Documents

Protection of Clearing Member Funds Held by Derivatives Clearing Organizations

Federal Register · Proposed Rule · Feb 6, 2024

ACTION: Extension of comment period. … The comment period for the NPRM was to close on February 16, 2024. The Commission is extending the comment period for this NPRM by an additional 31 days.

Commodity Pool Operator Financial Reports

Federal Register · Rule · Nov 25, 2016

Paperwork Reduction Act 1. … the Act.

Application Procedures for Registration as a Derivatives Transaction Execution Facility or Designation as a Contract Market

Federal Register · Rule · Nov 22, 2004

of at least 15 days for public review and comment. 17 The proposed 90-day review period should provide sufficient time to review applications and to respond to any public comments. … While longer than the current fast-track review periods, the 90-day review period would be substantially shorter than the 180-day review period established under the Act. 18 15  69 FR 53367

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Dec 23, 2016

Timetable: Action Date FR Cite ANPRM 09/12/13 78 FR 56542 ANPRM Comment Period End 12/11/13 ANPRM Comment Period Extended 01/24/14 79 FR 4104 ANPRM Comment … Period Extended End 02/14/14 NPRM 12/17/15 80 FR 78824 NPRM Comment Period End 03/16/16 NPRM Comment Period Reopened 06/10/16 81 FR 36484 NPRM Comment Period End

Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available to Trade, Swap Transaction Compliance and Implementation Schedule, and Trade Execution Requirement Under the Commodity Exchange Act

Federal Register · Rule · Jun 4, 2013

Act].” 15 U.S.C. 8321, as enacted by section 721 of the Dodd-Frank Act. … on the certification during a 30-day mandatory public comment period.

Residual Interest Deadline for Futures Commission Merchants

Federal Register · Rule · Mar 24, 2015

All commenters supported the termination of the automatic phase-in compliance period. … Christopher Giancarlo I support the Commission's action to change the residual interest deadline, if necessary or appropriate, only upon a Commission rulemaking following a public comment period.

Event Contracts

Federal Register · Proposed Rule · Jul 5, 2024

ACTION: Extension of comment period. … The comment period for the NPRM was scheduled to close on July 9, 2024. The Commission is extending the comment period for the NPRM by an additional thirty days.

Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators

Federal Register · Proposed Rule · Feb 24, 2012

One commenter noted that the language required by the CFTC and the SEC in their respective periodic and annual report certifications is not identical, and encouraged the Commission to work with the SEC … and continuing for a period of not less than 30 calendar days.

Registration With Alternative Compliance for Non-U.S. Derivatives Clearing Organizations

Federal Register · Proposed Rule · Sep 18, 2019

ACTION: Extension of comment period. … The comment period for the NPRM closes on September 17, 2019. The Commission is extending the comment period for this NPRM by an additional 60 days.

Derivatives Clearing Organization General Provisions and Core Principles

Federal Register · Proposed Rule · Jul 5, 2019

ACTION: Extension of comment period. … The comment period for the NPRM closes on July 15, 2019. The Commission is extending the comment period for this NPRM by an additional 60 days.

Swap Execution Facilities and Trade Execution Requirement

Federal Register · Proposed Rule · Feb 12, 2019

ACTION: Extension of comment period. … DATES: The comment period for the SEF NPRM is extended until March 15, 2019.

Retail Commodity Transactions Under Commodity Exchange Act

Federal Register · Rule · Aug 23, 2013

When the 28-Day Period Begins In response to the comment from RJL, the Commission is clarifying when it will consider the 28-day period in new CEA section 2(c)(2)(D)(ii)(III)(aa) to begin. … for a period of one or more years.

Retail Commodity Transactions Involving Certain Digital Assets

Federal Register · Rule · Jun 24, 2020

period and received many public comments. 36  Retail Commodity Transactions Involving Virtual Currency, 82 FR 60335 (Dec. 20, 2017). … The Commission appreciates the comments received on this subject and agrees that the actual delivery period should correspond to the reality of a virtual currency “spot” transaction.

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.

Confidential Information and Commission Records and Information

Federal Register · Proposed Rule · Sep 8, 2008

ACTION: Extension of comment period. … to any comment received during the extension period.

Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations

Federal Register · Rule · Apr 3, 2019

The comment period closed on September 4, 2018. … NFA Comment Letter, p. 3. Section 107(b) of the Sarbanes Oxley Act of 2002 generally requires the SEC to approve PCAOB rules prior to their implementation.

Provisions Common to Registered Entities

Federal Register · Proposed Rule · Nov 2, 2010

(2) Public comment. The Commission shall provide a 30-day comment period, within the 90-day period while the stay is in effect as described in paragraph (c)(1) of this section. … The Commission shall publish a notice of the 30-day comment period on the Commission Web site. Comments from the public shall be submitted as specified in that notice.

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.

Provisions Common to Registered Entities

Federal Register · Rule · Nov 7, 2024

(c) * * * (2) Public comment. The Commission shall provide a 30-day comment period within the 90-day period in which the stay is in effect as described in paragraph (c)(1) of this section. … The Commission shall publish a notice of the 30-day comment period on the Commission website. Comments from the public shall be submitted as specified in that notice.

Recordkeeping

Federal Register · Rule · May 27, 1999

Regulatory Flexibility Act The Regulatory Flexibility Act (``RFA''), 5 U.S.C. 601, et seq., 611, requires that, in adopting rules and regulations, all federal agencies consider their impact on small … Paperwork Reduction Act When publishing final rules, the Paperwork Reduction Act of 1995 \46\ (``PRA'') imposes certain requirements on federal agencies (including the Commission) in connection with