that if the failure or refusal to obey or comply with the order involved any offense under … statutory change regarding agency procedure or practice within the meaning of 5 U.S.C. 553(b)(3)(A) and therefore does not require notice. 12 The Commission also believes that opportunity for public comment

Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants

Federal Register · Proposed Rule · Jan 8, 2020

of the Commodity Exchange Act (“CEA or “Act”), as added by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). … I support the Commission's effort to make good on its commitment to periodically review its approach to evaluating the circumstances under which the swaps provisions of Title VII of the Dodd-Frank Act 

Performance of Certain Functions by National Futures Association with Respect to Commodity Pool Operators and Commodity Trading Advisors

Federal Register · Notice · Oct 6, 1997

the Act \2\ and subject to the provisions of the Act applicable to registrations granted by the Commission. … issued thereunder, and shall provide the Commission with such summaries and periodic reports as the Commission may determine are necessary for effective oversight of this program.

Exemption for Bilateral Transactions

Federal Register · Rule · Dec 13, 2000

During this period, OTC financial derivatives have developed into global markets having outstanding contracts with a total notional value of over $90 trillion. 3 OTC derivatives have transformed finance … Comments Received The Commission received 31 comment letters on the proposed rulemaking. 4 The commenters included nine trade associations, 5 three future exchanges, 6 two brokerage

Foreign Futures and Options Transactions

Federal Register · Rule · Oct 11, 2000

The Commission received one favorable comment on the proposed Interpretative Statement. … Administrative Procedures Act The Administrative Procedures Act provides that the required publication of a substantive rule shall be made not less than 30 days before its effective date, but provides

Notice of Proposed Order and Request for Comment on a Proposal To Exempt, Pursuant to the Authority in Section 4(c) of the Commodity Exchange Act, the Federal Reserve Banks From Sections 4d and 22 of the Commodity Exchange Act

Federal Register · Notice · Jun 2, 2016

Follow the instructions for submitting comments through the Comments Online process on the Web site. … Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost and Benefit Considerations VIII. Request for Comment IX. Proposed Order of Exemption I.

Foreign Boards of Trade

Federal Register · Rule · Aug 15, 2024

Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost Benefit Considerations D. Antitrust Considerations I. … In addition, the amendments do not affect the provisions of part 48 covered in the current PRA approval (§ 48.8 (periodic data submissions to the Commission), § 48.9 (demonstration of compliance); and

Reports by Futures Commission Merchants, Members of Contract Markets and Foreign Brokers

Federal Register · Proposed Rule · Jun 16, 1995

EFFECTIVE DATE: Comments must be received by August 15, 1995. … In consideration of the foregoing, and pursuant to the authority contained in the Act and, in particular, sections 4g, 4i, 5 and 8a of the Act, 7 U.S.C. 6g, 6i, 7 and 12a (1989), the Commission proposes

Clearing Exemption for Certain Swaps Entered Into by Cooperatives

Federal Register · Rule · Aug 22, 2013

The ABA requested that the Commission extend the comment period for this rule because of the “impending regulatory deadlines, complexity, and economic consequences” of the cooperative exemption. … The Commission declines to extend the comment period because the public was given an opportunity to, and did, participate in the rulemaking process. IV.

Comparability Determination for Japan: Certain Transaction-Level Requirements

Federal Register · Notice · Dec 27, 2013

In this regard, the Commission may review, modify, or expand the determinations herein in light of comments received and future developments. A. … Records must be “readily accessible” for the first two years of the five year retention period (consistent with § 1.31).

Revisions to Business Conduct and Swap Documentation Requirements for Swap Dealers and Major Swap Participants

Federal Register · Proposed Rule · Sep 30, 2025

Select the “Submit Comments” link for this rulemaking and follow the instructions on the Public Comment Form. … (2) A swap dealer may not rely on paragraph (e)(1) of this section more than twice in any 12-month period.

Rules of Practice; Proposed Amendments

Federal Register · Proposed Rule · Apr 3, 1998

DATES: Comments must be received on or before June 2, 1998. ADDRESSES: Comments on the proposed amendments should be sent to Jean A. … Therefore, the provisions of the Administrative Procedure Act, 5 U.S.C. 553, generally requiring notice of proposed rulemaking and opportunity for public comment, are not applicable to them.

Alternative Market Risk and Credit Risk Capital Charges for Futures Commission Merchants and Specified Foreign Currency Forward and Inventory Capital Charges

Federal Register · Rule · Feb 2, 2006

Act. … of 1934, Part II, Part IIA, or Part II CSE (FOCUS report), for any period within the time specified in paragraphs (b)(1)(i) or (b)(2)(i) of this section without substantial undue hardship, it may request

Orders Eligible for Post-execution Allocation

Federal Register · Rule · Aug 27, 1998

Regulatory Flexibility Act B. Paperwork Reduction Act I. Background A. … Paperwork Reduction Act When publishing final rules, the Paperwork Reduction Act of 1995 (Pub.

Repeal of the Exempt Commercial Market and Exempt Board of Trade Exemptions

Federal Register · Rule · Oct 2, 2015

of the CEA Sections 2(h)(3) and 5d, respectively, for a limited period of time. 14 Pursuant to these grandfather provisions, the Commission issued an order in September 2010 granting petitioning … opportunity for public comment do not apply to “rules of agency organization, procedure, or practice . . . .”  20 The rulemaking conforms the Commission's regulations to the statutory requirements

Prediction Markets

Federal Register · Proposed Rule · Mar 16, 2026

Select the “Submit Comments” link for this release and follow the instructions on the Public Comment Form. … Please submit your comments using only one of these methods. Submissions through the CFTC Comments Portal are encouraged.