Documents

Commodity Pool Operators and Commodity Trading Advisors; Exemption From Requirement To Register for CPOs of Certain Pools and CTAs Advising Such Pools

Federal Register · Proposed Rule · Nov 13, 2002

DATES: Comments must be received by January 13, 2002. ADDRESSES: Comments on this advance notice of proposed rulemaking should be sent to Jean A. … Request for Comment The Commission requests public comment on the exemption criteria of the NFA Proposal, the MFA Proposal, the No-Action Relief, and the following issues: 1.

Order Exempting the Trading and Clearing of Certain Products Related to iShares® COMEX Gold Trust Shares and iShares® Silver Trust Shares

Federal Register · Notice · Dec 30, 2008

By letters dated October 16, 2008 and November 19, 2008, OCC consented to extensions of the review period, ultimately until December 3, 2008. II. … The Commission requested comment on its application of these factors in the proposing release. No comments were received.

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 · Proposed Rule · May 31, 2022

Regulatory Flexibility Act B. Paperwork Reduction Act C. Antitrust Laws I. Background A. … The Commission requests comment on whether there are less anticompetitive means of achieving the relevant purposes of the 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

Reestablishment of the Agricultural Advisory Committee

Federal Register · Notice · Jun 29, 2012

All comments must be submitted in English, or if not, accompanied by an English translation. Comments will be posted as received to www.cftc.gov. … The Agricultural Advisory Committee will operate for two years from the date of renewal unless, before the expiration of that time period, its charter is renewed in accordance with section 14(a)(2) of

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0023, Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations

Federal Register · Notice · Dec 16, 2014

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. … Frequency of collection: Periodically. Authority: 44 U.S.C. 3501 et seq. Dated: December 11, 2014. Christopher J. Kirkpatrick, Secretary of the Commission.

Access to Automated Boards of Trade

Federal Register · Proposed Rule · Mar 24, 1999

On September 18, 1998, the Commission extended the comment period for fifteen days, through October 7, 1998. … retention period under Rule 1.31.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Jun 27, 2019

The reporting rules are implemented by the Commission partly pursuant to the authority of sections 4a, 4c(b), 4g, and 4i of the Commodity Exchange Act (“the Act”). … Frequency of Collection: Periodically. There are no capital costs or operating and maintenance costs associated with this collection.

Swap Data Recordkeeping and Reporting Requirements

Federal Register · Proposed Rule · Apr 17, 2020

receiver (53); Payment frequency period (54); and Payment frequency period multiplier (55). 7. … Act.

Application of the Chicago Board of Trade for Designation as a Contract Market in Dow Jones Composite Average SM Index Futures and Futures Options

Federal Register · Notice · Apr 28, 2000

proposals for comment is in the public interest, will assist the Commission in considering the views of interested persons, and is consistent with the purpose of the Commodity Exchange Act. … Accordingly, the Division believes that an abbreviated 15-day comment period is appropriate for the subject applications.

Applications of the Chicago Mercantile Exchange for Designation as a Contract Market in E-Mini Nasdaq 100 Futures and Options

Federal Register · Notice · Mar 4, 1999

proposals for comment is in the public interest, will assist the Commission in considering the views of interested persons, and is consistent with the purpose of the Commodity Exchange Act. … Accordingly, the Division believes that an abbreviated 15-day comment period is appropriate for the subject applications.

Registration With Alternative Compliance for Non-U.S. Derivatives Clearing Organizations

Federal Register · Rule · Oct 21, 2020

Responses to Additional Requests for Comment H. Additional Comments III. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Considerations D. … The Commission received a total of 15 substantive comment letters in response. 21 After the initial sixty-day comment period expired, the Commission extended the comment period for an additional sixty

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Mar 18, 2013

(“OMB”) for review and comment. … The Federal Register Notice for the 60-day comment period on this request for approval of an extension of a previously-approved information collection was published on December 31, 2012. 1

Applications of the Chicago Board of Trade for Designation as a Contract Market in Futures and Options on the CBOT Argentina Brady Bond Index

Federal Register · Notice · Feb 7, 1996

proposals 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. … The SEC published the proposed amendment to Rule 240.3a12-8 in the Federal Register for a 30-day public comment period on December 20, 1995.

Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities Regarding the Mitigation of Conflicts of Interest

Federal Register · Proposed Rule · Oct 18, 2010

The Commission seeks comment as to whether such period should be increased, given (i) current concerns regarding further protecting regulatory functions from directors that are conflicted due to industry … The Commission requests comment on the (i) timing of effectiveness for the final rules, and (ii) the length of the phase-in implementation 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.

Listing Standards and Conditions for Trading Security Futures Products

Federal Register · Proposed Rule · Jul 20, 2001

Request For Comments IV. Costs And Benefits Of The Proposed Rules V. Related Matters A. Paperwork Reduction Act B. Regulatory Flexibility Act VI. … Request for Comments The Commission solicits comments on all aspects of Proposed Rules 41.21 through 41.25 under the CEA.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Dec 23, 2015

and Budget (“OMB”) for review and comment. … The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on October 15, 2015 (80 FR 62045).

Applications of the New York Futures Exchange for Designation as a Contract Market in Russell 1,000 Large Index Futures and Russell 1,000 Index Futures Options

Federal Register · Notice · Jan 4, 1999

proposals for comment is in the public interest, will assist the Commission in considering the views of interested persons, and is consistent with the purpose of the Commodity Exchange Act. … Accordingly, the Division believes that an abbreviated 15-day comment period is appropriate for the subject applications.

Application of the KCBT for Designation as a Contract Market in Western Natural Gas Index Futures Contracts

Federal Register · Notice · May 6, 1999

proposal for comment is in the public interest, will assist the Commission in considering the views of interested persons, and is consistent with the purpose of the Commodity Exchange Act. … In view of the limited review period under the Fast Track procedures, the Commission has determined to publish for public comment notice of the availability of the terms and conditions for 15 days, rather