Documents

Swap Execution Facilities and Trade Execution Requirement

Federal Register · Proposed Rule · Feb 12, 2019

ACTION: Extension of comment period. … DATES: The comment period for the SEF NPRM is extended until March 15, 2019.

Acceptance of Public Submissions on the Wall Street Reform and Consumer Protection Act and the Rulemakings That Will Be Proposed by the Commission

Federal Register · Notice · Aug 26, 2010

Thereafter, the Commission will accept official comments on the proposed rulemaking until the close of the rulemaking's official comment period. … Prior to the publication of proposed rulemakings and commencement of official comment periods on regulations proposed under the Dodd-Frank Act, persons interested in making their views known on a particular

Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers

Federal Register · Rule · Mar 12, 2024

of 2010 (“Dodd-Frank Act”). … In determining compliance periods, the SEC considers the benefits of the rules as well as the costs of delayed compliance periods and potential overlapping compliance periods. 644  MFA/NAPFM Comment

Prohibition on the Employment, or Attempted Employment, of Manipulative and Deceptive Devices and Prohibition on Price Manipulation

Federal Register · Rule · Jul 14, 2011

The Air Transport Association (“ATA”) believes that the scienter standard should enable the Commission to police and punish a broader array of potentially manipulative conduct than is reachable under the … Attachment A Parties filing comments: Air Transport Association (ATA) American Bar Association, Derivatives and Futures Law Committee, Business Law Section (ABA Derivatives Committee) American

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

Federal Register · Proposed Rule · Jul 12, 2012

ACTION: Extension of comment period. … Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. 3   See 17 CFR 145.9.

Termination of Associated Persons and Principals of Futures Commission Merchants, Introducing Brokers, Commodity Trading Advisors, Commodity Pool Operators and Leverage Transaction Merchants

Federal Register · Rule · Nov 8, 2007

Comments Regarding the Proposal The Commission received three comments addressing its Proposal. … The first comment was from a committee (“Committee”) of a Bar Association, the second comment was from an association of broker/dealer and investor advisor firms and the third comment was from an industry

Retail Commodity Transactions Under Commodity Exchange Act

Federal Register · Rule · Aug 23, 2013

When the 28-Day Period Begins In response to the comment from RJL, the Commission is clarifying when it will consider the 28-day period in new CEA section 2(c)(2)(D)(ii)(III)(aa) to begin. … for a period of one or more years.

De Minimis Exception to the Swap Dealer Definition

Federal Register · Rule · Nov 13, 2018

Among other things, the Dodd-Frank Act amended the Commodity Exchange Act (“CEA”)  2 to provide for the registration and regulation of swap dealers (“SDs”). 3 The Dodd-Frank Act directed the … See Remarks of then-Acting Chairman J.

Provisions Common to Registered Entities

Federal Register · Proposed Rule · Sep 6, 2023

(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.

Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date

Federal Register · Rule · Sep 19, 2025

of only 60 days, it also directed agencies to consider further delaying, or publishing for notice and comment, proposals to further delay such rules beyond the 60-day period where necessary to continue … comment.

Technical and Clarifying Amendments to Rules for Exempt Markets, Derivatives Transaction Execution Facilities and Designated Contract Markets, and Procedural Changes for Derivatives Clearing Organization Registration Applications

Federal Register · Proposed Rule · Sep 14, 2005

ACTION: Reopening of comment period. … The original comment period closed on September 9, 2005.

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.

Trade Options on the Enumerated Agricultural Commodities

Federal Register · Proposed Rule · Nov 4, 1997

Comments Received In response to its request for public comment, the Commission received a total of 76 comment letters from 82 commenters. … In compliance with the Act, the Commission, through this rule proposal, solicits comments to: 1.

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.

Core Principles and Other Requirements for Designated Contact Markets

Federal Register · Proposed Rule · Mar 18, 2011

ACTION: Notice of proposed rulemaking; extension of comment period. … (the “Dodd-Frank Act”).

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

Federal Register · Rule · Jul 17, 2026

Comments 3. Discussion III. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Considerations 1. … The comment period for the Proposal closed on October 10, 2023.

Application Procedures for Registration as a Derivatives Transaction Execution Facility or Designation as a Contract Market

Federal Register · Rule · Nov 22, 2004

of at least 15 days for public review and comment. 17 The proposed 90-day review period should provide sufficient time to review applications and to respond to any public comments. … While longer than the current fast-track review periods, the 90-day review period would be substantially shorter than the 180-day review period established under the Act. 18 15  69 FR 53367

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

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 Henry Financial Swing Contract; Henry Financial Basis Contract; and Henry Financial Index Contract, Offered for Trading on the IntercontinentalExchange, Inc., Perform Significant Price Discovery Functions

Federal Register · Notice · Oct 20, 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.

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

Federal Register · Rule · Jul 10, 2020

Here, providing a public comment period before issuing the extension would be both impracticable and contrary to the public interest. … If we opened even the shortest permissible comment period and incorporated those comments into a final rule, any relief issued likely would already be moot.