Documents

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Apr 1, 2019

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. 1  17 CFR 145.9. … Frequency of Collection: 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 Number 3038-0080, Annual Report for Chief Compliance Officer of Registrants

Federal Register · Notice · Nov 12, 2015

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.

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.

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 9, 2019

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. … For example, FCMs have both daily and monthly financial reporting obligations, annual certified financial and compliance report obligations, and periodic notice requirements.

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 Under OMB Review

Federal Register · Notice · May 22, 2026

A Federal Register Notice with a 60-day comment period soliciting comments on the ICR was published on March 5, 2026. DATES: Comments must be submitted on or before June 22, 2026. … Exchange Act, 7 U.S.C. 1 et seq., at 7 U.S.C. 2(a)(15), and is not subject to the Federal Advisory Committee Act (FACA), 5 U.S.C. 1001 et seq.

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.

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).

Proposed Amendments to the Contract Size and Other Provisions of the Chicago Mercantile Exchange Random Lengths Lumber Futures Contract, Submitted Under Fast Track Review Procedures

Federal Register · Notice · Feb 24, 1999

ADDRESSES: Interested persons should submit their views and comments to Jean A. … 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

Order Granting Conditional Substituted Compliance in Connection With Certain Capital and Financial Reporting Requirements Applicable to Nonbank Swap Dealers Subject to Regulation by the Financial Services Agency of Japan

Federal Register · Rule · Jul 18, 2024

Financial Reporting Rules The public comment period on the FSA Application, the proposed Comparability Determination, and the proposed Comparability Order ended on October 7, 2022. … (Act No. 86 of 2005).

Foreign Futures and Options Transactions

Federal Register · Rule · Mar 18, 2020

Regulatory Flexibility Act The Regulatory Flexibility Act (RFA) requires that Federal agencies consider whether the rules that they issue will have a significant economic impact on a substantial number … Paperwork Reduction Act The Paperwork Reduction Act of 1995 (PRA) imposes certain requirements on Federal agencies, including the Commission, in connection with their conducting or sponsoring any collection

Whistleblower Award Determination

Federal Register · Proposed Rule · Jun 15, 2026

SUMMARY: The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing for public comment to amend its rules implementing a section of the Commodity Exchange Act (“CEA”). … Request for Comment IV. Related Matters A. Regulatory Flexibility Analysis B. Paperwork Reduction Act C. Cost-Benefit Considerations D. Antitrust Considerations E.

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).

Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations

Federal Register · Proposed Rule · Jul 7, 2006

under the Act. … The Commission specifically invites public comment on its application of the criteria contained in the 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.

Final Model Privacy Form Under the Gramm-Leach-Bliley Act

Federal Register · Rule · Dec 1, 2009

(“GLB Act”). … period on the proposed rulemaking to solicit comment on a research report and test data pertaining to additional consumer testing of the proposed model privacy form. 5 Today, the Agencies are amending

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Jul 17, 2002

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 June 27, 2002 (67 FR 43285).

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Jun 3, 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 April 6, 2004 (69 FR 18058-01).

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Sep 6, 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 June 27, 2005 (70 FR 36929).