Documents

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.

Risk Assessment for Holding Company Systems

Federal Register · Uncategorized Document · Jun 16, 1994

of the Futures Trading Practices Act of 1992. 59 FR 9689 (March 1, 1994). … The original comment period, which would have expired on May 2, 1994, was extended by the Commission for a period of sixty days.

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”).

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

Federal Register · Proposed Rule · Aug 14, 2007

DATES: Comments must be received on or before September 13, 2007. ADDRESSES: Comments on the Proposal should be sent to David A. … Commenters also are invited to submit any data that they may have quantifying the costs and benefits of the Proposed Amendments with their comment letters. C.

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.

A New Regulatory Framework for Multilateral Transaction Execution Facilities, Intermediaries and Clearing Organizations

Federal Register · Rule · Dec 13, 2000

; and (C) The submitting entity has not instructed the Commission in writing during the review period to review the proposed rule under the 180 day review period under section 5a(a)(12)(A) of the Act. … Upon such notification, the period for review shall be extended for a period of thirty days, and, unless the entity is notified otherwise during that period, the rule shall be deemed approved at the end

Privacy Act of 1974 System of Records Notice

Federal Register · Notice · Apr 7, 2011

In the event a commenter has withdrawn a comment before the comment period has closed or the Commission has determined that a comment contains obscenities or other material deemed inappropriate for publication … RETENTION AND DISPOSAL: The retention and disposal period depends on the nature of the comment or input provided to the Commission.

Section 4(c) Contract Market Transactions; Swap Agreements

Federal Register · Uncategorized Document · Dec 14, 1994

The applicable comment period expires on December 12, 1994. The Commission has received a number of requests for an extension of the comment period, particularly with regard to amendments to Part 35. … In order to ensure that all interested parties have an opportunity to submit meaningful comments, the Commission has determined to extend the period for public comment concerning only those issues involving

Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations

Federal Register · Proposed Rule · Jul 3, 2018

Select the “Submit Comments” link for this rulemaking and follow the instructions on the Public Comment Form. … To achieve the objective of a self-regulatory structure, the Act and Commission regulations require RFAs and DCMs to adopt financial and related reporting requirements for member FCMs, and to periodically

Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps

Federal Register · Rule · Jun 12, 2012

Regulatory Flexibility Act B. Paperwork Reduction Act 1. Introduction 2. Need for Information Collection 3. Comment on proposed information collection 4. … (c) Retention period.

Rules of Practice; Proposed Amendments

Federal Register · Proposed Rule · Jun 5, 1998

comments on proposed amendments to its Rules of Practice, which govern most adjudicatory proceedings brought under the Commodity Exchange Act, as amended, except for reparations actions. … The original comment period expires on June 2, 1998. 63 FR 16453 (April 3, 1998).

Final Exemptive Order Regarding Compliance With Certain Swap Regulations

Federal Register · Rule · Jan 7, 2013

The public comment periods on the Proposed Order and the Proposed Guidance ended on August 13, 2012 and August 27, 2012, respectively. … on the proposed extension of OMB approval of the prior information collection request, with a 60-day comment period that expires on January 7, 2013.

Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF

Federal Register · Proposed Rule · Feb 11, 2011

Follow the instructions for submitting comments. Paper Comments • Send paper comments in triplicate to Elizabeth M. … The SEC is requesting public comment on proposed rule 204(b)-1 [17 CFR 275.204(b)-1] and proposed Form PF [17 CFR 279.9] under the Investment Advisers Act of 1940 [15 U.S.C. 80b] (“Advisers Act”). 2

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 Socal Border Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Federal Register · Notice · Oct 20, 2009

ACTION: Notice of action and request for comment. … of time after the close of the comment period, issue an order explaining its determination.

A New Regulatory Framework for Trading Facilities, Intermediaries and Clearing Organizations

Federal Register · Rule · Aug 10, 2001

See comment of MGE, CL 15-3. C. … Several commenters questioned the need to retain the voluntariness requirement with respect to section 22 of the Act.

Petition of the Chicago Mercantile Exchange, Inc. for Exemptive Relief, Pursuant to Section 4(c) of the Commodity Exchange Act, From the Requirement That the China Foreign Exchange Trade System and National Interbank Funding Center or its Members Register as Futures Commission Merchants

Federal Register · Notice · Sep 27, 2007

ACTION: Re-opening of comment period. … An interested party has requested that the comment period be extended by two weeks due to the novelty of the issues involved.

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 Zone 6-NY Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Federal Register · Notice · Oct 9, 2009

ACTION: Notice of action and request for comment. … of time after the close of the comment period, issue an order explaining its determination.

Final Order in Response to a Petition From Certain Independent System Operators and Regional Transmission Organizations To Exempt Specified Transactions Authorized by a Tariff or Protocol Approved by the Federal Energy Regulatory Commission or the Public Utility Commission of Texas From Certain Provisions of the Commodity Exchange Act Pursuant to the Authority Provided in the Act

Federal Register · Notice · Apr 2, 2013

within the same 24-hour period.” … Summary of the Comments The public comment period on the Proposed Order ended on September 27, 2012.

Public Reporting by Operators of Certain Large Commodity Pools

Federal Register · Proposed Rule · Apr 17, 2000

DATES: Comments must be received on or before June 16, 2000. ADDRESSES: Comments should be mailed to Jean A. … Paperwork Reduction Act Rule 4.27 contains information collection requirements.