Documents

Request of the Kansas City Board of Trade for Approval of Amendments to Its Hard Red Winter Wheat Futures Contract Lowering the Price Discount for Delivery at Huchinson, KS, Increasing the Price Discount for Delivery of U.S. No. 3 Hard Red Winter Wheat, and Modifying the Maximum Permissible Amount of Wheat of Other Classes Deliverable as U.S. No. 3 Hard Red Winter Wheat

Federal Register · Notice · Jan 28, 2002

proposal for comment is in the public interest, will assist the Commission in considering the views of interested persons, and is consistent with the purposes of the Commodity Exchange Act. … DATES: Comments must be received on or before February 12, 2002. ADDRESSES: Interested persons should submit their views and comments to Jean A.

Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

Federal Register · Rule · Jul 31, 2020

One commenter noted that FAQ 16, which relates to the seeding period for foreign public funds, uses 3 years as an example of the duration of such a seeding period, and requested that the agencies confirm … that a foreign public fund's seeding period can be longer than 3 years. 72 Another commenter requested that the agencies codify the 3-year seeding period in the implementing regulations. 73

Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers

Federal Register · Proposed Rule · Sep 1, 2022

SUPPLEMENTARY INFORMATION: The CFTC and SEC are requesting public comment on the following under the Investment Advisers Act of 1940 [15 U.S.C. 80b] (“Advisers Act”). 1 2 1  15 U.S.C. 80b … Request for Comment IV. Paperwork Reduction Act A. Form PF 1. Purpose and Use of the Information Collection 2. Confidentiality 3. Burden Estimates B. Request for Comments V.

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.

Minimum Financial and Related Reporting Requirements for Futures Commission Merchants and Introducing Brokers

Federal Register · Rule · Aug 12, 2004

The Commission also received comments from the FIA and NFA objecting to its proposal to reduce the reporting period set forth in Rule 1.12(b). … 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.  

Swap Data Recordkeeping and Reporting Requirements

Federal Register · Rule · Jan 13, 2012

Overview of Comments Received The comment period for the NOPR closed on February 7, 2011, but was reopened pursuant to the Commission's Order Reopening and Extension of Comment Periods for Rulemakings … The reopened comment period closed on June 3, 2011.

Amendments Pertinent to Registered Entities and Exempt Commercial Markets

Federal Register · Proposed Rule · Aug 13, 2007

DATES: Comments must be received by September 12, 2007. … in section 1a(4) of the Act by proposing to commence the rule approval period at the conclusion of the 10-day materiality review period under regulation 40.4(b)(9).

Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date

Federal Register · Rule · Sep 3, 2026

Given the timing of the Current Compliance Date and the end of the comment period for the 2026 Proposed Form PF Amendments, as well as the significant impact that these proposed amendments could have with … comment.

Agency Information Collection Activities; Proposed Collection, Comment Request

Federal Register · Notice · Apr 5, 2012

and Consumer Protection Act (“Dodd-Frank Act”). … The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on February 15, 2012 (77 FR 8817).

Application of Cantor Financial Futures Exchange as a Contract Market in US Treasury Bond, Ten-Year Note, Five-Year Note and Two-Year Note Futures Contracts

Federal Register · Notice · Feb 3, 1998

comment. … after the exclusive period.

Investment of Customer Funds by Futures Commission Merchants and Derivatives Clearing Organizations

Federal Register · Rule · Jan 22, 2025

The comment period for the Proposal closed on January 17, 2024. … Separately, four commenters responded to the Commission's request for comment on whether the Commission should impose a “cooling-off ” period, following an exceedance of the 45 BPS limit on the two-year

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Oct 5, 2022

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. 1  17 CFR 145.9. … When adopting the 12-hour reporting period, the Commission considered comments on the timeline for correcting errors and notifying the Commission, and extended the period to correct errors specifically

Concept Release on Risk Controls and System Safeguards for Automated Trading Environments

Federal Register · Proposed Rule · Sep 12, 2013

Further, section 747 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”)  3 amended the Commodity Exchange Act (“CEA” or “Act”) to make it unlawful for any person … The German HFT Act also defines algorithmic trading.

Early Warning Reporting Requirements for Futures Commission Merchants

Federal Register · Uncategorized Document · Dec 28, 1994

Regulatory Flexibility Act The Regulatory Flexibility Act (RFA), 5 U.S.C. 601-611 (1988), requires that agencies, in proposing rules, consider the impact of those rules on small businesses. … Paperwork Reduction Act The Paperwork Reduction Act of 1980 (PRA), 44 U.S.C. 3501 et seq., imposes certain requirements on federal agencies (including the Commission) in connection with their conducting

Capital Requirements of Swap Dealers and Major Swap Participants

Federal Register · Proposed Rule · Dec 19, 2019

ACTION: Proposed rule; reopening of comment period; request for additional comment. … period and request additional comment on proposed regulations and amendments to implement section 731 of the Wall Street Reform and Consumer Protection Act, 1 which requires the CFTC to establish

Portfolio Reconciliation Requirements for Swap Dealers and Major Swap Participants-Revision of “Material Terms” Definition

Federal Register · Rule · Jan 5, 2021

, an agency may 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 to the public interest … .”  14 The Commission has determined that there is good cause to find that a pre-publication comment period is unnecessary because this Interim Final Rule involves technical, ministerial changes that

Chicago Board of Trade Proposed Futures and Option Contracts on the Dow Jones Industrial Average Index

Federal Register · Notice · Jun 27, 1997

SUPPLEMENTARY INFORMATION: In its application, the CBOT requested an abbreviated 15-day public comment period. … The Division believes that, for the reasons presented by the CBOT, a 15-day comment period is appropriate for these CBOT applications.

Orders Finding that the (1) Phys,1 BS,2 LD1 3 (US/MM), AB-NIT;4 (2) Phys, BS, LD1 (US/MM), Union-Dawn; 5 (3) Phys, FP,6 (CA/GJ),7 AB-NIT; (4) Phys, FP, (US/MM), Union-Dawn; and (5) Phys, ID,8 7a 9 (CA/GJ), AB-NIT Contracts, Offered for Trading on the Natural Gas Exchange, Inc., Do Not Perform 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 … Each delivery period is considered to be a separate contract, and market participants value each delivery period separately.

MidAmerica Commodity Exchange: Proposed Amendments Converting the Live Hogs Futures Contract From a Physical Delivery Contract to a Cash Settlement System

Federal Register · Notice · Aug 12, 1996

In accordance with Section 5a(a)(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 this proposal. DATES: Comments must be received on or before September 11, 1996.