Documents

Agency Information Collection Activities: Proposed Collection Revision, Comment Request: Final Rule for Records of Commodity Interest and Related Cash or Forward Transactions

Federal Register · Notice · Dec 24, 2015

comment. … under the Administrative Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act.

Acknowledgment Letters for Customer Funds and Secured Amount Funds

Federal Register · Proposed Rule · Feb 20, 2009

DATES: Submit comments on or before March 23, 2009. … Follow the instructions for submitting comments. • Agency Web Site: http://www.cftc.gov . Follow the instructions for submitting comments on the Web site.

Registration of Foreign Boards of Trade

Federal Register · Proposed Rule · Nov 19, 2010

DATES: Comments must be received on or before January 18, 2011. The Commission is not inclined to grant extensions of this comment period. … The foreign board of trade may continue to provide direct access from the United States pursuant to the no-action relief during the 120-day period, during the period in which the complete limited application

Opting Out of Segregation

Federal Register · Rule · Apr 25, 2001

Final Rules The 30-day comment period on the proposal expired on April 12, 2001. The Commission received six comment letters. … FIA indicated that FCMs require a reasonable time period to make the appropriate changes to books and records.

Records of Commodity Interest and Related Cash or Forward Transactions

Federal Register · Rule · Dec 24, 2015

shall be readily accessible during the first 2 years of the 5-year period.” … In the end, after numerous iterations, several comment periods, significant legislative interest from Congress, and months of negotiating, the Commodity Futures Trading Commission (“CFTC” or “Commission

Customer Margin Rules Relating to Security Futures

Federal Register · Proposed Rule · Oct 4, 2001

Comments also may be submitted electronically at the following e-mail address: rule-comments@sec.gov. All comment letters should refer to File No. … Commenters are welcome to offer their views on any other matters raised by the proposed rules. V. Paperwork Reduction Act A.

Bankruptcy Regulations

Federal Register · Proposed Rule · Jun 12, 2020

If needed, I encourage market participants to request an extension of the comment period. … A 90-day comment period would barely be long enough in normal times.

Notice of Proposed Order and Request for Comment on an Application for a Capital Comparability Determination From the Financial Services Agency of Japan

Federal Register · Proposed Rule · Aug 8, 2022

Select the “Submit Comments” link for this proposed order and follow the instructions on the Public Comment Form. … (Act No. 86 of 2005).

Policy Statement Concerning the Listing of Perpetual Contracts

Federal Register · Notice · Jun 3, 2026

It does not impose any obligation on any person, modify or supersede any provision of the Commodity Exchange Act (“CEA”) or the Commission's regulations thereunder, create any right or benefit enforceable … at law or in equity, and is not subject to the notice-and-comment requirements of the Administrative Procedure Act.

Agency Information Collection Activities Under OMB Review-Notice of Intent To Renew Collection 3038-0026; Gross Collection of Exchange-Set Margins for Omnibus Accounts

Federal Register · Notice · Jul 23, 2014

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. … The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on May 21, 2014 (79 FR 29173).

Joint Proposed Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities

Federal Register · Proposed Rule · Apr 10, 2006

Tolerance Period Section 1a(25)(B)(iii) of the CEA  26 and Section 3(a)(55)(C)(iii) of the Exchange Act  27 provide that, under certain conditions, a future on a security index may continue … Request for Comments The Commissions solicit comments on all aspects of proposed Rule 41.15 and amendments to Rule 41.21 under the CEA and proposed Rule 3a55-4 and Rule 6h-2 under the Exchange Act.

Confirmation, Portfolio Reconciliation, and Portfolio Compression Requirements for Swap Dealers and Major Swap Participants

Federal Register · Proposed Rule · Dec 28, 2010

(Dodd-Frank Act). … (2) Each swap dealer and major swap participant shall establish, maintain, and enforce written policies and procedures for periodically terminating fully offsetting swaps and for periodically engaging

Conflicts and Affiliations

Federal Register · Proposed Rule · Aug 6, 2026

The proposed three-examination-cycle period—corresponding to approximately four and one-half years—reflects the Commission's preliminary judgment as to the period necessary to balance these continuity … (C) Notice period and effective date of election.

Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants

Federal Register · Proposed Rule · Feb 8, 2011

(Dodd-Frank Act). … Public Comment. The Commission invites public comment on its cost-benefit considerations.

Rules Relating to Intermediaries of Commodity Interest Transactions

Federal Register · Proposed Rule · Jun 22, 2000

such training on a periodic basis. … The Act requires that registrants receive training on a periodic basis.

Early Warning Reporting Requirements, Minimum Financial Requirements, Prepayment of Subordinated Debt, Gross Collection of Exchange-Set Margin for Omnibus Accounts and Capital Charge on Receivables From Foreign Brokers

Federal Register · Rule · May 1, 1996

The Commission originally permitted 30 days for public comment on the proposed amendments to Rule 1.12 and it extended the comment period for an additional 30 days in response to a request from the Securities … The commenters stated that DSROs have demonstrated the capability to competently handle prepayment of subordinated debt during the past ten years of the no-action 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.

Extension of Time To File Annual Reports for Commodity Pools

Federal Register · Proposed Rule · Nov 7, 2000

DATES: Comments must be received by December 7, 2000. ADDRESSES: Interested persons should submit their views and comments to Jean A. … Regulatory Flexibility Act The Regulatory Flexibility Act (“RFA”), 5 U.S.C. 601-611 (1994), requires that agencies, in proposing rules, consider the impact of those rules on small businesses.

Exemption from Certain Part 4 Requirements for Commodity Pool Operators With Respect to Offerings to Qualified Eligible Persons and for Commodity Trading Advisors With Respect to Advising Qualified Eligible Persons

Federal Register · Rule · Aug 4, 2000

(2) Periodic reporting relief. … This statement must indicate: (i) The net asset value of the exempt pool as of the end of the reporting period; (ii) The change in net asset value from the end of the previous reporting period; and

Order Granting the London Clearing House's Petition for an Exemption Pursuant to Section 4(c) of the Commodity Exchange Act

Federal Register · Notice · Oct 1, 1999

comment period was originally sixty days, but it was extended until September 23, 1998, in response to a request by the International Swaps and Derivatives Association, Inc. … \7\ Petition of the London Clearing House Limited for an Exemption Pursuant to Section 4(c) of the Commodity Exchange Act, 63 FR 49094 (Sept. 14, 1998)(Extension of Comment Period).