Documents

Cash Settlement and Regulatory Halt Requirements for Security Futures Products

Federal Register · Proposed Rule · Aug 30, 2001

Request for Comments Relating to Trading Halts III. Request for Comments IV. Paperwork Reduction Act V. Costs and Benefits of the Proposed Rulemaking A. … volatility that may develop during periods of extreme downward volatility).

Denomination of Customer Funds and Location of Depositories

Federal Register · Rule · Feb 4, 2003

Only NFA provided comments as to the expansion of Rule 30.7. … Act.

Comparability Determination for Switzerland: Certain Entity-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 2 years of the 5 year retention period (consistent with § 1.31).

Comparability Determination for the European Union: Certain Entity-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. Chief Compliance Officer (§ 3.3). … Records must be “readily accessible” for the first two years of the five year retention period (consistent with § 1.31).

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

Federal Register · Rule · Apr 1, 2019

Accordingly, I encourage the CFTC staff to periodically assess the implementation of this determination to confirm our expectations are accurate. … I thank the CFTC staff for their thorough work on this determination and appreciate their responsiveness to our comments and suggestions.

Comparability Determination for Hong Kong: Certain Entity-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. … The retention period for voice recordings is to be decided.

Foreign Futures and Options Transactions

Federal Register · Rule · Oct 10, 2003

to submit any comments. … No comments were received. 1. Risk Disclosure. Subsequent to the Commission issuing the U.K.

Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps

Federal Register · Proposed Rule · Aug 31, 2015

Commodity Exchange Act (“CEA” or “Act”) provisions relating to swap data recordkeeping and reporting were added by the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). … Request for Comments IV. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Considerations D. Antitrust Considerations I. Background A.

Adjustment of Civil Monetary Penalties for Inflation

Federal Register · Rule · Jun 27, 2016

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 … Notice Requirement The notice and comment procedures of 5 U.S.C. 553 do not apply to this rulemaking because the Commission is acting herein pursuant to statutory language which mandates that the Commission

Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps

Federal Register · Rule · Jun 27, 2016

Commodity Exchange Act (“CEA” or “Act”) provisions relating to swap data recordkeeping and reporting were added by the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). … Paperwork Reduction Act The purposes of the Paperwork Reduction Act of 1995, 44 U.S.C. 3501 et seq.

Order Granting Conditional Substituted Compliance in Connection With Certain Capital and Financial Reporting Requirements Applicable to a Nonbank Swap Dealer Domiciled in the French Republic and Subject to the European Union's Investment Firms Regulation and Investment Firms Directive

Federal Register · Rule · May 14, 2026

and related comparability orders, including the 2024 EU Comparability Order, was issued after discussions with market participants and foreign regulators, and after reviewing and incorporating relevant comments … A list of implementing and delegated acts for IFR is available at the European Commission's website: https://finance.ec.europa.eu/regulation-and-supervision/financial-services-legislation/implementing-and-delegated-acts