Documents

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Aug 16, 2024

The Commission welcomes comments from small entities and others on the agenda. … Action Date FR Cite NPRM 10/12/23 88 FR 70852 NPRM Comment Period End 12/11/23 Final Rule 07/00/24 Final Rule Effective 08/00/24 Regulatory Flexibility

Sunshine Act Meetings

Federal Register · Notice · Dec 6, 2019

COMMODITY FUTURES TRADING COMMISSION Sunshine Act Meetings TIME AND DATE: 9:00 a.m., Tuesday, December 10, 2019. … Period and Requesting Additional Comment; • Proposed Rule: Amendments to the Swap Clearing Requirement Exemption for Inter-Affiliate Swaps; • Proposed Rule: Settlements in Administrative

Reporting Levels and Recordkeeping

Federal Register · Proposed Rule · May 12, 2004

DATES: Comments must be received by June 11, 2004. … The Commission specifically invites public comment on its application of the criteria contained in section 15(a) of the Act for consideration.

Order Exempting, Pursuant to Authority of the Commodity Exchange Act, Certain Transactions Between Entities Described in the Federal Power Act, and Other Electric Cooperatives

Federal Register · Notice · Apr 2, 2013

and provided a 30-day comment period to respond. 39   See id. … See 18 CFR 125.3 (Schedule of records and periods of retention); RUS Bulletin 180-2.

Order Exempting the Trading and Clearing of Certain Credit Default Products Pursuant to the Exemptive Authority in Section 4(c) of the Commodity Exchange Act (“CEA”); Republication

Federal Register · Notice · Jun 15, 2007

Comment Letters The Commission received four comment letters. … Donovan, Acting Secretary of the Commission.

Proposed Amendments to the Price Limit and Trading Halt Provisions in Domestic Stock Index Futures Contracts

Federal Register · Notice · Mar 20, 1998

for comment is in the public interest, will assist the Commission in considering the views of interested persons, and is consistent with the purposes of the Commodity Exchange Act. … DATE: Comments must be received on or before April 6, 1998. [[Page 13639]] ADDRESS: Interested persons should submit their views and comments to Jean A.

Data Reporting Requirements for Certain Event Contracts

Federal Register · Proposed Rule · Jul 1, 2026

Regulatory Flexibility Act C. Paperwork Reduction Act D. Antitrust Considerations E. Executive Orders 12866, 13563, and 14192 List of Subjects I. Background A. … The RFA applies to rules subject to notice and comment rulemakings issued pursuant to section 553(b) of the Administrative Procedure Act, 5 U.S.C. 553(b), or any other law.

Order Granting Conditional Substituted Compliance in Connection With Certain Capital and Financial Reporting Requirements Applicable to Nonbank Swap Dealer Subject to Regulation by the Mexican Comision Nacional Bancaria y de Valores and Banco de Mexico

Federal Register · Rule · Jul 18, 2024

Financial Reporting Rules The public comment period on the Mexico Application and the proposed Comparability Determination and Comparability Order ended on February 13, 2023. … Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act), which amended the CEA to create a new regulatory framework for swaps. 2  United States Government

Amendments to Clearing Exemption for Swaps Entered Into by Certain Bank Holding Companies, Savings and Loan Holding Companies, and Community Development Financial Institutions

Federal Register · Proposed Rule · Aug 29, 2018

General Request for Comment E. Antitrust Considerations V. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act I. Background A. … Improvement Act of 1994 (Riegle Act).

Reporting Levels and Recordkeeping

Federal Register · Rule · Dec 21, 2004

Over a 220-day period, the routine reporting burden on these firms is 12,430 hours. Each account reported to the Commission must also be identified on Form 102. … Request for Comment The Commission invites comment on the accuracy of the burden estimates and suggestions on how to further reduce these burdens.

Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors: Prohibiting Exemptions on Behalf of Persons Subject to Certain Statutory Disqualifications

Federal Register · Rule · Jul 8, 2020

of 1933, the Securities Exchange Act of 1934, the IA Act, the Investment Company Act of 1940, among other federal statutes, as well as any similar state statutes and any related regulations; any failure … , which, commenters argue, the new representation would only serve to duplicate. 83 Though the Commission agrees with commenters that RIAs are subject to conduct requirements under the IA Act, the

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Oct 26, 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 … The Federal Register notice with a 60-day comment period soliciting comments on this collection of information (“60 Day Notice”), implicated by the requirements of the Cleared Swap Reporting Release

Implementation of Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants

Federal Register · Proposed Rule · Nov 23, 2010

Follow the instructions for submitting comments. Please submit your comments using only one method. All comments must be submitted in English, or if not, accompanied by an English translation. … Public Comment The Commission invites public comment on its cost-benefit considerations.

Request To Exempt Certain Over-the-Counter Swaps From Certain of the Requirements Imposed by Commission Regulation 35.2, Pursuant to the Authority in Section 4(C) of the Commodity Exchange Act

Federal Register · Notice · Jul 7, 2008

ACTION: Notice of request for comment on exemption request. … Request for Comment The Commission requests comment on all aspects of the issues presented by this exemption request. IV. Related Matters A.

Profile Documents for Commodity Pools

Federal Register · Rule · Oct 2, 2000

The 30-day comment period expired on August 28, 2000. The Commission received one comment letter, from NFA, which supported the proposed rule changes. … invitation in the proposed rulemaking to comment on any potential paperwork burden associated with this regulation, no comments were received. 6  Pub.

Chicago Mercantile Exchange Proposed Primary Market Maker Rule Amendments

Federal Register · Uncategorized Document · Dec 14, 1994

Description of Proposed Rule Amendments By a letter dated September 14, 1994, the CME submitted proposed rule amendments pursuant to Section 5a(a)(12)(A) of the Commodity Exchange Act (``Act'') and … Request for Comments The Commission requests comments on any aspect of the CME's proposed rule amendments that members of the public believe may raise issues under the Act or Commission regulations

Chicago Board of Trade Futures Contracts in Corn and Soybeans; Order Approving Proposed Rules and Amending Orders of May 7, 1998, and November 7, 1997

Federal Register · Notice · Feb 1, 1999

of this departure from cash market practice on deliverable supplies was difficult to measure in advance and required the CBT to report to the Commission on experience with deliveries for a five year period … None of the commenters addressed this issue.

Notice of Request for Comment on Exemption Requests

Federal Register · Notice · Dec 6, 2007

offering, entering into, rendering advice or rendering other services with respect to, the agreement, contract, or transaction), either unconditionally or on stated terms or conditions or for stated periods … The Commission seeks comment on this determination.

Exemptions From Swap Trade Execution Requirement

Federal Register · Rule · Feb 11, 2021

Summary of Comments 3. Final Rule: CEA Section 4(c) Authority and Standard III. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Considerations 1. … In addition to expressing substantive concerns about the overbreadth of the SEF Proposal, I also voiced concerns that we were rushing by having a comparatively short 75-day comment period. 5 In the

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Apr 20, 2010

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 10, 2010 (75 FR 6637).