Documents

Order Granting Exemption From Certain Provisions of the Commodity Exchange Act Regarding Investment of Customer Funds and From Certain Related Commission Regulations

Federal Register · Notice · Jul 25, 2018

Over this time period, the U.S. Spread had a mean of approximately 26.5 BPS and a standard deviation of approximately 9.72 BPS. … The Commission received three comment letters. 20 Each of the commenters supported an exemption and suggested several changes to the Proposed Order.

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

Applications of the Chicago Mercantile Exchange for Designation as a Contract Market in Futures and Options on Five Year Agency Notes and Ten Year Agency Notes

Federal Register · Notice · Feb 9, 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. … In view of the limited 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 than

Applications of the Cantor Financial Futures Exchange for Designation as a Contract Market in Futures on Five Year Agency Notes and Ten Year Agency Notes

Federal Register · Notice · Feb 22, 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. … 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

Proposed Amendments to Minneapolis Grain Exchange Barley Futures Contract

Federal Register · Notice · Nov 6, 1997

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. … 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 terms and conditions for 15

Swap Clearing Requirement Exemptions

Federal Register · Proposed Rule · May 12, 2020

Request for Comment. … Request for Comment.

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0023, Registration Under the Commodity Exchange Act

Federal Register · Notice · May 23, 2007

Under the Paperwork Reduction Act of 1995 (PRA), 44 U.S.C. 3501 et seq. … DATES: Comments must be submitted on or before July 23, 2007. ADDRESSES: Comments may be mailed to Christopher W. Cummings, Division of Clearing and Intermediary Oversight, U.S.

Agency Information Collection Activities: Notice of Intent To Renew Collection: Rules Relating to Review of National Futures Association Decisions in Disciplinary, Membership Denial, Registration, and Member Responsibility Actions

Federal Register · Notice · Oct 15, 2015

The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on June 1, 2012 (77 FR 32593). … under the Administrative Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act.

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

Federal Register · Notice · Apr 9, 2019

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. … Frequency of collection: Periodically. There are no capital costs or operating and maintenance costs associated with this collection.

Chicago Mercantile Exchange Proposed Futures and Option Contracts on the Dow Jones Taiwan Stock Index

Federal Register · Notice · Sep 25, 1996

an additional period for public comment on the CME's amended proposals in the Dow Jones Taiwan Stock Index is warranted. … DATES: Comments must be received on or before October 10, 1996. ADDRESSES: Interested persons should submit their views and comments to Jean A.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Jul 18, 2005

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 May 3, 2005 (70 FR 22853).

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

Federal Register · Notice · Sep 13, 2024

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: 101.

Agency Information Collection Activities: Approved Collection; Comment Request; Off-Exchange Agricultural Trade Options

Federal Register · Notice · Dec 10, 1999

Responses to the collection of information are mandatory pursuant to Section 4c(b) of the Commodity Exchange Act. … The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on August 31, 1999 (64 FR 47452).

Agency Information Collection Activities: Notice of Intent To Revise Collection 3038-0089, Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps

Federal Register · Notice · Jun 19, 2019

The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on April 12, 2019 (84 FR 14922). … as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”).

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

Federal Register · Notice · Feb 6, 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.

Applications of the Chicago Mercantile Exchange for Designation as a Contract Market in Futures and Options on Brazilian ``C'' Brady Bonds, Brazilian ``El'' Brady Bonds, and Argentine ``FRB'' Brady Bonds

Federal Register · Notice · Feb 12, 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.

Applications of the Chicago Board of Trade for Designation as a Contract Market in PCS Catastrophe Single-Event Insurance Options for the Entire U.S. (National) Plus Eight Regional and State-Based Contracts Covering the Northeast, West, California, Texas, East, Southeast, Midwest, and Florida

Federal Register · Notice · Nov 4, 1997

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. … 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 terms and conditions for 15

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0072, Registration of Swap Dealers and Major Swap Participants

Federal Register · Notice · Mar 25, 2026

This notice solicits comments on the extension of information collection requirements relating to registration under the Commodity Exchange Act, OMB Control No. 3038-0072 (Registration of Swap Dealers … Frequency of responses: Periodically. There are no capital costs or operating and maintenance costs associated with this collection.

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0005, Rules Relating to the Operations and Activities of Commodity Pool Operators and Commodity Trading Advisors and to Monthly Reporting by Futures Commission Merchants

Federal Register · Notice · Jun 30, 2016

Abstract: Pursuant to the Commodity Exchange Act, as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), Public Law 111-203, 124 Stat. 1376 (2010), the Commission … under the Administrative Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act.

Definition of “Client” of a Commodity Trading Advisor

Federal Register · Proposed Rule · Sep 28, 2005

DATES: Comments must be received on or before November 28, 2005. ADDRESSES: Comments on the Proposal should be sent to Jean A. … Commenters also are invited to submit any data that they may have quantifying the costs and benefits of the Proposal with their comment letters.