Documents

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

Federal Register · Rule · Mar 1, 2000

DATES: Comments on the proposed rule change must be received by March 31, 2000. ADDRESSES: Comments on the proposed rule should be sent to Jean A. … paragraph (a)(4)(iii), and by removing the period and adding a semi-colon and the word “and” at the end of existing paragraph (a)(4)(iv).

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Jan 29, 2013

SUMMARY: In compliance with the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office … The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on November 21, 2012 (77 FR 69806).

Regulations To Address Margin Adequacy and To Account for the Treatment of Separate Accounts by Futures Commission Merchants

Federal Register · Proposed Rule · Mar 1, 2024

The comment period for the First Proposal was extended once at the request of a commenter and closed on June 30, 2023. 49 The Commission received comments from twelve commenters. 50 While commenters … a public comment period of no less than thirty days.

Registration and Compliance Requirements for Commodity Pool Operators (CPOs) and Commodity Trading Advisors: Family Offices and Exempt CPOs

Federal Register · Rule · Dec 10, 2019

Frequency of collection: Periodically. … (3) Periodic reporting relief.

Chicago Board of Trade Futures Contracts in Corn and Soybeans; Notice That Delivery Point Specifications Must Be Amended

Federal Register · Notice · Dec 26, 1996

DATES: Comments must be received by February 24, 1997. … Commenters are specifically requested to address the following issues: 1.

Chicago Mercantile Exchange: Proposed Amendments Relating to the Delivery Procedures, Quality Standards and Quality Price Differentials, and Speculative Position Limit Specifications for the Live Cattle Futures Contract

Federal Register · Notice · Jan 17, 1997

In accordance with section 5a(a)(12) of the Commodity Exchange Act and acting pursuant to the authority delegated by Commission Regulation 140.96, the Acting Director of the Division of Economic Analysis … On behalf of the Commission, the Division is requesting comment on this proposal. DATES: Comments must be received on or before February 18, 1997.

Special Calls

Federal Register · Proposed Rule · Jun 22, 2007

or by these regulations shall be kept for a period of five years from the date thereof and shall be readily accessible during the first two years of the five-year period. … The Commission specifically invites public comment on its application of the criteria contained in the Act for consideration.

Futures Market Self-Regulation

Federal Register · Notice · Apr 12, 2004

ACTION: Request for comment. … Under such an agreement, each DSRO is primarily responsible for conducting periodic examinations of firms assigned to it, and the other SROs rely upon the findings of such examinations, yet under the Act

Financial Resources Requirements for Derivatives Clearing Organizations

Federal Register · Proposed Rule · Oct 14, 2010

(Dodd-Frank Act). … and the Dodd-Frank Act.

Joint Request for Comment on Further Definition of “Swap” and “Security-Based Swap” and on Alternative Compliance

Federal Register · Proposed Rule · Jun 24, 2026

The Commissions have adopted rules addressing tolerance periods and grace periods for products referencing securities indexes traded on designated contract markets, swap execution facilities (“SEFs”), … and the Exchange Act]”.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Jan 29, 2001

Office of Management 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 December 15, 2000 (65 FR 78474).

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Feb 27, 2007

of Management 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 December 27, 2006 (71 FR 248).

Exclusion of Utility Operations-Related Swaps With Utility Special Entities From De Minimis Threshold for Swaps With Special Entities

Federal Register · Rule · Sep 26, 2014

De Minimis Exception From Swap Dealer Definition Section 1a(49)  1 of the Commodity Exchange Act (CEA or Act) defines the term “swap dealer.” … asked that prior to, or concurrently with, the issuance of a regulation adopting the “utility operations-related swap” definition, the Commission act on the commenter's request for reconsideration of

Coffee, Sugar & Cocoa Exchange: Proposed Amendments to the Nonfat Dry Milk Futures Contract to Change the Contract From Physical Delivery to Cash Settlement

Federal Register · Notice · Nov 21, 1997

In accordance with Section 5a(a)(12) of the Commodity Exchange Act and acting pursuant to the authority delegated by Commission Regulation 140.96, the Acting Director of the Division of Economic Analysis … In view of the limited review period provided under the Fast Track procedures, the Commission has determined to publish for public comment notice of the availability of the amended terms and conditions

[No title available]

Federal Register · Notice · Feb 2, 2005

Request for Comments. … The Division seeks comment on whether the six-month time period is appropriate and sufficient for FCMs and banks to make the necessary adjustments with respect to third-party custodial arrangements.

Two-Part Documents for Commodity Pools

Federal Register · Rule · Oct 30, 1998

The comment period for the Proposal was 30 days and closed on April 29, 1998. … The comment period for the Proposal ended on April 29, 1998. The Commission received seven comment letters.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Jun 20, 2019

and Budget (OMB) for review and comment. … Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. 1  17 CFR 145.9.

A New Regulatory Framework for Multilateral Transaction Execution Facilities, Intermediaries and Clearing Organizations

Federal Register · Proposed Rule · Jun 22, 2000

DATES: Comments must be received by August 7, 2000. … ; and (C) The submitting entity has not instructed the Commission in writing during the review period to review the proposed rule under the 180 day review period under section 5a(a)(12)(A) of the Act.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Jul 30, 2007

of Management 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 May 23, 2007 (72 FR 28959).

Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations

Federal Register · Proposed Rule · Jan 21, 2009

The Commission carefully considered the six comment letters noted above. After due deliberation, however, it determined not to act on the proposed amendments or the comments received. … Likewise, the two-year compliance period for existing DCMs also was stayed.