Documents

Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available To Trade

Federal Register · Proposed Rule · Dec 14, 2011

On May 4, 2011, the Commission reopened the SEF NPRM's comment period through June 3, 2011, as part of the global extension of comment periods for various rulemakings implementing the Dodd-Frank Act to … See Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act, 76 FR 25274 (May 4, 2011). 12  76 FR at 1222.

Commodity Pool Operator Annual Report

Federal Register · Proposed Rule · Aug 5, 2016

Paperwork Reduction Act 1. … the Act.

Application Procedures for Registration as a Derivatives Transaction Execution Facility or Designation as a Contract Market

Federal Register · Proposed Rule · Sep 1, 2004

The proposed 90-day review period should provide the Commission with sufficient time to review these substantial applications and to respond to any public comments. … The Commission specifically invites public comment on its application of the criteria contained in section 15(a) of the Act for consideration.

Position Limits for Derivatives and Aggregation of Positions

Federal Register · Proposed Rule · Feb 25, 2015

comment on Table 11a, the Commission will reopen the comment periods for an additional 30 days. … Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act.

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Jan 12, 2018

Timetable:   Action Date FR Cite ANPRM 09/12/13 78 FR 56542 ANPRM Comment Period End 12/11/13 ANPRM Comment Period Extended 01/24/14 79 FR 4104 ANPRM Comment … Period Extended End 02/14/14 NPRM 12/17/15 80 FR 78824 NPRM Comment Period End 03/16/16 NPRM Comment Period Reopened 06/10/16 81 FR 36484 NPRM Comment Period Reopened

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Jun 11, 2018

Timetable: Action Date FR Cite ANPRM 09/12/13 78 FR 56542 ANPRM Comment Period End 12/11/13 ANPRM Comment Period Extended 01/24/14 79 FR 4104 ANPRM Comment … Period Extended End 02/14/14 NPRM 12/17/15 80 FR 78824 NPRM Comment Period End 03/16/16 NPRM Comment Period Reopened 06/10/16 81 FR 36484 NPRM Comment Period Reopened

Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index

Federal Register · Proposed Rule · May 17, 2001

Comments also may be submitted electronically at the following e-mail address: rule-comments@sec.gov. All comment letters should refer to File No. … and periodic reports under the Exchange Act.

Provisions Common to Registered Entities

Federal Register · Rule · Jul 27, 2011

less than 30-day public comment period.” … (2) Public comment. The Commission shall provide a 30-day comment period within the 90-day period in which the stay is in effect as described in paragraph (c)(1) of this section.

Termination of Associated Persons and Principals of Futures Commission Merchants, Introducing Brokers, Commodity Trading Advisors, Commodity Pool Operators and Leverage Transaction Merchants

Federal Register · Rule · Nov 8, 2007

Comments Regarding the Proposal The Commission received three comments addressing its Proposal. … The first comment was from a committee (“Committee”) of a Bar Association, the second comment was from an association of broker/dealer and investor advisor firms and the third comment was from an industry

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Aug 24, 2017

Timetable: Action Date FR Cite ANPRM 09/12/13 78 FR 56542 ANPRM Comment Period End 12/11/13 ANPRM Comment Period Extended 01/24/14 79 FR 4104 ANPRM Comment … Period Extended End 02/14/14 NPRM 12/17/15 80 FR 78824 NPRM Comment Period End 03/16/16 NPRM Comment Period Reopened 06/10/16 81 FR 36484 NPRM Comment Period Reopened

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Jun 24, 2019

Timetable:   Action Date FR Cite ANPRM 09/12/13 78 FR 56542 ANPRM Comment Period End 12/11/13 ANPRM Comment Period Extended 01/24/14 79 FR 4104 ANPRM Comment … Period Extended End 02/14/14 NPRM 12/17/15 80 FR 78824 NPRM Comment Period End 03/16/16 NPRM Comment Period Reopened 06/10/16 81 FR 36484 NPRM Comment Period Reopened

Provisions Common to Registered Entities

Federal Register · Proposed Rule · Sep 6, 2023

(c) * * * (2) Public comment. The Commission shall provide a 30-day comment period within the 90-day period in which the stay is in effect as described in paragraph (c)(1) of this section. … The Commission shall publish a notice of the 30-day comment period on the Commission website. Comments from the public shall be submitted as specified in that notice.

Capital Requirements of Swap Dealers and Major Swap Participants

Federal Register · Proposed Rule · Mar 16, 2017

ACTION: Notice of proposed rulemaking; extension of comment period. … Extension of Comment Period The comment period for the Proposal is due to expire on March 16, 2017.

Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Federal Register · Proposed Rule · May 12, 2011

ACTION: Extension of comment period. … The Commission now is extending the comment period for the proposed margin regulations so that the comment period will run concurrently with the comment period for the proposed rulemaking on capital requirements

Public Staff Roundtable on Elements of Regulation Automated Trading; Reopening of Comment Period

Federal Register · Proposed Rule · Jun 7, 2016

ACTION: Notice of staff roundtable discussion; reopening of comment period. … Reopening of Comment Period In conjunction with the staff roundtable on June 10, the Commission is also reopening the comment period for specific elements of Regulation AT.

Certain Swap Data Repository and Data Reporting Requirements; Extension of Comment Period

Federal Register · Proposed Rule · Jul 25, 2019

ACTION: Proposed rule; extension of comment period. … The comment period for the NPRM closes on July 29, 2019. The Commission is extending the comment period for this NPRM by an additional 90 days.

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Nov 16, 2018

Timetable:   Action Date FR Cite ANPRM 09/12/13 78 FR 56542 ANPRM Comment Period End 12/11/13 ANPRM Comment Period Extended 01/24/14 79 FR 4104 ANPRM Comment … Period Extended End 02/14/14 NPRM 12/17/15 80 FR 78824 NPRM Comment Period End 03/16/16 NPRM Comment Period Reopened 06/10/16 81 FR 36484 NPRM Comment Period Reopened

Real-Time Public Reporting Requirements and Swap Data Recordkeeping and Reporting Requirements; Reopening of Comment Period

Federal Register · Proposed Rule · Feb 29, 2024

ACTION: Reopening of comment period. … The Commission is reopening the comment period for this NPRM for an additional forty-five days from the date the original comment period closed.

Proposed Amendments to the Maximum Daily Price Fluctuation Limits for the Chicago Board of Trade's Corn, Corn Yield Insurance (Six Contracts), Oats, Rough Rice, Soybeans, Soybean Meal, Soybean Oil, Wheat, Kilo Gold, 100 Ounce Gold, 1000 Ounce Silver, and 5000 Ounce Silver Futures Contracts; Extension of Comment Period

Federal Register · Notice · Jun 29, 2000

The Acting Director of the Division of Economic Analysis (Division), acting pursuant to the authority delegated by Commission Regulation 140.96, has determined that extension of the comment period for … SUPPLEMENTARY INFORMATION: The Acting Director, acting on behalf of the Commission, has determined to extend the public comment period for the subject notice.

Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Federal Register · Rule · Jul 17, 2026

Comments 3. Discussion III. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Considerations 1. … The comment period for the Proposal closed on October 10, 2023.