Documents

Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping

Federal Register · Rule · Aug 13, 2012

air or greenhouse gas regulations. … , in turn decreasing demand for power to run the air conditioning.

Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF

Federal Register · Rule · Nov 16, 2011

Another commenter suggested that we revise the question to allow reporting as of the end of the reporting period rather than over the course of the period and to permit advisers to report based on capital … . 431 431  70,600 hours for periodic filings by smaller advisers + 153,000 hours for periodic filings by large hedge fund advisers + 23,200 hours for periodic filings by large liquidity fund

Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping

Federal Register · Proposed Rule · May 23, 2011

-day period described in paragraph (e)(1) of this section shall be stayed during the pendency of the comment period, but shall recommence with the business day after the public comment period ends … 120-day period described in paragraph (e)(1) of this section shall be stayed during the pendency of the comment period, but shall recommence with the business day after the public comment period ends

Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant”

Federal Register · Rule · May 23, 2012

See letters from Air Transport Association of America, Inc. … See, e.g., letter from Needham Oil & Air, LLC.

Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule

Federal Register · Rule · Aug 23, 2001

Comment Letters 4. Final Rule E. Additional Comments III. Administrative Procedure Act CFTC SEC IV. Paperwork Reduction Act CFTC SEC A. … The initial comment period for the rules expired on June 18, 2001. The comment period, however, was extended by the CFTC and the SEC until July 11, 2001.

Acceptance of Public Submissions Regarding the Study of Stable Value Contracts

Federal Register · Notice · Oct 2, 2012

ACTION: Request for comment; reopening of comment period. … The original comment period for the study closed on September 26, 2011.

Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index

Federal Register · Proposed Rule · May 17, 2001

Comments also may be submitted electronically at the following e-mail address: rule-comments@sec.gov. All comment letters should refer to File No. … and periodic reports under the Exchange Act.

Customer Margin Rules Relating to Security Futures; Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products

Federal Register · Proposed Rule · Nov 2, 2001

ACTION: Joint proposed rules; extension of comment periods. … The original comment periods for these proposals are scheduled to end on November 5, 2001. The new deadline for submitting public comments on both of the above releases is December 5, 2001.

Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers

Federal Register · Rule · Mar 12, 2024

of 2010 (“Dodd-Frank Act”). … In determining compliance periods, the SEC considers the benefits of the rules as well as the costs of delayed compliance periods and potential overlapping compliance periods. 644  MFA/NAPFM Comment

Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index

Federal Register · Proposed Rule · Jul 2, 2001

ACTION: Proposed rule; reopening and extension of comment period. … The original comment period ended on June 18, 2001. The new deadline for submitting public comments is July 11, 2001. DATES: Public comments are due on or before July 11, 2001.

Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date

Federal Register · Rule · Sep 19, 2025

of only 60 days, it also directed agencies to consider further delaying, or publishing for notice and comment, proposals to further delay such rules beyond the 60-day period where necessary to continue … comment.

Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF

Federal Register · Proposed Rule · Feb 11, 2011

Follow the instructions for submitting comments. Paper Comments • Send paper comments in triplicate to Elizabeth M. … The SEC is requesting public comment on proposed rule 204(b)-1 [17 CFR 275.204(b)-1] and proposed Form PF [17 CFR 279.9] under the Investment Advisers Act of 1940 [15 U.S.C. 80b] (“Advisers Act”). 2

Identity Theft Red Flags Rules

Federal Register · Rule · Apr 19, 2013

Program Clarification Act of 2010 (“Clarification Act”)  31 rather than including named entities in the definition. 32 The commenter argued that cross-referencing the FCRA definitions, as amended … (vi) Other terms not defined in this subpart have the same meaning as in the Fair Credit Reporting Act (15 U.S.C. 1681 et seq. ). (c) Periodic identification of covered accounts.

Identity Theft Red Flags Rules

Federal Register · Proposed Rule · Mar 6, 2012

Follow the instructions for submitting comments. Paper Comments • Send paper comments in triplicate to Elizabeth M. … • The Commissions request comment regarding the proposed requirement to periodically determine whether a financial institution or creditor offers or maintains covered accounts.

Acceptance of Public Submissions for a Study on International Swap Regulation Mandated by Section 719(c) of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Federal Register · Proposed Rule · Jul 26, 2011

period. 13 Comments should be submitted during the open comment period, but staff may consider comments filed after the deadline and may consult with interested and/or relevant parties after the … comment period closes in order to obtain additional or clarifying information.

Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant”

Federal Register · Proposed Rule · Dec 21, 2010

In addition, we request comment on the appropriateness of the proposed reevaluation period. … (b) Reevaluation period.

Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers

Federal Register · Proposed Rule · Sep 1, 2022

SUPPLEMENTARY INFORMATION: The CFTC and SEC are requesting public comment on the following under the Investment Advisers Act of 1940 [15 U.S.C. 80b] (“Advisers Act”). 1 2 1  15 U.S.C. 80b … Request for Comment IV. Paperwork Reduction Act A. Form PF 1. Purpose and Use of the Information Collection 2. Confidentiality 3. Burden Estimates B. Request for Comments V.

Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date

Federal Register · Rule · Jun 16, 2025

comment. … Given the time constraints, a notice and comment period could not reasonably be completed prior to the Current Compliance Date. 23   See Section 553(b)(B) of the Administrative Procedure Act

Form PF; Reporting Requirements for All Filers

Federal Register · Proposed Rule · Apr 24, 2026

Request for Comment IV. Paperwork Reduction Act A. Form PF 1. Purpose and Use of the Information Collection 2. Confidentiality 3. Burden Estimates B. Request for Comments V. … We request comment on the proposed transition period: 127. Would the proposed transition period provide filers with enough time to comply with the proposed amendments?

Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date

Federal Register · Rule · Sep 3, 2026

Given the timing of the Current Compliance Date and the end of the comment period for the 2026 Proposed Form PF Amendments, as well as the significant impact that these proposed amendments could have with … comment.