Documents

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

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

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.

Advertising by Commodity Pool Operators, Commodity Trading Advisors, and the Principals Thereof

Federal Register · Proposed Rule · Aug 23, 2006

ADDRESSES: Comments on the Proposal should be sent to Eileen Donovan, Acting Secretary, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. … Commenters also are invited to submit any data that they may have quantifying the costs and benefits of the Proposal with their comment letters.

Request for Comment on Options for a Proposed Exemptive Order Relating to the Trading and Clearing of Precious Metal Commodity-Based ETFs; Concept Release

Federal Register · Notice · Sep 30, 2010

DATES: Comments must be received on or before November 1, 2010. All comments must be in English, or if not in English, accompanied by an English translation. … See CFTC, Request for Comment on a Proposal to Exempt, Pursuant to the Authority in Section 4(c) of the Commodity Exchange Act, the Trading and Clearing of Certain Products Related to ETFS Physical

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.

Significant Price Discovery Contracts on Exempt Commercial Markets

Federal Register · Proposed Rule · Dec 12, 2008

DATES: Comments must be received by February 10, 2009. ADDRESSES: You may submit comments by any of the following methods: • Federal eRulemaking Portal: http://www.regulations.gov . … Please provide the Commission with a copy of your comments so that we can summarize all written comments and address them in the final rule preamble.

Special Calls

Federal Register · Rule · Aug 31, 2007

The Proposed Rules These amendments were published for comment at 72 FR 34417, June 22, 2007, with a 30-day comment period. … In the notice of proposed rulemaking, the Commission specifically invited public comment on its application of the criteria contained in the Act.

Order Finding That the Zone 6-NY Financial Basis Contract Traded on the IntercontinentalExchange, Inc., Does Not Perform 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 … For subsequent SPDCs, ECMs have a grace period of 30 calendar days to demonstrate core principle compliance. II.

Membership in a Registered Futures Association

Federal Register · Rule · Sep 14, 2015

The comment period for the Proposal ended on January 7, 2014. 16 The Commission received two substantive comments in response to the Proposal  17 and, in consideration of those comments, is adopting … the Proposal subject to certain changes, as noted below. 16  The Proposal inaccurately stated the comment period ended on January 17, 2014.

Membership in a Registered Futures Association

Federal Register · Proposed Rule · Nov 8, 2013

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. … NFA members are subject to periodic audits by NFA.

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

Investment of Customer Funds and Record of Investments

Federal Register · Proposed Rule · Feb 3, 2005

  1 (“Act”). … The Commission solicits public comment on whether the proposed rules satisfy the requirements for exemption under Section 4(c) of the Act. V. Related Matters A.

Form PF; Reporting Requirements for All Filers

Federal Register · Proposed Rule · Apr 24, 2026

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. … We request comment on the proposed transition period: 127. Would the proposed transition period provide filers with enough time to comply with the proposed amendments?

Registration of Swap Dealers and Major Swap Participants

Federal Register · Rule · Jan 19, 2012

Several commenters stressed the need for phased implementation over extended periods of time so that SDs and MSPs can come into compliance after evaluating the need, e.g., to restructure operations … . 29 Another commenter opined that, owing to business continuity concerns, a reasonable transition period for a firm not previously subject to regulation would be “a one year period for such firm

Boards of Trade Located Outside of the United States and No-Action Relief From the Requirement To Become a Designated Contract Market or Derivatives Transaction Execution Facility

Federal Register · Rule · Nov 2, 2006

pending the development of rules governing access to automated foreign boards of trade. 4 During this period, the Commission received extensive comment on the proposed rulemaking, as well as advice … The Commission's appropriate role during such a period of rapid change is to construct policies that will foster achievement of the Act's section 3 objectives of ensuring market and financial integrity

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.

Proposed Revision of the Commission's Procedure for the Review of Contract Market Rules

Federal Register · Proposed Rule · Nov 26, 1999

(or 75-day period in the case of rules published for comment in the Federal Register). … Market participants and others adversely affected by a rule change could incur harm during this period.

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

Federal Register · Notice · Jun 25, 2018

Select the “Submit Comments” link for this matter and follow the instructions on the Public Comment Form. … For clarity, this notice expresses such burdens in terms of those that would be imposed on one respondent during the three year period.

Position Limits for Derivatives

Federal Register · Proposed Rule · Jan 26, 2011

Public Comments in Advance of Commission Action As with other forthcoming notices of rulemaking proposing regulations to implement the Dodd-Frank Act, the Commission accepted public comments in advance … At the meeting on December 16, 2010, however, the Commission was presented with a single proposed rule, with a 60-day comment period, addressing spot, single month, and aggregate limits.