Documents

Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations

Federal Register · Rule · Apr 3, 2019

The comment period closed on September 4, 2018. … NFA Comment Letter, p. 3. Section 107(b) of the Sarbanes Oxley Act of 2002 generally requires the SEC to approve PCAOB rules prior to their implementation.

Aggregation of Provisions

Federal Register · Proposed Rule · Jan 14, 2014

ACTION: Proposed rule; extension of comment period. … Because the comment period for both proposals was 60 days after publication in the Federal Register, the comment period for the Position Limits Proposal runs to a later date than the comment period

Residual Interest Deadline for Futures Commission Merchants

Federal Register · Proposed Rule · Nov 14, 2014

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. … The Commission invites comments on all aspects of the proposed amendments to the phase-in compliance period, including the costs and benefits of this proposed change.

Contract Market Rule Review Procedures

Federal Register · Rule · Apr 11, 1997

Notice and Comment The Administrative Procedure Act, 5 U.S.C. … Section 553(b) also sets forth an exception to the requirement of notice and opportunity for public comment when the Commission for good cause finds such notice and public comment are unnecessary or contrary

Business Affiliate Marketing and Disposal of Consumer Information Rules

Federal Register · Proposed Rule · Oct 27, 2010

The Commission solicits comments on whether there should be any meaningful difference between the Commission's proposed definitions and the FACT Act and the GLB Act definitions. 11  Part 160 of … The Commission solicits comments on the consolidation of the affiliate marketing notice under this subpart with the GLB Act privacy notices in Part 160.

Antidisruptive Practices Authority

Federal Register · Notice · Mar 18, 2011

period.”  37 Commenters also requested clarification on the definition of closing period and requested Commission guidance on whether the prohibition on disorderly execution of transactions extends … Act.

Position Limits for Derivatives and Aggregation of Positions

Federal Register · Proposed Rule · May 29, 2014

ACTION: Notice of proposed rulemaking; reopening of comment periods. … Appendix to Position Limits for Derivatives and Aggregation of Positions Reopening of Comment Periods—Commission Voting Summary On this matter, Acting Chairman Wetjen and Commissioner O'Malia voted

Privacy Act Regulations

Federal Register · Proposed Rule · Sep 21, 2026

The comment period for the Proposed Rule closed on June 5, 2026. The Commission is reopening the comment period for this NPRM for an additional ten days. … The comment period for the NPRM closed on June 5, 2026.

Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule

Federal Register · Rule · Aug 23, 2001

Comment Letters 4. Final Rule E. Additional Comments III. Administrative Procedure Act CFTC SEC IV. Paperwork Reduction Act CFTC SEC A. … The initial comment period for the rules expired on June 18, 2001. The comment period, however, was extended by the CFTC and the SEC until July 11, 2001.

Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants

Federal Register · Rule · Apr 3, 2012

The Air Transport Association of America, Inc. … If not acted upon within the 30 day period, such request will be deemed approved.

Additional Registration and Other Regulatory Relief for Commodity Pool Operators and Commodity Trading Advisors; Past Performance Issues

Federal Register · Rule · Aug 8, 2003

Act. … End of 1st acct. period 11,000 $4,000 addition. Start of 2nd acct. period 15,000 −20% ($3,000 loss). End of 2nd acct. period 12,000 $2,000 withdrawal.

Requirements for Designated Contract Markets and Swap Execution Facilities Regarding Governance and the Mitigation of Conflicts of Interest Impacting Market Regulation Functions

Federal Register · Proposed Rule · Apr 25, 2024

ACTION: Proposed rule; extension of comment period. … The comment period for the Proposed Rule was set to close on April 22, 2024. The Commission is extending the comment period for this NPRM by an additional twenty-one days.

Position Limits for Derivatives and Aggregation of Positions

Federal Register · Proposed Rule · Jan 5, 2015

ACTION: Notice of proposed rulemaking; reopening of comment periods. … Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act.

Futures Market Self-Regulation

Federal Register · Notice · Jun 2, 2004

ACTION: Reopening comment period. … Such supervisory responsibilities are imposed on SROs by various Core Principles of the Commodity Exchange Act (the “Act”), 2 as amended by the Commodity Futures Modernization Act of 2000. 3

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

Federal Register · Proposed Rule · Jun 15, 2023

ACTION: Extension of comment period. … The comment period for the NPRM closes on June 13, 2023. The Commission is extending the comment period for this NPRM by an additional 17 days.

Bankruptcy Regulations

Federal Register · Proposed Rule · Sep 24, 2020

under Title II of the Dodd-Frank Act. … rules. 29 In either event, before acting to implement a stay provision, the Commission would issue a request for public comment, limited to the issue of whether the Prudential Regulators' actions

Trade Options

Federal Register · Proposed Rule · Jun 2, 2015

ACTION: Notice of proposed rulemaking; extension of comment period. … DATES: The comment period for the Trade Options Proposal published on May 7, 2015, at 80 FR 26200, is extended until June 22, 2015.

Post-Trade Name Give-Up on Swap Execution Facilities

Federal Register · Proposed Rule · Feb 12, 2019

ACTION: Extension of comment period. … Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act.

Derivatives Clearing Organization General Provisions and Core Principles

Federal Register · Proposed Rule · May 16, 2019

Select the “Submit Comments” link for this rulemaking and follow the instructions on the Public Comment Form. … The Commission may stay the running of the 180-day review period if an application is materially incomplete, in accordance with section 6(a) of the Act. (2) Delegation of authority.

Proposed Rulemaking Concerning Contract Market Rule Review Procedures

Federal Register · Proposed Rule · Dec 17, 1996

(or a 75-day period in the case of rules published for comment in the Federal Register) or the contract market agreed to another, specified review period. … As previously noted, the ten- day period within which rules would be deemed approved is much shorter than the 180-day period provided for in the Act.