Documents

Business Affiliate Marketing and Disposal of Consumer Information Rules

Federal Register · Proposed Rule · Oct 27, 2010

The Commission solicits comments on whether there should be any meaningful difference between the Commission's proposed definitions and the FACT Act and the GLB Act definitions. 11  Part 160 of … The Commission solicits comments on the consolidation of the affiliate marketing notice under this subpart with the GLB Act privacy notices in Part 160.

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 · Jul 2, 2001

ACTION: Proposed rule; reopening and extension of comment period. … The original comment period ended on June 18, 2001. The new deadline for submitting public comments is July 11, 2001. DATES: Public comments are due on or before July 11, 2001.

Concept Release on Risk Controls and System Safeguards for Automated Trading Environments

Federal Register · Proposed Rule · Jan 24, 2014

ACTION: Reopening of comment period. … Its original comment period closed on December 11, 2013. For the reasons set forth below, the Commission is reopening the comment period for the Concept Release beginning on January 21, 2014.

Contract Market Rule Review Procedures

Federal Register · Rule · Apr 11, 1997

Notice and Comment The Administrative Procedure Act, 5 U.S.C. … Section 553(b) also sets forth an exception to the requirement of notice and opportunity for public comment when the Commission for good cause finds such notice and public comment are unnecessary or contrary

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

Federal Register · Proposed Rule · Sep 23, 2020

Select the “Submit Comments” link for this rulemaking and follow the instructions on the Public Comment Form. … The Commission requests comment on whether there are less anticompetitive means of achieving the relevant purposes of the Act that would otherwise be served by adopting the proposed amendments.

The National Futures Association's Proposed Requirements for Break-Even Analyses in Commodity Pool Disclosure Documents

Federal Register · Uncategorized Document · Jul 21, 1994

The original comment period expires on July 15, 1994. … Acting pursuant to the authority delegated by Commission Regulation 140.96(b), the Director of the Division of Trading and Markets (``Division'') has determined that an extension of the period for the

Effective Date for Swap Regulation

Federal Register · Rule · Jul 19, 2011

to comment on the proposed new regulatory framework for swaps, either in part or as a whole. 4 The extended comment period closed on June 3, 2011. … Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act, 76 FR 25274, May 4, 2011. 5  The Commission has noted

Customer Margin Rules Relating to Security Futures; Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products

Federal Register · Proposed Rule · Nov 2, 2001

ACTION: Joint proposed rules; extension of comment periods. … The original comment periods for these proposals are scheduled to end on November 5, 2001. The new deadline for submitting public comments on both of the above releases is December 5, 2001.

Provisions Common to Registered Entities

Federal Register · Rule · Nov 7, 2024

(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.

Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions

Federal Register · Rule · Dec 19, 2011

(May 4, 2011) (reopening the comment period for certain NPRMs until June 3, 2011). … Federated also sent a letter dated November 8, 2010 and a post-comment period letter dated February 28, 2011.

Notice of Proposed Order and Request for Comment on an Application for an Exemptive Order From Southwest Power Pool, Inc. From Certain Provisions of the Commodity Exchange Act Pursuant to the Authority Provided in Section 4(c)(6) of the Act

Federal Register · Notice · May 21, 2015

Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Considerations VIII. Request for Comment I. … within the same 24-hour period.

Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades

Federal Register · Rule · May 31, 2013

The comment periods for most proposed rulemakings implementing the Dodd-Frank Act—including the proposed part 43 rules—subsequently were reopened for the period of April 27 through June 2, 2011. … See Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall

Additional Registration and Other Regulatory Relief for Commodity Pool Operators and Commodity Trading Advisors; Past Performance Issues

Federal Register · Rule · Aug 8, 2003

Act. … End of 1st acct. period 11,000 $4,000 addition. Start of 2nd acct. period 15,000 −20% ($3,000 loss). End of 2nd acct. period 12,000 $2,000 withdrawal.

Regulation Automated Trading

Federal Register · Proposed Rule · Jan 26, 2017

ACTION: Extension of comment period. … DATES: The comment period for the Supplemental NPRM is extended until May 1, 2017.

Commodity Pool Operator Annual Report

Federal Register · Proposed Rule · Sep 6, 2016

ACTION: Notice of proposed rulemaking; extension of comment period. … period for the Proposal, such that, as extended, the comment period would expire on September 20, 2016.

Requirements for Designated Contract Markets and Swap Execution Facilities Regarding Governance and the Mitigation of Conflicts of Interest Impacting Market Regulation Functions

Federal Register · Proposed Rule · Apr 25, 2024

ACTION: Proposed rule; extension of comment period. … The comment period for the Proposed Rule was set to close on April 22, 2024. The Commission is extending the comment period for this NPRM by an additional twenty-one days.

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 Mid-C Financial Peak Contract; Mid-C Financial Peak Daily Contract; Mid-C Financial Off-Peak Contract; and Mid-C Financial 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.

Application of Cantor Financial Futures Exchange as a Contract Market in U.S. Treasury Bond, Ten-Year Note, Five-Year Note and Two- Year Note Futures Contracts

Federal Register · Notice · Jul 1, 1998

That comment period was later extended until April 27, 1998 (63 FR 17823 (April 10, 1998)). … the purposes of the Commodity Exchange Act.

Requests Pursuant to Section 4(c) of the Commodity Exchange Act To Extend the Exemption Granted Under Part 35 of the Commission's Regulations to Certain Over-The-Counter Swaps and To Determine as Eligible Swap Participants Certain Floor Brokers and Traders

Federal Register · Notice · Jan 7, 2008

ACTION: Extension of Comment Period. … A potential commenter has asked for an extension of the comment period in light of fact that much of the initial comment period fell during the end-of-year holiday period.

Derivatives Clearing Organization Risk Management Regulations To Account for the Treatment of Separate Accounts by Futures Commission Merchants

Federal Register · Proposed Rule · Jun 15, 2023

ACTION: Extension of comment period. … The comment period for the NPRM closes on June 13, 2023. The Commission is extending the comment period for this NPRM by an additional 17 days.