Documents

Position Limits for Derivatives and Aggregation of Positions

Federal Register · Proposed Rule · Feb 25, 2015

comment on Table 11a, the Commission will reopen the comment periods for an additional 30 days. … Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act.

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Jan 12, 2018

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 Reopened

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Jun 11, 2018

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 Reopened

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.

Provisions Common to Registered Entities

Federal Register · Rule · Jul 27, 2011

less than 30-day public comment period.” … (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.

Termination of Associated Persons and Principals of Futures Commission Merchants, Introducing Brokers, Commodity Trading Advisors, Commodity Pool Operators and Leverage Transaction Merchants

Federal Register · Rule · Nov 8, 2007

Comments Regarding the Proposal The Commission received three comments addressing its Proposal. … The first comment was from a committee (“Committee”) of a Bar Association, the second comment was from an association of broker/dealer and investor advisor firms and the third comment was from an industry

Recordkeeping

Federal Register · Proposed Rule · Jan 19, 2017

Request for comment: The Commission requests comment from all interested parties and the general public regarding the proposed retention periods in § 1.31(c). … Regarding the proposed retention periods, the Commission specifically requests comment on the following questions: • Are the proposed recordkeeping retention periods appropriate?

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Jun 24, 2019

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 Reopened

Provisions Common to Registered Entities

Federal Register · Proposed Rule · Sep 6, 2023

(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.

Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the SP-15 Financial Day-Ahead LMP Peak Contract; SP-15 Financial Day-Ahead LMP Peak Daily Contract; SP-15 Financial Day-Ahead LMP Off-Peak Daily Contract; SP-15 Financial Swap Real Time LMP-Peak Daily Contract; SP-15 Financial Day-Ahead LMP Off-Peak Contract; NP-15 Financial Day-Ahead LMP Peak Daily Contract; and NP-15 Financial Day-Ahead LMP Off-Peak Daily Contract, Offered for Trading on the IntercontinentalExchange, Inc., Perform Significant Price Discovery Functions

Federal Register · Notice · Oct 6, 2009

(“ICE”), an exempt commercial market (“ECM”) under Sections 2(h)(3)-(5) of the Commodity Exchange Act (“CEA” or the “Act”), perform significant price discovery functions. … of time after the close of the comment period, issue an order explaining its determination.

Capital Requirements of Swap Dealers and Major Swap Participants

Federal Register · Proposed Rule · Mar 16, 2017

ACTION: Notice of proposed rulemaking; extension of comment period. … Extension of Comment Period The comment period for the Proposal is due to expire on March 16, 2017.

Public Staff Roundtable on Elements of Regulation Automated Trading; Reopening of Comment Period

Federal Register · Proposed Rule · Jun 7, 2016

ACTION: Notice of staff roundtable discussion; reopening of comment period. … Reopening of Comment Period In conjunction with the staff roundtable on June 10, the Commission is also reopening the comment period for specific elements of Regulation AT.

Certain Swap Data Repository and Data Reporting Requirements; Extension of Comment Period

Federal Register · Proposed Rule · Jul 25, 2019

ACTION: Proposed rule; extension of comment period. … The comment period for the NPRM closes on July 29, 2019. The Commission is extending the comment period for this NPRM by an additional 90 days.

Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Federal Register · Rule · Jul 17, 2026

Comments 3. Discussion III. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Considerations 1. … The comment period for the Proposal closed on October 10, 2023.

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.

Order of the Commodity Futures Trading Commission Relating to the Continuation, Shutdown, and Resumption of Certain Commission Operations in the Event of a Lapse in Appropriations

Federal Register · Rule · Apr 14, 2011

the Dodd-Frank Act for which the comment period may expire while the Commission is shutdown. … Extension of Open Comment Periods on Proposed Regulation and Other Matters that may be Subject to a Request for Comment by the Commission.

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

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.