Documents

Corrections to Regional Office Information, References to Section 4d(2) and Criteria for CPO Registration Exemption

Federal Register · Rule · Jul 9, 2004

Administrative Procedure Act The Administrative Procedure Act (“APA”) generally requires notice of proposed agency rulemaking and procedures for public comment prior to the adoption of final rules. … Removing from paragraph (e) all of the text following the colon until the end of the paragraph, and by removing the colon and adding a period instead.

Contract Market Rules Altered or Supplemented by the Commission

Federal Register · Rule · Aug 6, 2009

The CBOT had argued that the Act did not compel its members to participate in customer-initiated arbitration proceedings and, during the period of 1980-81, CBOT members had denied five customers the right … Regulatory Flexibility Act The Commission is required to prepare and make available for public comment a regulatory flexibility analysis describing the impact of a rule on small entities when the Commission

Exemption for Bilateral Transactions

Federal Register · Rule · Dec 13, 2000

During this period, OTC financial derivatives have developed into global markets having outstanding contracts with a total notional value of over $90 trillion. 3 OTC derivatives have transformed finance … Comments Received The Commission received 31 comment letters on the proposed rulemaking. 4 The commenters included nine trade associations, 5 three future exchanges, 6 two brokerage

Exemption for Bilateral Transactions

Federal Register · Proposed Rule · Jun 22, 2000

DATES: Comments must be received by August 7, 2000. … During this period, OTC financial derivatives have developed into global markets having outstanding contracts with a total notional value of over $80 trillion.

Adjustment of Civil Monetary Penalties for Inflation

Federal Register · Rule · Oct 3, 2008

violation”; and (2) In the second sentence, by inserting before the period at the end the following: “, except that if the failure or refusal to obey or comply with the order involved any offense under … statutory change regarding agency procedure or practice within the meaning of 5 U.S.C. 553(b)(3)(A) and therefore does not require notice. 12 The Commission also believes that opportunity for public comment

Foreign Futures and Options Transactions

Federal Register · Rule · Oct 11, 2000

The Commission received one favorable comment on the proposed Interpretative Statement. … Administrative Procedures Act The Administrative Procedures Act provides that the required publication of a substantive rule shall be made not less than 30 days before its effective date, but provides

Performance of Certain Functions by National Futures Association with Respect to Commodity Pool Operators and Commodity Trading Advisors

Federal Register · Notice · Oct 6, 1997

the Act \2\ and subject to the provisions of the Act applicable to registrations granted by the Commission. … issued thereunder, and shall provide the Commission with such summaries and periodic reports as the Commission may determine are necessary for effective oversight of this program.

Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps

Federal Register · Proposed Rule · Nov 5, 2020

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. … Act (15 U.S.C. 78c(a)(67)).

Reports by Futures Commission Merchants, Members of Contract Markets and Foreign Brokers

Federal Register · Proposed Rule · Jun 16, 1995

EFFECTIVE DATE: Comments must be received by August 15, 1995. … In consideration of the foregoing, and pursuant to the authority contained in the Act and, in particular, sections 4g, 4i, 5 and 8a of the Act, 7 U.S.C. 6g, 6i, 7 and 12a (1989), the Commission proposes

Comparability Determination for the European Union: Certain Transaction-Level Requirements

Federal Register · Notice · Dec 27, 2013

Background On July 21, 2010, President Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act 8 (“Dodd-Frank Act” or “Dodd-Frank”), which, in Title VII, established a new regulatory … In this regard, the Commission may review, modify, or expand the determinations herein in light of comments received and future developments. A.

Clearing Exemption for Certain Swaps Entered Into by Cooperatives

Federal Register · Rule · Aug 22, 2013

The ABA requested that the Commission extend the comment period for this rule because of the “impending regulatory deadlines, complexity, and economic consequences” of the cooperative exemption. … The Commission declines to extend the comment period because the public was given an opportunity to, and did, participate in the rulemaking process. IV.

Records of Commodity Interest and Related Cash or Forward Transactions

Federal Register · Proposed Rule · Nov 14, 2014

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. … Whenever an agency publishes a general notice of proposed rulemaking for any rule, pursuant to the notice-and-comment provisions of the Administrative Procedure Act  43 a regulatory flexibility analysis

Voting by Interested Members of Self-Regulatory Organization Governing Boards and Committees

Federal Register · Rule · Jan 4, 1999

The comment period for the re-proposed rulemaking expired on March 25, 1998. --------------------------------------------------------------------------- \2\ For the purposes of this release, the term … Agency Information Activities; Proposed Collection; Comment Request When publishing final rules, the Paperwork Reduction Act of 1995 (``PRA'') (Pub.

Comparability Determination for Canada: Certain Entity-Level Requirements

Federal Register · Notice · Dec 27, 2013

Currently, the CSA has issued a Consultation Paper 91-407 on “Derivatives Registration” (comment period closed June 17, 2013). 15  Consolidated Acts of Canada, S.C. 1991, c. 46. 16  Because … Records must be “readily accessible” for the first 2 years of the 5 year retention period (consistent with § 1.31).

Foreign Boards of Trade

Federal Register · Rule · Aug 15, 2024

Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost Benefit Considerations D. Antitrust Considerations I. … In addition, the amendments do not affect the provisions of part 48 covered in the current PRA approval (§ 48.8 (periodic data submissions to the Commission), § 48.9 (demonstration of compliance); and

Electronic Filing of Financial Reports and Notices

Federal Register · Proposed Rule · Oct 13, 2009

a new regulation under the Act. … Commenters also are invited to submit any data that they may have quantifying the costs and benefits of the proposal with their comment letters.

Repeal of the Exempt Commercial Market and Exempt Board of Trade Exemptions

Federal Register · Rule · Oct 2, 2015

of the CEA Sections 2(h)(3) and 5d, respectively, for a limited period of time. 14 Pursuant to these grandfather provisions, the Commission issued an order in September 2010 granting petitioning … opportunity for public comment do not apply to “rules of agency organization, procedure, or practice . . . .”  20 The rulemaking conforms the Commission's regulations to the statutory requirements

Comparability Determination for Japan: Certain Transaction-Level Requirements

Federal Register · Notice · Dec 27, 2013

In this regard, the Commission may review, modify, or expand the determinations herein in light of comments received and future developments. A. … Records must be “readily accessible” for the first two years of the five year retention period (consistent with § 1.31).

Rules of Practice; Proposed Amendments

Federal Register · Proposed Rule · Apr 3, 1998

DATES: Comments must be received on or before June 2, 1998. ADDRESSES: Comments on the proposed amendments should be sent to Jean A. … Therefore, the provisions of the Administrative Procedure Act, 5 U.S.C. 553, generally requiring notice of proposed rulemaking and opportunity for public comment, are not applicable to them.

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

Federal Register · Proposed Rule · Jan 8, 2020

of the Commodity Exchange Act (“CEA or “Act”), as added by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). … I support the Commission's effort to make good on its commitment to periodically review its approach to evaluating the circumstances under which the swaps provisions of Title VII of the Dodd-Frank Act