Documents

Proposed Order and Request for Comment on Application for Exemption From Certain Provisions of the Commodity Exchange Act Regarding Investment of Customer Funds and From Certain Related Commission Regulations

Federal Register · Notice · Dec 15, 2017

COMMODITY FUTURES TRADING COMMISSION Proposed Order and Request for Comment on Application for Exemption From Certain Provisions of the Commodity Exchange Act Regarding Investment of Customer Funds and … Spread has exceeded approximately 5% of the time over that period. 14 14  The Commission reviewed the daily U.S. Spread from July 3, 2009 to July 3, 2017. Over this time period, the U.S.

Application of FutureCom, LTD. as a Contract Market in Live Cattle Futures and Options

Federal Register · Notice · Nov 24, 1997

By letter dated June 20, 1997, the Division informed FutureCom that the running of the one-year review period provided in Section 6 of the Commodity Exchange Act would be stayed with respect to both the … with the purposes of the Commodity Exchange Act.

Requests for Exemptive, No-Action and Interpretative Letters

Federal Register · Rule · Dec 10, 1998

would assist it in fashioning a final rule.\5\ The comment period on the Proposal originally was due to expire on March 22, 1998. … To maximize public participation in this rulemaking process, the Commission extended the comment period for an additional thirty days,\6\ and the comment period closed on April 22, 1998.

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.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Sep 24, 2020

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. 1  17 CFR 145.9. … Frequency of collection: Periodically. There are no capital costs or operating and maintenance costs associated with this collection.

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

Federal Register · Proposed Rule · Jul 1, 2004

The Commission is proposing these rule amendments and requesting comment as part of its continuing efforts to update its regulations in light of the Commodity Futures Modernization Act of 2000 (“CFMA”) … DATES: Comments must be received by August 30, 2004.

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

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.

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.

Interpretation Regarding Use of Electronic Media by Commodity Pool Operators and Commodity Trading Advisors

Federal Register · Rule · Dec 16, 1996

On October 15, 1996, the Commission extended the period for public comment until November 14, 1996, while delaying the effective date until December 16, 1996, 61 FR 54731 (October 22, 1996). … On October 15, 1996, the Commission extended the comment period until November 14, 1996, and delayed the effective date until December 16, 1996.

Clearing Exemption for Swaps Between Certain Affiliated Entities

Federal Register · Rule · Apr 11, 2013

Comments on the Notice of Proposed Rulemaking The Commission received 13 comments during the 30-day public comment period following publication of the NPRM on August 21, 2012, and one additional comment … after the comment period ended.

Chicago Board of Trade: Proposed Amendments to the Chicago Board of Trade Corn and Soybeans Futures Contracts, Increasing the Maximum Daily Premium Charge, Decreasing the Maximum Number of Shipping Certificates Issuable, and Modifying Certain Loading Requirements

Federal Register · Notice · Oct 12, 2000

DATES: Comments must be received on or before November 13, 2000. ADDRESSES: Interested persons should submit their views and comments to Jean A. … The Commission is requesting comments on the proposed amendments.

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.

In the Matter of Intermarket Clearing Corporation-Request for Vacation From Designation as Derivatives Clearing Organization

Federal Register · Notice · Jan 6, 2004

However, the merger of ICC and OCC will take place before the end of the calendar year 2003, which will occur before the expiration of the ninety-day notice period required by Section 7 of the Act. … The Commission invited comments specifically on exempting ICC from the ninety-day requirement of section 7 and received no comments. III.

Order Finding That the San Juan 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.

Recordkeeping; Reports by Futures Commission Merchants, Clearing Members, Foreign Brokers, and Large Traders

Federal Register · Rule · May 2, 1997

Since this testing may take a period of time to complete, the Commission will take no enforcement action during the testing period against [[Page 24027]] reporting firms if they are not in compliance … Paperwork Reduction Act (PRA) When publishing final rules, the Paperwork Reduction Act of 1995 (Pub.

Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy

Federal Register · Rule · Nov 6, 2013

(the “Dodd-Frank Act”). … See 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). 11  Letters were received

Reducing Regulatory Burden; Retrospective Review Under E.O. 13563

Federal Register · Proposed Rule · Jun 30, 2011

Follow the instructions for submitting comments through the Web site. • Mail: David A. … required by the Administrative Procedure Act.

Electronic Filing of Notices of Exemption and Exclusion Under Part 4 of the Commission's Regulations

Federal Register · Rule · Jan 16, 2007

The Commission's proposal solicited public comment on this analysis. 15 No comments were received. … Act.

Derivatives Clearing Organization General Provisions and Core Principles

Federal Register · Rule · Jan 27, 2020

Additional Comments X. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Considerations D. Antitrust Considerations I. … Paperwork Reduction Act 1.