Documents

Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act

Federal Register · Rule · Sep 5, 2012

Comments on the Proposal The Commission received two comment letters on the Proposal, 7 each of which supported the Proposal. … Act).

Swap Confirmation Requirements for Swap Execution Facilities

Federal Register · Proposed Rule · Aug 25, 2023

Effective Date and Transition Period IV. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Considerations D. Antitrust Considerations I. Background A. … Regulatory History: The Part 37 Rules The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) amended the Commodity Exchange Act (CEA or Act) by adding section 5h, which establishes

Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act

Federal Register · Proposed Rule · Aug 20, 2010

Follow the instructions for submitting comments. Paper Comments • Send paper comments in triplicate to Elizabeth M. … When commenting, please also take into account the statutory definitions of these terms that have been enacted in the Dodd-Frank Act.

Confidential Information and Commission Records and Information

Federal Register · Proposed Rule · Jul 28, 2004

Act. … (e) * * * (2) The period for filing a detailed written justification may be extended upon request and for good cause shown. 14.

Annual Adjustment of Civil Monetary Penalties to Reflect Inflation-2022

Federal Register · Rule · Jan 13, 2022

Background The Federal Civil Penalties Inflation Adjustment Act of 1990 (FCPIAA)  1 requires the head of each Federal agency to periodically adjust for inflation the minimum and maximum amount … Commission further notes that the notice and comment procedures of the APA do not apply to this rulemaking because the Commission is acting herein pursuant to statutory language that mandates that the

Annual Adjustment of Civil Monetary Penalties To Reflect Inflation-2019

Federal Register · Rule · Feb 11, 2019

Background The Federal Civil Penalties Inflation Adjustment Act of 1990 (FCPIAA)  1 requires the head of each Federal agency to periodically adjust for inflation the minimum and maximum amount … .”  15 The Commission further notes that the notice and comment procedures of the APA do not apply to this rulemaking because the Commission is acting herein pursuant to statutory language that mandates

Foreign Option Transactions

Federal Register · Rule · Jan 29, 1996

which may result in a determination to delay the effective date of the Order pending review of such comments. … Contract Unit--One TGE Raw sugar futures contract Delivery Months--January, March, May, July, September and November within a 15 month period Price Quotation--Yen per 1,000 kilogram Minimum Price Fluctuation

Confidential Information and Commission Records and Information

Federal Register · Proposed Rule · Jul 20, 2007

(Act) as a DCM under Section 5 of the Act (including Section 5f), a DTEF registered under Section 5a of the Act, and a DCO registered under Section 5b of the Act. … Act.

Changes in Reporting Levels for Large Trader Reports

Federal Register · Proposed Rule · Feb 3, 1999

The Regulatory Flexibility Act The Regulatory Flexibility Act (RFA), 5 U.S.C. 601 et seq., requires that agencies, in proposing rules, consider the impact of those rules on small businesses. … Paperwork Reduction Act When publicizing proposed rules, the Paperwork Reduction Act (PRA) of 1995 (Pub.

Delegation of Authority To Disclose Confidential Information to a Contract Market, Registered Futures Association or Self-Regulatory Organization

Federal Register · Rule · Apr 11, 2013

the core principles require, for example, monitoring by the DCO of the large trader reports of its members, 3 which may necessitate the sharing of information by the Commission to a DCO on a periodic … Therefore, this rulemaking is excepted from the public notice and comment provisions of the Administrative Procedure Act. 5 Additionally, as the revisions to the Commission's regulations in this rulemaking

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

Federal Register · Proposed Rule · Oct 22, 2019

Select the “Submit Comments” link for this rulemaking and follow the instructions on the Public Comment Form. … Request for comment: The Commission requests comment regarding the proposed amendment to Commission § 23.151.

Rules of Practice; Final Rules

Federal Register · Rule · Oct 19, 1998

, as amended (``Act''), other than reparations proceedings. … of April 3, 1998. --------------------------------------------------------------------------- \2\Although the comment period was originally scheduled to end on June 2, 1998, it was extended by the

Annual Adjustment of Civil Monetary Penalties To Reflect Inflation-2021

Federal Register · Rule · Feb 2, 2021

Background The Federal Civil Penalties Inflation Adjustment Act of 1990 (FCPIAA)  1 requires the head of each Federal agency to periodically adjust for inflation the minimum and maximum amount … Commission further notes that the notice and comment procedures of the APA do not apply to this rulemaking because the Commission is acting herein pursuant to statutory language that mandates that the

Bunched Orders and Account Identification

Federal Register · Rule · May 9, 1997

By this Approval Order, the Commission, pursuant to Section 17(j) of the Commodity Exchange Act, is approving the NFA Notice. … This time period will provide NFA with an opportunity to review and verify the information contained in the certification.

Second Amendment to July 14, 2011 Order for Swap Regulation

Federal Register · Proposed Rule · May 16, 2012

DATES: Submit comments on or before May 30, 2012. … Follow the instructions for submitting comments. Please submit your comments using only one method. All comments must be submitted in English, or if not, accompanied by an English translation.

Cash Settlement and Regulatory Halt Requirements for Security Futures Products

Federal Register · Rule · May 24, 2002

Record Retention Period F. Collection of Information Is Mandatory G. Confidentiality IV. Costs and Benefits of the Final Rule CFTC: SEC: A. Comments B. … volatility that may develop during periods of extreme downward volatility).

Concept Release on the Denomination of Customer Funds and the Location of Depositories

Federal Register · Notice · Dec 30, 1997

For a limited period of time, the country in which the customer is domiciled, and only for operational ease in receiving and disbursing funds from and to customers living in foreign countries and trading … on it would provide a valuable supplement to the other comments.

Comparability Determination for Japan: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Federal Register · Rule · Sep 15, 2016

(Act No. 108 of 1998). 83 83  JFSA Public Notice No. 15, Article 2(1). … No. 108 of 2006 (the “Trust Act of Japan”). 151  See Trust Act of Japan, Article 23(1) stating: Except where based on a claim pertaining to an Obligation Covered by the Trust Property . .

Annual Adjustment of Civil Monetary Penalties To Reflect Inflation-2020

Federal Register · Rule · Jan 13, 2020

Background The Federal Civil Penalties Inflation Adjustment Act of 1990 (FCPIAA)  1 requires the head of each Federal agency to periodically adjust for inflation the minimum and maximum amount … Commission further notes that the notice and comment procedures of the APA do not apply to this rulemaking because the Commission is acting herein pursuant to statutory language that mandates that the

Annual Adjustment of Civil Monetary Penalties To Reflect Inflation-2024

Federal Register · Rule · Jan 24, 2024

Background The Federal Civil Penalties Inflation Adjustment Act of 1990 (FCPIAA)  1 requires the head of each Federal agency to periodically adjust for inflation the minimum and maximum amount … Commission further notes that the notice and comment procedures of the APA do not apply to this rulemaking because the Commission is acting herein pursuant to statutory language that mandates that the