Documents

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.

Concept Release on the Placement of a Foreign Board of Trade's Computer Terminals in the United States

Federal Register · Proposed Rule · Jul 24, 1998

The Commission desires to act as quickly as practicable in this regard and, accordingly, intends to adhere strictly to the 60-day comment period provided for in this release. A. … The Commission requests comment as to whether ten business days is a reasonable time period in which to update such information.

Effective Date for Swap Regulation

Federal Register · Proposed Rule · Oct 25, 2011

Follow the instructions for submitting comments. Please submit your comments using only one method. All comments must be submitted in English, or if not, accompanied by an English translation. … provided in section 723(c) of the Dodd-Frank Act regarding former CEA section 2(h) and section 734(c) of the Dodd-Frank Act regarding former CEA section 5d ( i.e., for “not longer than a 1-year period

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Aug 29, 2018

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. 1  17 CFR 145.9. … For clarity, this notice expresses such burdens in terms of those that would be imposed on one respondent during the three year period.

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

Federal Register · Proposed Rule · Jul 9, 2003

Act. … Commenters also are invited to submit any data that they may have quantifying the costs and benefits of the proposal with their comment letters.

Derivatives Clearing Organization Risk Management Regulations To Account for the Treatment of Separate Accounts by Futures Commission Merchants

Federal Register · Proposed Rule · Apr 14, 2023

Select the “Submit Comments” link for this rulemaking and follow the instructions on the Public Comment Form. … Regulatory Flexibility Act C. Paperwork Reduction Act I. Background A.

Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps To Account for the Transition From LIBOR and Other IBORs to Alternative Reference Rates

Federal Register · Rule · Aug 24, 2022

Regulatory Flexibility Act B. Paperwork Reduction Act C. Antitrust Laws D. Congressional Review Act I. Background A. … during that period.

Swap Execution Facilities and Trade Execution Requirement

Federal Register · Proposed Rule · Feb 12, 2021

In addition to expressing substantive concerns about the overbreadth of the SEF Proposal, I also voiced concerns that we were rushing by having a comparatively short 75-day comment period. 5 In the … end, the comment period was rightly extended, and the Commission has taken the time necessary to carefully evaluate the appropriateness of the SEF Proposal in consideration of its regulatory and oversight

Electronic Filing of Financial Reports and Notices

Federal Register · Rule · Dec 30, 2009

The 30-day public comment period on the Proposals expired on November 12, 2009. The Commission received one written comment on the Proposals, submitted by the National Futures Association (“NFA”). … a new regulation under the Act.

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 the CBOE Gold ETF Volatility Index and Similar Products

Federal Register · Notice · Nov 10, 2010

COMMODITY FUTURES TRADING COMMISSION 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 … The comment period for the Precious Metal ETF Release expires on November 1, 2010. 15   See 75 FR 60411 (September 30, 2010).

Risk Management Program Regulations for Swap Dealers, Major Swap Participants, and Futures Commission Merchants

Federal Register · Proposed Rule · Jul 18, 2023

programs, the enumerated risks these programs must monitor and manage, and the specific risk considerations they must take into account; the Commission further seeks comment on how the related periodic … Background Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act  1 (Dodd-Frank Act) amended the Commodity Exchange Act (CEA)  2 to establish a comprehensive regulatory

Derivatives Clearing Organizations and International Standards

Federal Register · Rule · Dec 2, 2013

period. … period.

Chicago Mercantile Exchange Proposed Rule Amendments To Establish a Globex Foreign Exchange Facility

Federal Register · Notice · Mar 11, 1996

.\1\ Acting pursuant to the authority delegated by Commission Regulation 140.96, the Division of Trading and Markets has determined to publish the CME proposal for public comment. … Request for Comments The Commission requests comments on any aspect of the CME's proposed rule amendments that members of the public believe may raise issues under the Act or Commission regulations

Reporting and Information Requirements for Derivatives Clearing Organizations

Federal Register · Proposed Rule · Dec 15, 2022

Select the “Submit Comments” link for this rulemaking and follow the instructions on the Public Comment Form. … Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Considerations D. Antitrust Considerations I.

Extension of Time To File Annual Reports for Commodity Pools

Federal Register · Rule · Dec 26, 2000

The 30-day comment period expired on December 7, 2000. The Commission received four comment letters, which generally supported the proposed rulemaking. … Only a small number of past requests have exceeded the 150-day period.

Regulation Automated Trading

Federal Register · Proposed Rule · Dec 17, 2015

Paperwork Reduction Act 1. … Regulatory Flexibility Act Analysis 109. The Commission requests comment on each element of its RFA analysis.

Commodity Pool Operators; Exclusion for Certain Otherwise Regulated Persons From the Definition of the Term “Commodity Pool Operator”

Federal Register · Rule · Apr 25, 2000

The Commission specifically requested comment on two aspects of the proposal. … The Commission received two comment letters on the Proposal.

Investment of Customer Funds and Record of Investments

Federal Register · Rule · May 17, 2005

The FIA, in its comment letter, specifically responded to the CME's comment letter. … Under proposed paragraph (b)(3)(iv)(A)( 4 ), the periodic coupon payments could not be a negative amount.

Bankruptcy Regulations

Federal Register · Rule · Apr 13, 2021

calendar days; after consideration of the comments, that period has been changed to seven calendar days. … The proposal for this rule was issued this past April. 6 The comment period just closed on July 13.

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

Federal Register · Proposed Rule · Feb 28, 2020

The docket may be viewed after the close of the comment period in the same manner as during the comment period. … The docket may be viewed after the close of the comment period in the same manner as during the comment period.