Documents

Revised Procedures for Commission Review and Approval of Applications for Contract Market Designation and of Related Contract Terms and Conditions

Federal Register · Proposed Rule · Jul 27, 1999

DATES: Comments must be received August 26, 1999. … , Congress added the provision requiring a public comment period for proposed exchange rules of major economic significance.

Boards of Trade Located Outside of the United States and the Requirement To Become a Designated Contract Market or Derivatives Transaction Execution Facility

Federal Register · Notice · Jul 14, 2006

ACTION: Extension of comment period. … Subsequent to the public hearing, interested parties have requested that the comment period be extended, either because of the complexity of the issues set forth in the request for comment or in order

A New Regulatory Framework for Clearing Organizations

Federal Register · Rule · Dec 13, 2000

Other comments concerned the definition of clearing organization, the jurisdiction of the Commission, the applicable provisions of the Commodity Exchange Act (Act) and regulations, and the guidance in … ; and (5) The applicant has not instructed the Commission in writing during the review period to review the application pursuant to procedures under section 6 of the Act

Termination of Associated Persons and Principals of Futures Commission Merchants, Introducing Brokers, Commodity Trading Advisors, Commodity Pool Operators and Leverage Transaction Merchants

Federal Register · Proposed Rule · Aug 14, 2007

DATES: Comments must be received on or before September 13, 2007. ADDRESSES: Comments on the Proposal should be sent to David A. … Commenters also are invited to submit any data that they may have quantifying the costs and benefits of the Proposed Amendments with their comment letters. C.

Guidelines for Ensuring and Maximizing the Quality, Objectivity, Utility, and Integrity of Information Disseminated by the Commodity Futures Trading Commission

Federal Register · Notice · Jun 17, 2002

ACTION: Notice of extension of comment period. … DATES: Comment period extended to July 19, 2002.

Identity Theft Red Flags Rules

Federal Register · Proposed Rule · Mar 6, 2012

Follow the instructions for submitting comments. Paper Comments • Send paper comments in triplicate to Elizabeth M. … • The Commissions request comment regarding the proposed requirement to periodically determine whether a financial institution or creditor offers or maintains covered accounts.

Notice Registration as a Futures Commission Merchant or Introducing Broker for Certain Securities Brokers or Dealers

Federal Register · Proposed Rule · Jun 22, 2001

ACTION: Reopening and extension of comment period. … The comment period on the CFTC Proposal expires June 18, 2001.

Petition of the London Clearing House Limited for Exemption Pursuant to Section 4(c) of the Commodity Exchange Act

Federal Register · Notice · Sep 14, 1998

In response to a request by the International Swaps and Derivatives Association, Inc., the Commission has determined to extend the comment period for an additional 15 days. … of the comment period.

Limitations on Withdrawals of Equity Capital

Federal Register · Rule · Jan 10, 2007

The Act is codified at 7 U.S.C. 1 et seq. … Cost-Benefit Analysis Section 15(a) of the Act requires the Commission to consider the costs and benefits of its action before issuing a new regulation under the Act.

Designation of a Chief Compliance Officer; Required Compliance Policies; and Annual Report of a Futures Commission Merchant, Swap Dealer, or Major Swap Participant

Federal Register · Proposed Rule · Nov 19, 2010

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. … Transition Period Futures commission merchants are currently required to be registered under regulation 3.10.

A New Regulatory Framework for Multilateral Transaction Execution Facilities, Intermediaries and Clearing Organizations

Federal Register · Rule · Dec 13, 2000

; and (C) The submitting entity has not instructed the Commission in writing during the review period to review the proposed rule under the 180 day review period under section 5a(a)(12)(A) of the Act. … Upon such notification, the period for review shall be extended for a period of thirty days, and, unless the entity is notified otherwise during that period, the rule shall be deemed approved at the end

Swap Data Repositories: Registration Standards, Duties and Core Principles

Federal Register · Rule · Sep 1, 2011

The comment periods for most proposed rulemakings implementing the Dodd-Frank Act were reopened for 30 days from April 27 through June 2, 2011. … See Commission, Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act, 76 FR 25274 (May 4, 2011).

Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations

Federal Register · Proposed Rule · Jul 3, 2018

Select the “Submit Comments” link for this rulemaking and follow the instructions on the Public Comment Form. … To achieve the objective of a self-regulatory structure, the Act and Commission regulations require RFAs and DCMs to adopt financial and related reporting requirements for member FCMs, and to periodically

Risk Assessment for Holding Company Systems

Federal Register · Uncategorized Document · Dec 28, 1994

rules to implement the risk assessment authority set forth in Section 4f(c) of the Commodity Exchange Act (the ``Proposal'').1 The comment period on the proposal was scheduled to expire on May 2, 1994 … However, the Commission twice extended the comment period to ensure that interested parties had an adequate opportunity to submit comments.

Business Conduct and Documentation Requirements for Swap Dealers and Major Swap Participants; Extension of Compliance Date

Federal Register · Rule · Jan 2, 2013

Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act, 75 FR 25274 (May 4, 2011). 15   See supra note 9. 16   See, e.g., § 23.402 … period for both proposals.

Real-Time Public Reporting Requirements

Federal Register · Rule · Nov 25, 2020

FINRA's comment period closed in June 2019. 219  Carnegie Mellon at 3. 220  SMU at 4-7. … The Commission has expended significant time and resources in analyzing data and responding to the public comments received during the public comment period.

Trade Options on the Enumerated Agricultural Commodities

Federal Register · Rule · Apr 16, 1998

of 1974 (1974 Act). … of the full three-year pilot period.

Performance Data and Disclosure for Commodity Trading Advisors

Federal Register · Proposed Rule · Mar 13, 2003

DATES: Comments must be received by April 14, 2003. ADDRESSES: Interested persons should submit their views and comments to Jean A. … Consistent with the intention of the Commodity Futures Modernization Act of 2000, 39 the Commission is requesting comment on the desirability of implementing a core principle that would replace

A New Regulatory Framework for Trading Facilities, Intermediaries and Clearing Organizations

Federal Register · Rule · Aug 10, 2001

See comment of MGE, CL 15-3. C. … Several commenters questioned the need to retain the voluntariness requirement with respect to section 22 of the Act.

Core Principles and Other Requirements for Swap Execution Facilities

Federal Register · Proposed Rule · Jan 7, 2011

Effective Date and Transition Period IV. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Analysis V. … Request for Comment: The Commission seeks public comment on proposed § 37.206.