Documents

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

Strategic Plan

Federal Register · Notice · Sep 16, 1997

The Commission is now soliciting comments on the draft plan. DATES: Comments must be received on or before October 16, 1997. ADDRESS: Comments on the strategic plan may be sent to Jean A. … Most pools were single-advisor pools, with the CPO acting as CTA for the pool.

Risk Disclosure by Futures Commission Merchants, Introducing Brokers, Commodity Pool Operators and Commodity Trading Advisors to Customers; Bankruptcy Disclosure

Federal Register · Uncategorized Document · Jan 11, 1994

The addendum would be updated periodically as new jurisdictions adopted the text. … The firm with which you deal may be acting as your counterparty to the transaction.

Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants-Cross-Border Application of the Margin Requirements

Federal Register · Rule · May 31, 2016

Comments b. Final Rule C. Comparability Determinations 1. Proposed Rule 2. Comments 3. Final Rule III. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act 1. … and cause significant disruptions in financial markets. 185 182   See ABA/ABASA at 5 n.14; IIB/SIFMA at 13 n.44; ISDA at 10 (requesting an exemption for jurisdictions where getting a “clean

Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants

Federal Register · Rule · Sep 14, 2020

Other Comments IX. Compliance Dates and Transition Issues A. Summary of Comments B. Commission Determination X. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act C. … period.”).

Profile Documents for Commodity Pools

Federal Register · Proposed Rule · Jul 27, 2000

DATES: Comments must be received by August 28, 2000. ADDRESSES: Interested persons should submit their views and comments to Jean A. … of 1933 (“Securities Act”).

Revisions to Business Conduct and Swap Documentation Requirements for Swap Dealers and Major Swap Participants; Correction

Federal Register · Rule · Jan 28, 2026

Because the correcting amendment does not make any changes or otherwise impose any new substantive regulatory requirements, pre-publication public comment period is unnecessary. 1 1  5 U.S.C … Section 553 of the Administrative Procedure Act (“APA”) generally requires an agency to publish notice of a rulemaking in the Federal Register and provide an opportunity for public comment.

Commission Records and Information; Open Commission Meetings

Federal Register · Rule · Jan 4, 1999

In response to its notice, the Commission received only one comment, which was submitted by the New York Mercantile Exchange (``NYMEX''). … provide a submitter with sufficient time to prepare and file a detailed written justification and urges the Commission to revise its proposal to permit a submitter to request an extension of the response period

Annual Adjustment of Civil Monetary Penalties to Reflect Inflation-2018

Federal Register · Rule · Mar 6, 2018

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

Foreign Futures and Options Transactions

Federal Register · Proposed Rule · Sep 6, 2000

DATES: Comments must be received by September 21, 2000. ADDRESSES: Interested persons should submit their views and comments to Jean A. … in the capacity of an FCM from registration under the Commodity Exchange Act (“Act”) and compliance with certain Commission rules based upon the firm's compliance with comparable regulatory requirements

Privacy Act of 1974 System of Records Notice

Federal Register · Notice · Jul 13, 2012

Follow the instructions for submitting comments through the Web site. • Federal eRulemaking Portal: Comments may be submitted at http://www.regulations.gov. … Please submit your comments using only one method. All comments must be submitted in English, or if not, accompanied by an English translation.

Orderly Liquidation Termination Provision in Swap Trading Relationship Documentation for Swap Dealers and Major Swap Participants

Federal Register · Proposed Rule · Feb 8, 2011

Comment Requested The Commission requests comment on all aspects of proposed § 23.504(b)(5). … Public Comment. The Commission invites public comment on its cost-benefit considerations.

Changing Position Title of Judgment Officer to Administrative Judge

Federal Register · Rule · Nov 18, 2021

day of the act, event, or default from which the designated period of time begins to run is not to be included. … The last day of the period so computed is to be included unless it is a Saturday, a Sunday, or a legal holiday, in which event the period runs until the end of the next day which is not a Saturday,

Revisions to Business Conduct and Swap Documentation Requirements for Swap Dealers and Major Swap Participants

Federal Register · Rule · Dec 30, 2025

The comment period for the Proposal closed on November 14, 2025. 59 The Commission received a total of four comment letters, all of which were relevant to the Proposal. 60 All of these letters … (2) A swap dealer may not rely on paragraph (e)(1) of this section more than twice in any 12-month period.

Protection of Clearing Member Funds Held by Derivatives Clearing Organizations

Federal Register · Proposed Rule · Jan 3, 2024

Request for Comment The Commission is requesting comments on all aspects of its proposal. … I look forward to hearing the public's comments on the proposed rule. The 60-day comment period will begin upon the Commission's publication of the proposed rule on its website.

Temporary Licenses for Associated Persons, Floor Brokers, Floor Traders and Guaranteed Introducing Brokers

Federal Register · Proposed Rule · Sep 24, 1998

DATES: Comments must be submitted on or before October 26, 1998. ADDRESSES: Comments on the proposed rules should be sent to Jean A. … Background Section 8a(1) of the Commodity Exchange Act (Act) was amended in 1983 to authorize the Commission to grant a TL to an applicant for registration for a period not to exceed six months, subject

Customer Clearing Documentation and Timing of Acceptance for Clearing

Federal Register · Proposed Rule · Aug 1, 2011

Act (CEA or Act)  3 to establish a comprehensive new regulatory framework for swaps. … This hour burden arises from the time necessary to develop and periodically update the trade processing procedures required by the proposed regulations. Number of registrants: 14.

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

Federal Register · Rule · May 11, 2020

In addition, an anonymous commenter submitted a comment addressing issues unrelated to margin. … The Commission requested comments with respect to the RFA and received no comments. 16  5 U.S.C. 601 et seq.

Cross-Border Application of the Registration Thresholds and External Business Conduct Standards Applicable to Swap Dealers and Major Swap Participants

Federal Register · Proposed Rule · Oct 18, 2016

SDs during the period between March 5, 2015 and March 4, 2016 (the “Reference Period”). … Because this inter-affiliate trade data only includes open trades as of the end of the Reference Period ( i.e., trades that were closed out during the Reference Period are not accounted for in the data

Final Response to District Court Remand Order in Securities Industry and Financial Markets Association, et al. v. United States Commodity Futures Trading Commission

Federal Register · Rule · Aug 16, 2016

Staff no-action relief has typically been for limited periods of time, with extensions granted as appropriate. 128  78 FR at 45369. … Because these sources postdate the comment period on the Commission's Initial Response, the Commission is not relying on their findings.