Documents

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0021, Regulations Governing Bankruptcies of Commodity Brokers

Federal Register · Notice · Jun 17, 2024

Please submit your comments using only one of these methods. All comments must be submitted in English, or if not, accompanied by an English translation. … under the Administrative Procedure Act and other applicable laws, and may be accessible under the FOIA.

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.

Position Reports for Physical Commodity Swaps

Federal Register · Proposed Rule · Nov 2, 2010

Solicitation of Comments Pursuant to the Dodd-Frank Act, the Commission will refine the definition of swap dealer in CEA section 1a. … The Commission invites the public to comment on whether the entities covered by these proposed regulations should be considered small entities for purposes of the RFA. C. Paperwork Reduction Act 1.

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.

Swap Execution Facilities

Federal Register · Rule · Feb 11, 2021

Statutory and Regulatory History Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”)  1 amended the Commodity Exchange Act (“CEA” or “Act”)  2 to … as appropriate for a wind-down period.

Enhanced Risk Management Standards for Systemically Important Derivatives Clearing Organizations

Federal Register · Rule · Aug 15, 2013

Several commenters advocated that any new Commission regulations correspond with applicable international standards. 89 87  The comment period for the proposed rule on Financial Resources Requirements … The comment period for the proposed rule on Risk Management Requirements for Derivatives Clearing Organizations, which proposed a two hour recovery time and special enforcement authority, closed on April

Petition of Hard Eight Futures, LLC for Exemptive Relief, Pursuant to Section 4(c) of the Commodity Exchange Act, From Section 2(a)(1)(C)(iv) of the Commodity Exchange Act and Appendix D to Part 30 of the Rules of the Commodity Futures Trading Commission

Federal Register · Notice · Jun 17, 2010

Request for Comments The Commission requests public comment on any aspect of the Petition that commenters believe may raise issues under the CEA or Commission regulations. … An ECP that is not a QIB, however, would have to exit its position in the foreign futures contract within the applicable grace period or be in violation of the Exchange Act.

Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates

Federal Register · Proposed Rule · Aug 12, 2016

Follow the instructions for submitting comments through the Comments Online process on the Web site. … Follow the instructions for submitting comments. Please submit your comments using only one of these methods.

Order Finding That the ICE Malin Financial Basis Contract Traded on the IntercontinentalExchange, Inc., Does 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 … For subsequent SPDCs, ECMs have a grace period of 30 calendar days to demonstrate core principle compliance. II.

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.

Clearing Requirement Determination Under Section 2(h) of the CEA

Federal Register · Rule · Dec 13, 2012

Comments on the Notice of Proposed Rulemaking The Commission received 29 comments during the 30-day public comment period following publication of the NPRM, and four additional comments after the comment … The Futures Industry Association (FIA) expressed concern about the 30-day comment period providing sufficient time to comment on the proposal, and recommended that the Commission provide a longer comment

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.

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

Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations

Federal Register · Rule · Nov 23, 2007

The comment period for the proposed amendments ended on April 25, 2007. … Accordingly, the two-year compliance period is also stayed. Related Matters A.

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.

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.

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

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

Rules Relating to Intermediaries of Commodity Interest Transactions

Federal Register · Rule · Dec 13, 2000

Responses to the Comments Received A. … The Act requires that registrants receive training on a periodic basis.

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