Documents

Requirements for Designated Contract Markets and Swap Execution Facilities Regarding Governance and the Mitigation of Conflicts of Interest Impacting Market Regulation Functions

Federal Register · Proposed Rule · Mar 19, 2024

Proposed §§ 37.1206(e) and 38.857(e) require the ROC to periodically report to the board of directors. … I repeat my call for the Commission to commit to engage in a public rulemaking with formal notice and comment period on vertically integrated structures. 14 13   See supra note 1.

Sunshine Act Meetings

Federal Register · Notice · Apr 10, 2020

COMMODITY FUTURES TRADING COMMISSION Sunshine Act Meetings TIME AND DATE: 10:00 a.m. EDT, Tuesday, April 14, 2020. PLACE: Conference call. STATUS: Open. … Periods.

Confidential Information and Commission Records and Information

Federal Register · Rule · Nov 18, 2004

Freedom of Information Act Amendments The Commission did not receive any comments regarding the proposed amendments to 17 CFR part 145. … Act.

Agricultural Advisory Committee; Eighth Renewal

Federal Register · Notice · May 6, 1999

COMMODITY FUTURES TRADING COMMISSION Agricultural Advisory Committee; Eighth Renewal The Commodity Futures Trading Commission has determined to renew again for a period of two years its advisory … Interested persons may obtain information or make comments by writing to the Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581.

Securities Representing Investment of Customer Funds Held in Segregated Accounts by Futures Commission Merchants

Federal Register · Rule · Aug 7, 1997

The 30-day public comment period on the proposed rule changes expired on April 21, 1997. … Paperwork Reduction Act The Paperwork Reduction Act of 1995 (Pub. L.

Advisory Committee on CFTC-State Cooperation; Tenth Renewal

Federal Register · Notice · Mar 15, 1996

COMMODITY FUTURES TRADING COMMISSION Advisory Committee on CFTC-State Cooperation; Tenth Renewal The Commodity Futures Trading Commission has determined to renew again for a period of two years its … As required by section 14(a)(2)(A) of the Federal Advisory Committee Act, 5 U.S.C.

Application of BrokerTec Futures Exchange, L.L.C. for Designation as a Contract Market in U.S. Treasury Note and U.S. Treasury Bond Futures Contracts

Federal Register · Notice · Jun 9, 2000

for public comment. … the Commodity Exchange Act.

Swap Execution Facility Requirements

Federal Register · Rule · Dec 18, 2020

Public Comment 3. Commission Determination III. Effective Date IV. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Considerations D. … Commenters were generally supportive of the proposed rules and recommended only one viable alternative. 134 IHS Markit recommended with respect to the error trade rules that, especially during periods

Minimum Financial Requirements for Futures Commission Merchants and Introducing Brokers

Federal Register · Rule · Apr 21, 2000

The comment period expired on March 13, 2000. No comments were received. 1  65 FR 6569 (February 10, 2000). 2  Commission rules cited herein can be found at 17 CFR Ch. … Furthermore, no comments were received in response to the Commission's specific request for comments on the impact these rules, as proposed, would have on small entities.

Financial Data Transparency Act Joint Data Standards

Federal Register · Rule · Jun 25, 2026

Administrative Law Comments Several commenters requested an extension of the comment period, largely focusing on the proposed establishment of FIGI. … These commenters stated that a longer comment period was necessary to analyze the potential effects of FIGI's establishment and to gain additional input from market participants.

Registration of Intermediaries

Federal Register · Rule · Jun 6, 2002

The Commission did not receive any comments on any potential paperwork burden associated with these amendments. … The Commission invited public comment on its application of the cost-benefit provision. The Commission did not receive any comments regarding the application of the cost-benefit provision. D.

Cross-Border Application of Certain Swaps Provisions of the Commodity Exchange Act

Federal Register · Proposed Rule · Jul 12, 2012

The Commission received numerous comments during the Dodd-Frank Act rulemaking process from interested parties concerning the application of Title VII of the Dodd-Frank Act and the Commission's implementing … comment period, the Commission will review public comments and subsequently will incorporate those comments into final guidance.

Financial Products Advisory Committee; Sixth Renewal

Federal Register · Notice · Apr 22, 1997

COMMODITY FUTURES TRADING COMMISSION Financial Products Advisory Committee; Sixth Renewal The Commodity Futures Trading Commission has determined to renew for a period of two years its advisory committee … As required by Section 14(a)(2)(A) of the Federal Advisory Committee Act, 5 U.S.C.

Exemption From Registration for Certain Foreign Persons

Federal Register · Rule · Nov 14, 2007

Administrative Procedure Act The Administrative Procedure Act generally requires that, before an agency adopts a rule, the agency provide an opportunity for notice and comment thereon. … Section 3.12 is amended by removing “or” at the end of paragraph (h)(1)(ii), removing the period and adding a semi-colon and “or” at the end of paragraph (h)(1)(iii)(D), and adding paragraph (h)(1)(iv)

Collection of Claims Owed the United States Arising From Activities Under the Commission's Jurisdiction

Federal Register · Rule · Aug 31, 2004

SUPPLEMENTARY INFORMATION: On December 15, 2003, the Commission published for public comment a proposed revision of part 143 of its regulations, 17 CFR part 143, which would add administrative wage … The public comment period for the proposed revision of the Commission's part 143 rules closed on January 14, 2004. No comments were received.

Financial Products Advisory Committee; Fifth Renewal

Federal Register · Notice · Apr 24, 1995

As required by Section 14(a)(2k)(A) of the Federal Advisory Committee Act, 5 U.S.C. … Interested persons may obtain information or make comments by writing to the Commodity Futures Trading Commission, 2033 K Street, N.W., Washington, D.C. 20581.

Financial Products Advisory Committee; Seventh Renewal

Federal Register · Notice · Apr 21, 1999

COMMODITY FUTURES TRADING COMMISSION Financial Products Advisory Committee; Seventh Renewal The Commodity Futures Trading Commission has determined to renew for a period of two years its advisory … Interested persons may obtain information or make comments by writing to the Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581.

Fees for Applications for Contract Market Designation

Federal Register · Rule · Jun 8, 1999

The Commission did not receive any comments in response to that notice. II. … Regulatory Flexibility Act The Regulatory Flexibility Act (``RFA''), 5 U.S.C. 601 et seq., requires agencies in proposing rules, to consider the impact of those rules on small businesses.

Technical Amendments to Rules on Registration and Review of Exchange Disciplinary, Access Denial, or Other Adverse Actions

Federal Register · Rule · Jan 12, 2018

Comments on the Proposal The comment period for the Proposal ended on March 24, 2017. … MGEX stated that an exchange should be able to archive notices on its website after a reasonable period of time.

Technology Advisory Committee Second Renewal

Federal Register · Notice · Nov 6, 2003

COMMODITY FUTURES TRADING COMMISSION Technology Advisory Committee Second Renewal The Commodity Futures Trading Commission has determined to renew for a period of two years its Technology Advisory … Interested presons may obtain information or make comments by writing to the Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.