Documents

Swap Execution Facilities and Trade Execution Requirement

Federal Register · Proposed Rule · Nov 30, 2018

Regulatory Flexibility Act B. Paperwork Reduction Act 1. … Statutory Background: The Dodd-Frank Act Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”)  2 amended the Commodity Exchange Act (“CEA” or “Act”)  3

Agency Information Collection Activities: Notice of Intent To Amend Collection 3038-0009, Large Trader Reports

Federal Register · Notice · May 12, 2004

, and to allow 60 days for comment in response to the notice. … Large Trader Reports, OMB Control No. 3038-0009—Amendment Parts 15 through 21 of the commission's regulations under the Commodity Exchange Act (Act) require large trader reports from clearing members,

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 · Apr 1, 2015

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 January 26, 2015 (80 FR 3956).

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.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Feb 12, 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 December 11, 2013 (78 FR 75333).

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Dec 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 October 23, 2014 (79 FR 63384).

Exemptive Order Regarding Compliance With Certain Swap Regulations

Federal Register · Proposed Rule · Jul 12, 2012

Request for Comment The Commission requests comment on all aspects of this proposed exemptive order. VII. Related Matters A. Paperwork Reduction Act 1. … It would allow time for the CFTC to receive public comment on interpretive guidance on the cross-border application of the Dodd-Frank Act.

Public Rulemaking Procedures

Federal Register · Rule · Dec 17, 2019

The comment period closed on October 21, 2019. 4   See Public Rulemaking Procedures, 84 FR 49490 (Sept. 20, 2019) (“NPRM”). … Paperwork Reduction Act The Paperwork Reduction Act (“PRA”)  19 imposes certain requirements on Federal agencies in connection with their conducting or sponsoring any collection of information.

Ethics Training for Registrants

Federal Register · Rule · Dec 13, 1995

Background Section 210 of the Futures Trading Practices Act of 1992 added a new paragraph (b) to Section 4p of the Commodity Exchange Act (Act), mandating ethics training for all persons registered … The commenters voiced no objections to this proposed provision.

Electronic Filing of Notices of Exemption and Exclusion Under Part 4 of the Commission's Regulations

Federal Register · Proposed Rule · Oct 13, 2006

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.

Regulation Automated Trading; Withdrawal

Federal Register · Proposed Rule · Jul 15, 2020

In connection with the roundtable, the Commission reopened the Regulation AT NPRM comment period and received 19 additional comment letters, all of which also expressed concern with Regulation AT. … The Commission received 27 comment letters during the comment period for the Supplemental Regulation AT NPRM.

Capital Requirements of Swap Dealers and Major Swap Participants

Federal Register · Proposed Rule · Dec 16, 2016

(“CEA”), as added by section 731 of the Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). … for the period used.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Jun 20, 2019

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. 1  17 CFR 145.9. … Comments.

De Minimis Exception to the Swap Dealer Definition-Swaps Entered Into by Insured Depository Institutions in Connection With Loans to Customers

Federal Register · Rule · Apr 1, 2019

Other Comments 7. Commission Authority To Amend the De Minimis Exception III. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Considerations 1. … Dodd-Frank Act.”). 39  As required by section 712(a)(1) of the Dodd-Frank Act.

Risk Disclosure by Futures Commission Merchants, Introducing Brokers, Commodity Pool Operators and Commodity Trading Advisors to Customers; Bankruptcy Disclosure

Federal Register · Uncategorized Document · Jul 5, 1994

The Commission intends to update and amend the list periodically, as appropriate, in the Federal Register. … Regulatory Flexibility Act The Regulatory Flexibility Act (RFA), 5 U.S.C. Sec. 601 et seq., requires that agencies, in proposing rules, consider the impact of these rules on small business.

Registration of Intermediaries

Federal Register · Rule · Aug 28, 2012

Comments  4 and Responses A. … forth in the Dodd-Frank Act.

Minimum Financial Requirements for Futures Commission Merchants and Introducing Brokers; Amendment to the Capital Charge on Unsecured Receivables Due From Foreign Brokers

Federal Register · Proposed Rule · Aug 28, 2000

DATES: Comments must be received on or before September 27, 2000. ADDRESSES: Comments should be mailed to: Jean A. … Paperwork Reduction Act The Paperwork Reduction Act of 1995, 44 U.S.C. 3501 et seq. (Supp.