Documents

Interpretive Guidance and Policy Statement Regarding Compliance With Certain Swap Regulations

Federal Register · Rule · Jul 26, 2013

The public comment period on the Proposed Guidance ended on August 27, 2012. … The public comment period on the Further Proposed Guidance ended on February 6, 2013.

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.

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

Maintenance of Minimum Financial Requirements by Futures Commission Merchants and Introducing Brokers

Federal Register · Proposed Rule · Jan 14, 1998

DATES: Comments mut be received on or before March 16, 1998. ADDRESSES: Comments on the proposed amendments should be sent to Jean A. … \6\ Section 4d(2) of the Act and Rules 1.25-1.29. \7\ Rule 1.32.

New York Mercantile Exchange Proposed Specialist Market Maker Program

Federal Register · Notice · May 15, 1998

Acting pursuant to the authority delegated by Commission Regulation 140.96, the Division of Trading and Markets (``Division'') has determined to publish the NYMEX proposal for public comment. … Request for Comments The Commission requests comments from interested persons concerning any aspect of NYMEX's proposed SMM program that the commenters believe raise issues under the Act or Commission

Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions

Federal Register · Proposed Rule · Jun 9, 2011

Time-Periods Technical Amendments Act of 2009. … If not, please specify a recommended time period, and explain in detail the reasons why no shorter period will be sufficient. 161  The amendments to Part 190 appear to be self-executing, but commenters

Chicago Mercantile Exchange: Proposed Amendments Establishing a Report-Based Contract Month Cycle for the Live Hog and Frozen Pork Bellies Futures Option Contracts

Federal Register · Uncategorized Document · May 3, 1994

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 2, 1994.

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 · 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

Privacy of Consumer Financial Information

Federal Register · Rule · May 18, 2020

The Commission requested comments on the Proposal. The comment period for the Proposal ended on December 12, 2019. III. … The Commission received no such comments. D.

Use of Electronic Signatures by Customers, Participants and Clients of Registrants

Federal Register · Proposed Rule · Aug 30, 1999

ADDRESSES: Comments should be mailed to Jean A. … Paperwork Reduction Act The Paperwork Reduction Act of 1995 (PRA) (44 U.S.C. 3501 et seq. (Supp.

Reporting Levels for Large Trader Reports; Security Futures Products

Federal Register · Proposed Rule · Dec 13, 2001

DATES: Comments must be received by January 14, 2002. … The Commission specifically invites public comment on its application of the criteria contained in the Act for consideration.

Application of onExchangeSM Board of Trade, Inc. for Designation as a Contract Market in Five Year U.S. Treasury Note Futures Contracts

Federal Register · Notice · Oct 13, 2000

proposal for public comment. … the Commodity Exchange Act.

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.

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

Federal Register · Proposed Rule · Mar 26, 2007

DATES: Comments should be submitted on or before April 25, 2007. ADDRESSES: Comments should be sent to Eileen A. … In light of the nature of these amendments, the Commission does not anticipate that it will be necessary to extend the comment period. 7  Other than Subsections (b)(2)(ii)(B) and (b)(2)(ii)(C)

Electronic Trading Risk Principles

Federal Register · Proposed Rule · Jul 15, 2020

Regulatory Flexibility Act B. Paperwork Reduction Act 1. OMB Collection 3038-0093—Provisions Common to Registered Entities 2. … Request for Comment 25.

Segregation of Assets Held as Collateral in Uncleared Swap Transactions

Federal Register · Proposed Rule · Jul 30, 2018

Paperwork Reduction Act 1. … (“CEA” or the “Act”).

Petition of the Philadelphia Stock Exchange, Inc. for Exemptive Relief To Permit United States Customers To Establish or Offset Positions in Certain Foreign Currency Options on the Hong Kong Futures Exchange Ltd. Through Registered Broker-Dealers

Federal Register · Notice · Apr 2, 1997

The intial thirty-day period specified in the Proposing Release for public comment on the PHLX Petition would have expired on November 8, 1996 but was extended to December 11, 1996. 61 FR 59089 (November … Several commenters addressed this subject.

Post-Trade Name Give-Up on Swap Execution Facilities

Federal Register · Proposed Rule · Dec 31, 2019

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. … During this period, the 25 most traded stocks on the Oslo Stock Exchange were periodically selected to trade fully anonymously, while the broker identities of traders involved in transactions on all

Registration of Intermediaries

Federal Register · Proposed Rule · Apr 19, 2002

DATES: Comments on the proposed new rule and amendments must be received by May 20, 2002. ADDRESSES: Comments on the proposed rule 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.