Documents

Exemption From Derivatives Clearing Organization Registration

Federal Register · Rule · Jan 7, 2021

If these efforts are not successful, the commenters suggested that the Commission allow for an appropriate transitional period so that affected clearing members and customers may migrate to other clearing … Act and § 39.6.

Commission Delegated Authority Provisions and Technical Amendments

Federal Register · Rule · Jun 26, 2017

On July 21, 2010, President Obama signed the Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) into law. 2 Title VII of the Dodd-Frank Act amended provisions of the Commodity Exchange … opportunity for public comment before promulgating a final rule. 6 This requirement does not apply, however, to “rules of agency organization, procedure, or practice.”  7 This final rule makes

Swap Execution Facility Requirements and Real-Time Reporting Requirements

Federal Register · Proposed Rule · Feb 19, 2020

Request for Comment III. Effective Date and Transition Period IV. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Considerations D. … Parts 37 and 43 of the Commission's Regulations The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) amended the Commodity Exchange Act (“CEA” or “Act”) by adding section

Minimum Financial Requirements, Prepayment of Subordinated Debt and Gross Collection of Exchange-Set Margin for Omnibus Accounts

Federal Register · Proposed Rule · Dec 13, 1995

DATES: Comments on the proposed amendments must be received on or before January 12, 1996. ADDRESSES: Comments should be sent to Jean A. … of any provision of the Act or any rule or regulation thereunder, to bring an action to enjoin such act or practice, or to enforce compliance with the Act or any rule or regulation thereunder.

Comparability Determination for the European Union: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Federal Register · Rule · Oct 18, 2017

See § 23.160. 5  In 2014, in conjunction with re-proposing its margin requirements, the Commission requested comment on three alternative approaches to the cross-border application of its margin … Following a review of comments received in response to this release, the Commission's Global Markets Advisory Committee (“GMAC”) hosted a public panel discussion on the cross-border application of margin

Comparability Determination for Japan: Certain Entity-Level Requirements

Federal Register · Notice · Dec 27, 2013

three months after the end of year period. … and profit and loss amounts within fifty days after the end of every quarter period.

Aggregation, Position Limits for Futures and Swaps

Federal Register · Proposed Rule · May 30, 2012

To do so, among other things, the Commission has directed staff to promptly review comment letters as soon as practicable following close of the comment period. … Paperwork Reduction Act 1.

Adverse Registration Actions by National Futures Association With Respect to Floor Brokers, Floor Traders, and Applicants for Registration in Either Category

Federal Register · Uncategorized Document · Aug 1, 1994

the triennial review of registration information, periodic updates, terminations of trading privileges and requests for withdrawal from registration; and (4) establishing and maintaining systems of records … \3\When the Commission issued its most recent delegation Order, it noted that: Certain commenters on the Commission's proposed rules concerning FT registration suggested that authority to take

Comparability Determination for Australia: Certain Entity-Level Requirements

Federal Register · Notice · Dec 27, 2013

Investments Commission Act 2001 (the “ASIC Act”). … In this regard, the Commission may review, modify, or expand the determinations herein in light of comments received and future developments. A.

Governance Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities; Additional Requirements Regarding the Mitigation of Conflicts of Interest

Federal Register · Proposed Rule · Jan 6, 2011

(“Dodd-Frank Act”). … period for the Conflicts of Interest NPRM closed on November 17, 2010.

Annual Adjustment of Civil Monetary Penalties for Inflation-2017

Federal Register · Rule · Jan 23, 2017

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 … Notice Requirement The notice and comment procedures of 5 U.S.C. 553 do not apply to this rulemaking because the Commission is acting herein pursuant to statutory language which mandates that the Commission

Technical Amendments to Rules on Registration and Review of Exchange Disciplinary, Access Denial or Other Adverse Actions

Federal Register · Proposed Rule · Jan 23, 2017

Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Considerations IV. Request for Comments I. Background A. … SEF Final Rules The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) repealed some sections of the Commodity Exchange Act (“CEA” or “Act”), amended others, and established

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

Federal Register · Proposed Rule · Jul 14, 2015

Protection Act (“Dodd-Frank Act”). … General Request for Comments III. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Considerations 1. Introduction 2. Proposed Rule a. U.S. Person b.

Cash Settlement and Regulatory Halt Requirements for Security Futures Products

Federal Register · Proposed Rule · Aug 30, 2001

Request for Comments Relating to Trading Halts III. Request for Comments IV. Paperwork Reduction Act V. Costs and Benefits of the Proposed Rulemaking A. … volatility that may develop during periods of extreme downward volatility).

Denomination of Customer Funds and Location of Depositories

Federal Register · Rule · Feb 4, 2003

Only NFA provided comments as to the expansion of Rule 30.7. … Act.

Comparability Determination for Switzerland: Certain Entity-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 2 years of the 5 year retention period (consistent with § 1.31).

Comparability Determination for the European Union: Certain Entity-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. Chief Compliance Officer (§ 3.3). … Records must be “readily accessible” for the first two years of the five year retention period (consistent with § 1.31).

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

Federal Register · Rule · Apr 1, 2019

Accordingly, I encourage the CFTC staff to periodically assess the implementation of this determination to confirm our expectations are accurate. … I thank the CFTC staff for their thorough work on this determination and appreciate their responsiveness to our comments and suggestions.

Comparability Determination for Hong Kong: Certain Entity-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. … The retention period for voice recordings is to be decided.

Exemption From Derivatives Clearing Organization Registration

Federal Register · Proposed Rule · Aug 13, 2018

Select the “Submit Comments” link for this rulemaking and follow the instructions on the Public Comment Form. … Act and § 39.6.