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 · Sep 2, 2022

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. 1  17 CFR 145.9. … The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on July 01, 2022 (87 FR 39501).

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · May 5, 2023

A Federal Register Notice with a 60-day comment period soliciting comments on the ICR was published on May 17, 2022. DATES: Comments must be submitted on or before June 5, 2023. … Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. 1  17 CFR 145.9.

Agency Information Collection Activities: Notice of Intent To Extend Collection Number 3038-0080, Annual Report for Chief Compliance Officer of Registrants

Federal Register · Notice · Apr 15, 2019

In particular, the Commission believes that, among other things, these obligations (i) promote compliance behavior through periodic self-evaluation, (ii) inform the Commission of possible compliance weaknesses … under the Administrative Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Nov 19, 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 September 17, 2014 (79 FR 55759).

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Feb 1, 2016

The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on November 12, 2015 (80 FR 69948). … entered into before the date of enactment of the Dodd-Frank Act (“pre-enactment swaps”) and swaps entered into on or after the date of enactment of the Dodd-Frank Act but prior to the compliance date

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Oct 24, 2023

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. 1  17 CFR 145.9. … period soliciting comments on this collection of information was published on August 9, 2023 (88 FR 53871).

Agency Information Collection Activities: Financial Education Content Needs Survey

Federal Register · Notice · Jan 16, 2013

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 October 30, 2012.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Jan 21, 2009

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 November 12, 2008 (73 FR 66846).

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 · Dec 2, 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 September 30, 2014 (79 FR 58751).

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0033, Notification of Pending Legal Proceedings

Federal Register · Notice · Aug 23, 2021

under the Administrative Procedures Act and other applicable laws, and may be accessible under the Freedom of Information Act. … Burden Statement: The annual respondent burden for this collection during the renewal period is estimated to be as follows: Estimated Number of Annual Respondents: 97.

Financial Reporting Requirements for Introducing Brokers

Federal Register · Rule · Nov 22, 2006

Comments NFA was the only entity to file a comment letter on the proposed amendments. … Act.

Exemption From Registration for Certain Foreign Intermediaries

Federal Register · Rule · Dec 7, 2020

as a result of the reopening of the 2016 Proposal's comment period. … , 78 as a result of reopening the comment period pursuant to the 2020 Proposal.

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 · Oct 20, 2015

The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on August 7, 2015 (80 FR 47475). … Abstract: Section 738 of the Dodd-Frank Act amended section 4(b) of the Commodity Exchange Act to provide that the Commission may adopt rules and regulations requiring Foreign Boards of Trade (“FBOTs

Privacy of Customer Information

Federal Register · Proposed Rule · Mar 19, 2001

In light of the need to promulgate regulations by June 21, 2001--six months after the enactment of the CFMA--the Commission does not anticipate extending the comment period, and encourages commenters to … submit their comments as early as possible during the comment period.

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0013, Exemptions From Speculative Limits

Federal Register · Notice · Apr 16, 2015

Comments on the Paperwork Reduction Act implications of the Position Limits for Derivatives proposal were solicited through the proposal itself, the comment period for which (as extended and reopened) … under the Administrative Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act.

Account Ownership and Control Report

Federal Register · Proposed Rule · Jul 2, 2009

The Division of Enforcement DOE investigates and prosecutes alleged violations of the Commodity Exchange Act (“Act”) and Commission regulations. … Request for Comments The Commission invites public comment on any relevant aspect of the OCR contemplated in this Advanced Notice.

Renewal of the Technology Advisory Committee

Federal Register · Notice · Jun 21, 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 TAC 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 the Federal Advisory Committee