Documents

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.

Operational Resilience Framework for Futures Commission Merchants, Swap Dealers, and Major Swap Participants

Federal Register · Proposed Rule · Jan 24, 2024

Request for Comment J. Cross-Border Application for Swap Entities K. Implementation Period III. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act C. … The 75-day comment period will begin upon the Commission's publication of the release on its website.

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.

Over-the-Counter Derivatives

Federal Register · Proposed Rule · May 12, 1998

Part 35 The Futures Trading Practices Act of 1992 (``1992 Act'') \15\ added subsections (c) and (d) to section 4 of the Act. … How should compliance with any internal control requirements be monitored (e.g., regular audits, periodic spot checks, required reports)? 54.

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.

Segregation of Assets Held as Collateral in Uncleared Swap Transactions

Federal Register · Rule · Apr 3, 2019

The comment period for the Proposal closed on September 28, 2018, and four comment letters  19 were received: one from a swap dealer;  20 one from a registered futures association; 21 one … (“CEA” or the “Act”).

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 8, 2025

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 FOIA.

Petitions of the Chicago Board of Trade, the Kansas City Board of Trade, and the Minneapolis Grain Exchange Pursuant to Commission Regulation 13.2 for Repeal or Amendment of Speculative Position Limits in Commission Regulation 150.2

Federal Register · Proposed Rule · Jun 17, 2004

Exchange Act (Act) and Commission regulations. … DATES: Comments must be received on or before August 16, 2004. ADDRESSES: Comments should be submitted to Jean A.

Agency Information Collection Activities: Proposed Collection; Comment Request: Part 41 Relating to Security Futures Products

Federal Register · Notice · Oct 26, 2007

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 21, 2007 (72 FR 46613).

Listing Standards and Conditions for Trading Security Futures Products

Federal Register · Rule · Nov 1, 2001

Overview of Comments and Final Rules The Commission received four letters in response to its request for comment on the proposed rules. 16 Generally, the commenters supported the proposed rules … (iv) For purposes of this section, average daily trading volume shall be calculated monthly, using data for the most recent six-month period.

Privacy of Consumer Financial Information

Federal Register · Rule · Apr 27, 2001

Overview of Comments Received III. Section-by-Section Analysis IV. Cost-Benefit Analysis V. Related Matters A. Paperwork Reduction Act B. … The Commission has consulted with representatives from the Agencies throughout this rulemaking process, including during the comment period.

Electronic Trading Risk Principles

Federal Register · Rule · Jan 11, 2021

Framework of This Final Rulemaking The proposed rulemaking was subject to a 60-day comment period, which closed on August 24, 2020. … Summary of Comments The Commission did not receive any comments associated with the need periodically to update risk management practices. ii.

Definitions

Federal Register · Rule · Feb 23, 2018

(4) Reevaluation period. … (4) Grace period.

Request of the National Futures Association for Approval of Interpretive Notice to NFA Compliance Rule 2-9: Supervision of the Use of Automated Order Routing Systems

Federal Register · Notice · Mar 27, 2002

ACTION: Notice and request for comment. … SUMMARY: The Commodity Futures Trading Commission (the “Commission” or “CFTC”) has determined, pursuant to section 17(j) of the Commodity Exchange Act (the “Act”), to review the National Futures Association's

Chicago Mercantile Exchange: Proposed Amendments Converting the Live Hogs Futures Contract From a Physical Delivery Contract to a Cash Settlement System

Federal Register · Notice · May 25, 1995

In accordance with Section 5a(a)(12) of the Commodity Exchange Act, and acting pursuant to the authority delegated by Commission Regulation 140.96, the Acting Director of the Division of Economic Analysis … On behalf of the Commission, the Division is requesting comment on this proposal. DATES: Comments must be received on or before June 26, 1995.

Trade Options

Federal Register · Rule · Mar 21, 2016

Then, on June 2, 2015, the Commission extended the comment period for the Proposal through June 22, 2015, in light of the Commission's then recently-published interpretation concerning forward contracts … comments.

Registration of Swap Dealers and Major Swap Participants

Federal Register · Proposed Rule · Nov 23, 2010

The Commission requests comment on these options. … Membership will provide the Commission with flexibility with regard to its oversight of compliance with the Dodd-Frank Act and Commission regulations. Public Comment.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Feb 2, 2016

SUMMARY: In compliance with the Paperwork Reduction Act of 1995 (“PRA”), this notice announces that the Information Collection Request (“ICR”) abstracted below has been forwarded to the Office of Management … The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on December 3, 2015 (80 FR 75663).

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).

Reestablishment of the Global Markets Advisory Committee

Federal Register · Notice · Sep 9, 2014

Please submit your comments using only one method and identify that you are commenting on the GMAC's reestablishment. … SUPPLEMENTARY INFORMATION: In accordance with the Federal Advisory Committee Act (FACA), 5 U.S. C. App. II, the Commission is publishing this notice to announce the reestablishment of the GMAC.