Documents

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 26, 2022

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.

End-User Exception to Mandatory Clearing of Swaps

Federal Register · Proposed Rule · Dec 23, 2010

If the counterparty electing to use the end-user clearing exception is an issuer of securities under Exchange Act Section 12 or required to file periodic reports with the SEC under Exchange Act Section … The Commission seeks comments on the proposals as a whole, including their interaction with the other provisions of the Dodd-Frank Act.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Feb 20, 2013

(“OMB”) for review and comment. … The Federal Register notice for the 60-day comment period on this request for approval of a new collection of information was published on December 17, 2012. 4 That notice included a description

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Apr 8, 2013

Reduction Act (44 U.S.C. 3501 et seq. ), for the Generic Clearance for the Collection of Qualitative Feedback on Agency Service Delivery. … The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on January 28, 2013 (78 FR 5780).

Chicago Mercantile Exchange (CME): Proposed Amendments to the Spot Month Speculative Position Limits for the Live Cattle Futures Contract

Federal Register · Notice · Oct 30, 2002

The proposal was submitted pursuant to the provisions of section 5c(c)(2) of the Commodity Exchange Act (Act) and Commission Regulation 40.4(a). … The Division is requesting comment on the proposal.

Agency Information Collection Activities: Proposed Collection; Comment Request: Rules Pertaining to Contract Markets and Their Members

Federal Register · Notice · Oct 22, 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 August 15, 2007 (72 FR 45759).

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Nov 18, 2008

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 September 9, 2008 (73 FR 52330).

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Dec 9, 2011

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 September 6, 2011 (76 FR 55055).

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0024: Regulations and Forms Pertaining to the Financial Integrity of the Marketplace

Federal Register · Notice · Apr 29, 2022

Please submit your comments using only one method. All comments must be submitted in English, or if not, accompanied by an English translation. … under the Administrative Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act.

Exemption From the Swap Clearing Requirement for Certain Affiliated Entities-Alternative Compliance Frameworks for Anti-Evasionary Measures

Federal Register · Proposed Rule · Dec 23, 2019

(CEA or Act). … Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Considerations 1. Statutory and Regulatory Background 2.

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0095; Large Trader Reporting for Physical Commodity Swaps

Federal Register · Notice · Feb 9, 2018

Procedure 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 Respondents: 4,824.

Agency Information Collection Activities: Notice of Intent To Extend Collection Number 3038-0088: Swap Documentation

Federal Register · Notice · Aug 1, 2025

obligations imposed by the Regulations are necessary to ensure that each SD and MSP maintains the required records of their business activities; and conducts and maintains records of independent and periodic … under the Administrative Procedure Act and other applicable laws, and may be accessible under FOIA.

Aggregation of Positions

Federal Register · Rule · Dec 16, 2016

Regulatory Flexibility Act C. Paperwork Reduction Act I. … Another commenter suggested a grace period, but did not suggest a specific time period. See CL-SIFMA AMG Nov 13.

Revision of Federal Speculative Position Limits

Federal Register · Proposed Rule · Nov 21, 2007

The Commission is requesting comment on these rule amendments. DATES: Comments must be received on or before December 21, 2007. … In compliance with the Paperwork Reduction Act, the Commission, through this rule proposal, solicits public comment to: (1) Evaluate whether the proposed collection of information is necessary for the

Privacy of Consumer Financial Information; Conforming Amendments Under Dodd-Frank Act

Federal Register · Rule · Jul 22, 2011

The 60-day public comment period on the Proposal expired on December 27, 2010. … SIFMA commented that the standard for relation to state laws should be the same as the standard under section 507(b) of the GLB Act.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Dec 17, 1999

DATES: Comments must be submitted on or before January 18, 2000. … The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on September 1, 1999 (64 FR 47773).

Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

Federal Register · Proposed Rule · Nov 14, 2012

If not, what is a sufficient period of time? P. … (2) Periodic Risk Exposure Reports.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Sep 24, 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 August 15, 2001 (66 FR 42846).

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Oct 14, 2004

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 August 5, 2004 (69 FR 47419-01).

Commodity Pool Operators and Commodity Trading Advisors: Reduction of Duplicative Regulation Through Intermediary Registration Exemptions; Expansion of the Exemption for Small Commodity Pools

Federal Register · Proposed Rule · Aug 21, 2026

Request for Comment IV. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Considerations D. Antitrust Considerations E. … Request for Comment The Commission is requesting comment on all aspects of the Proposal.