Documents

Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants

Federal Register · Rule · Aug 27, 2018

Statutory and Regulatory Background As amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), 1 sections 4d(d) and 4s(k) of the Commodity Exchange Act (“CEA … period for its outstanding Dodd-Frank Act Title VII rulemakings, including rule 15Fk-1. 14 SEC staff continued to consult with CFTC staff leading up to the adoption of rule 15Fk-1 in May 2016. 15

Privacy Act of 1974; System of Records

Federal Register · Notice · Sep 11, 2008

In accordance with the Privacy Act, see 5 U.S.C. 552a(e)(4) and (11), the CFTC is publishing notice of this routine use and giving the public a 30-day period to comment before adopting it as final. … Similarly, after taking into account comments, if any, received by the CFTC, the CFTC intends to publish its proposed routine use as final after the period for OMB and Congressional review is complete,

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

Federal Register · Proposed Rule · Oct 24, 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 amendments to Commission § 23.161.

Execution of Transactions: Regulation 1.38 and Guidance on Core Principle 9

Federal Register · Proposed Rule · Sep 18, 2008

Act. … (b) Periodic review.

Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants

Federal Register · Proposed Rule · Dec 9, 2010

Comments also are requested regarding whether the retention period for pre-execution communications should be shorter than the retention period applicable to other business records. … first two years of that period.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Nov 28, 2017

and Budget (“OMB”) for review and comment. … Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act.

Applications of the Commodity Exchange. Inc. Division of the New York Mercantile Exchange for Designation as a Contract Market in FTSE Eurotop 300 Stock Index Futures and Options

Federal Register · Notice · Aug 12, 1999

SUPPLEMENTARY INFORMATION: The Exchange requested an abbreviated public comment period of 15 days citing the similarities between the proposed contract and the Exchange's existing FTSE Eurotop 100 futures … period requested by the Exchange is appropriate.

Orders Finding That the PJM WH Real Time Peak Contract and PJM WH Real Time Off-Peak Contract Offered for Trading on the IntercontinentalExchange, Inc., Perform a Significant Price Discovery Function

Federal Register · Notice · Jul 21, 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 … Regulatory Flexibility Act The Regulatory Flexibility Act (“RFA”)  46 requires that agencies consider the impact of their rules on small businesses.

Agency Information Collection Activities: Notice of Intent To Renew Collection Number 3038-0062, Off-Exchange Foreign Currency Transactions

Federal Register · Notice · Sep 18, 2017

This notice solicits comments on the collections of information provided for by part 5 of the Commission's regulations under the Commodity Exchange Act (“CEA”) relating to off-exchange foreign currency … under the Administrative Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act.

Order Finding That the HSC1 Financial Basis Contract Traded on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Federal Register · Notice · May 5, 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 seven individuals and organizations, with five comments being directly applicable to the SPDC determination of the ICE HXS contract

Revisions to Freedom of Information Act Regulations

Federal Register · Rule · Jun 20, 2017

Furthermore, an agency may also issue a new rule without a pre-publication public comment period when it for “good cause” finds that prior notice and comment is “impracticable, unnecessary, or contrary … The Commission has determined that there is good cause to find that a pre-publication comment period is unnecessary.

Additional Registration and Other Regulatory Relief for Commodity Pool Operators and Commodity Trading Advisors

Federal Register · Proposed Rule · Mar 17, 2003

Comments on the Prior Rulemaking Activities A. Comments on the Prior Rule 4.5 Proposal B. Comments on the ANPR III. The Proposals A. … (a) Except as provided in paragraph (a)(4) of this section, each commodity pool operator registered or required to be registered under the Act must periodically distribute to each participant in each pool

Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities With Regard to Prohibitions and Restrictions on Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

Federal Register · Rule · Jan 31, 2014

and related materials, and viewing the docket after the close of the comment period … , and viewing the docket after the close of the comment period

Revision of Federal Speculative Position Limits

Federal Register · Proposed Rule · Mar 15, 2005

The Commission is requesting comment on these rule amendments. DATES: Comments must be received on or before April 14, 2005. ADDRESSES: Comments should be submitted to Jean A. … The comment period closed on August 16, 2004, and eight comment letters were received in response to the Federal Register notice.

Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators

Federal Register · Rule · Aug 22, 2013

Act”), 12 and the Securities Exchange Act of 1934  13 regarding disclosure, reporting and recordkeeping by RICs (collectively, “SEC RIC Rules”). 14 Commenters asserted variously that the … Over the course of three calendar years, the change from a 9 month update period to a 12 month update period eliminates 1 filing per CTA.

Privacy of Consumer Financial Information-Amendment To Conform Regulations to the Fixing America's Surface Transportation Act

Federal Register · Rule · Apr 25, 2019

The comment period for the Proposal ended on February 8, 2019. 20  Proposal, 83 FR at 63453. III. … The Commission is providing the 100 day period because it believes the Final Rule to be consistent with the revisions of the GLB Act in the FAST Act and current regulations while allowing Covered Persons

Rules Relating to Intermediaries of Commodity Interest Transactions

Federal Register · Rule · Oct 23, 2001

Overview of Comments The Commission received five comment letters on the proposals. The commenters included Fimat USA Inc. … The Act requires that registrants receive training on a periodic basis.

Order Finding That the ICE Henry Financial LD1 Fixed Price Contract Traded on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Federal Register · Notice · Jul 30, 2009

The Commission will, within a reasonable period of time after the close of the comment period, consider all relevant information and issue an order announcing and explaining its determination. … For subsequent SPDCs, ECMs have a grace period of 30 calendar days to demonstrate core principle compliance. II.

Clearing Requirement Determination Under Section 2(h) of the CEA for Interest Rate Swaps

Federal Register · Proposed Rule · Jun 16, 2016

Regulatory Flexibility Act B. Paperwork Reduction Act I. Background A. … Act.

Real-Time Public Reporting Requirements and Swap Data Recordkeeping and Reporting Requirements

Federal Register · Proposed Rule · Dec 28, 2023

The RFA applies to rules subject to notice and comment rulemakings issued pursuant to section 553(b) of the Administrative Procedure Act, 5 U.S.C. 553(b), or any other law. … of exercise periods. 115 Option exercise frequency period multiplier The number of time units for the exercise frequency period.