Documents

Order (1) Pursuant to Section 4(c) of the Commodity Exchange Act, Permitting the Chicago Mercantile Exchange to Clear Certain Over-the-Counter Agricultural Swaps and (2) Pursuant to Section 4d of the Commodity Exchange Act, Permitting Customer Positions in Such Cleared-Only Contracts and Associated Funds To Be Commingled With Other Positions and Funds Held in Customer Segregated Accounts

Federal Register · Notice · Mar 24, 2009

19   See 73 FR 38403 (July 7, 2008) (45-day comment period closing August 21, 2008). 20   See 73 FR 80367 (Dec. 31, 2008) (reopening the comment period for 21 days). … The Commission received seven comment letters, one of which was submitted during the reopened 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.

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).

Recordkeeping

Federal Register · Proposed Rule · Jun 5, 1998

For example, it mandates that record required to be kept by the Act or Commission regulations (``required records'') be maintained for a period of five years and be kept in a ``readily accessible'' manner … Regulatory Flexibility Act The Regulatory Flexibility Act (``RFA''), 5 U.S.C.

Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Fuel Oil-180 Singapore Swap Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Federal Register · Notice · Oct 20, 2009

ACTION: Notice of action and request for comment. … of time after the close of the comment period, issue an order explaining its determination.

Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Waha Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Federal Register · Notice · Oct 9, 2009

ACTION: Notice of action and request for comment. … of time after the close of the comment period, issue an order explaining its determination.

Order Finding That the AECO Financial Basis Contract Traded on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Federal Register · Notice · May 4, 2010

Upon the close of the comment period, the Commission will consider, among other things, all relevant information regarding the subject contract and issue an order announcing and explaining its determination … Federal Register Comments As noted above, comments were received from eight individuals and organizations, with five comments being directly applicable to the SPDC determination of the ICE AEC contract

In the Matter of the Intercontinental Exchange, Inc. Petition for Expansion of the Definition of an Eligible Commercial Entity Under Section 1a(11)(C) of the Commodity Exchange Act

Federal Register · Notice · Nov 15, 2004

Comments The Intercontinental petition was published in the Federal Register for a 15-day public comment period on March 22, 2004. 22 In addition, the Federal Register release includes …  Under IPE Rule 1.6.7, the probationary period runs for a period of 90 days unless terminated earlier at the discretion of the IPE Trading Committee.

Amendments to Commodity Pool Operator and Commodity Trading Advisor Disclosure Rules

Federal Register · Rule · Jul 25, 1995

Regulatory Flexibility Act B. Paperwork Reduction Act I. Background A. … The initial sixty-day period for public comment on the Proposing Release expired on July 15, 1994 but was extended to August 17, 1994.

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

Federal Register · Proposed Rule · Jul 10, 2020

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

Technical and Clarifying Amendments to Rules for Exempt Markets, Derivatives Transaction Execution Facilities and Designated Contract Markets, and Procedural Changes for Derivatives Clearing Organization Registration Applications

Federal Register · Rule · Jan 12, 2006

In the final rules, however, the Commission lowered the period to the current 30 days after the CBOT commented that a 45-day extension period for rule reviews would have resulted in a potentially longer … The 90-day review period is intended to provide the Commission with sufficient time to review these substantial applications, to consider any public comments, and to take informed action.

Proposed Exemptive Order for ST Gold Futures Contracts

Federal Register · Notice · Mar 14, 2008

ACTION: Notice of proposed order and request for comment. … period established by Commission Regulation 40.5.

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.

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

Federal Register · Proposed Rule · Apr 28, 2011

(“Dodd-Frank Act”). … The Commission will align the comment periods of these two proposals so that commenters will have an opportunity to review each before commenting on either.

Trade Options on the Enumerated Agricultural Commodities

Federal Register · Rule · Dec 6, 1999

[S]ection 14 of the Act provides that `any person complaining of any violation of any provision of this Act or any rule * * * issued pursuant to this Act by any person who is registered under this Act' … Taking these comments into consideration, the Commission believes it appropriate to reduce the periodic reporting requirement that ATOMs file reports on volume and open interest four times a year with

De Minimis Exception to the Swap Dealer Definition

Federal Register · Proposed Rule · Jun 12, 2018

Among other things, the Dodd-Frank Act amended the Commodity Exchange Act (“CEA”)  4 to provide for the registration and regulation of swap dealers (“SDs”). 5 The Dodd-Frank Act directed the … Dodd-Frank Act.”).

Designated Contract Markets in Security Futures Products: Notice-Designation Requirements, Continuing Obligations, Applications for Exemptive Orders, and Exempt Provisions

Federal Register · Rule · Aug 27, 2001

The comment period expired on July 2, 2001. 9  Comments were provided by the Chicago Board of Trade (“CBT”) on July 2, 2001, and by the American Stock Exchange (“AMEX”) on July 12, 2001. … (d) Review Period.

Proposed Rulemaking Concerning Account Identification for Eligible Bunched Orders

Federal Register · Proposed Rule · Mar 17, 1998

period on this proposal for an additional seven days. … period on this proposal for an additional seven days.

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.

New York Mercantile Exchange: Proposed Amendments to the Gulf Coast Unleaded Regular Gasoline Futures Contract Relating to the Delivery Procedures and Delivery Period

Federal Register · Notice · May 31, 1995

In accordance with Section 5a(12) of the Commodity Exchange Act and acting pursuant to the authority delegated by Commission Regulation 140.96, the Acting Director of the Division of Economic Analysis … On behalf of the Commission, the Division is requesting comment on these proposals. dates: Comments must be received on or before June 30, 1995.