Documents

Reports by Futures Commission Merchants, Members of Contract Markets, and Foreign Brokers

Federal Register · Rule · Feb 20, 1996

Comments on Proposed Rule Changes A. … In consideration of the foregoing, and pursuant to the authority contained in the Act and, in particular, sections 4g, 4i, 5, and 8a of the Act, 7 U.S.C. 6g, 6i, 7, and 12a (1994), the Commission hereby

Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions

Federal Register · Proposed Rule · May 22, 2009

Recent events in the economy have underscored the importance of conducting periodic reassessments, and through this advance notice of proposed rulemaking the Commission is refocusing its review of permitted … Permitted Investments Under the Act. U.S. government securities and municipal securities are permitted investments under Section 4d(a)(2) of the Act and Regulation 1.25(a)(1)(i)-(ii).

Comprehensive Review of the Commitments of Traders Reporting Program

Federal Register · Notice · Jun 21, 2006

ACTION: Request for comments. … or opportunity for comment.

Alternative to Fingerprinting Requirement for Foreign Natural Persons

Federal Register · Rule · Apr 1, 2016

The comment period for the Proposal ended on February 11, 2016. 11  Proposal, 81 FR at 1361. II. … Paperwork Reduction Act 1.

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.

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

Distribution of Risk Disclosure Statements by Futures Commission Merchants and Introducing Brokers

Federal Register · Rule · Feb 20, 1998

The comment period for the Proposal was sixty days and closed on November 10, 1997. --------------------------------------------------------------------------- \1\ 62 FR 47612 (September 10, 1997) … period for the Proposal closed on November 10, 1997, although the Commission considered comments received after this date.

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.

Notice of Proposed Order and Request for Comment on an Application for a Capital Comparability Determination Submitted on Behalf of Nonbank Swap Dealers Domiciled in the French Republic and Federal Republic of Germany and Subject to Capital and Financial Reporting Requirements of the European Union

Federal Register · Proposed Rule · Jun 27, 2023

Select the “Submit Comments” link for this proposed order and follow the instructions on the Public Comment Form. … Our capital rules are a critical pillar of the Dodd-Frank Act reforms.

Cantor Financial Futures Exchange's Proposal To Adopt Block Trading Procedures

Federal Register · Notice · Oct 7, 1999

Acting pursuant to the authority delegated by Commission Regulation 140.96(b), the Division of Trading and Markets (``Division'') has determined to publish CX's proposal for public comment. … DATES: Comments must be received on or before October 22, 1999. ADDRESSES: Comments should be submitted to Jean A.

Application of the Federal Securities Laws to Certain Types of Crypto Assets and Certain Transactions Involving Crypto Assets

Federal Register · Rule · Mar 23, 2026

Some Commissioners and other commentators expressed concerns about the Commission's approach to crypto assets during this period. … notice and comment requirements.

Privacy Act of 1974: System of Records

Federal Register · Notice · May 29, 1997

DATES: Comments on the establishment of the new system of records must be received no later than June 30, 1997. … Comments may also be sent via the Internet via [email protected].

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Mar 9, 2009

Office of Management and Budget (OMB) for review and comment. … The Federal Register notice with the 60-day comment period soliciting comments on this collection was published on December 29, 2008 (73 FR 79452).

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.

Clearing Exemption for Swaps Between Certain Affiliated Entities

Federal Register · Proposed Rule · Aug 21, 2012

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. … Request for Comments Q39. The Commission invites comments on the impact of this proposed regulation on small entities. B. Paperwork Reduction Act 1.

Amendments to CFTC Rules of Practice and Rules Relating to Investigations

Federal Register · Rule · Dec 3, 2025

Notice Requirement The Administrative Procedure Act (“APA”)  2 requires federal agencies to publish a notice of proposed rulemaking and provide an opportunity for public comment before issuing … Furthermore, an agency may also issue a new rule without a pre-publication public comment period when it for “good cause” finds that prior notice and comment is “impracticable, unnecessary, or contrary

Post-Trade Name Give-Up on Swap Execution Facilities

Federal Register · Rule · Jul 24, 2020

The compliance date for swaps subject to the trade execution requirement under section 2(h)(8) of the Commodity Exchange Act (CEA or Act) is November 1, 2020. … Treasury markets during certain periods of market volatility. Citadel Letter 2, at 12.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Jun 22, 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 February 23, 2004 (69 FR 8181-01).

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.

Clearing Member Risk Management

Federal Register · Proposed Rule · Aug 1, 2011

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. … Act (CEA or Act)  3 to establish a comprehensive new regulatory framework for swaps.