Documents

Limitations on Withdrawals of Equity Capital

Federal Register · Proposed Rule · Sep 29, 2006

DATES: Comments must be received on or before November 28, 2006. … Commenters also are invited to submit any data that they may have quantifying the costs and benefits of the proposal with their comment letters.

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

Federal Register · Proposed Rule · Nov 3, 2010

The Dodd-Frank Act On July 21, 2010, President Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). 16 Title IX of the Dodd-Frank Act  17 was promulgated … . 44 The SEC also has opened comment periods on other proposed amendments, including one that would remove references to NRSROs from its net capital rule. 45 43   See 74 FR 52358 (Oct

Order Establishing a New De Minimis Threshold Phase-In Termination Date

Federal Register · Rule · Oct 31, 2017

Background The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”)  1 directed the CFTC and the U.S. … Staff issued for public comment the Swap Dealer De Minimis Exception Preliminary Report on November 18, 2015 (“Preliminary Report”). 9 After consideration of the public comments received, and

Rules Prohibiting the Aggregation of Orders To Satisfy Minimum Block Sizes or Cap Size Requirements, and Establishing Eligibility Requirements for Parties to Block Trades

Federal Register · Proposed Rule · Jun 27, 2012

The Commission issued the Initial Proposal for public comment for a period of 60 days, but later reopened the comment period for an additional 45 days. 12 12  The initial comment period for … 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. 1.

Identity Theft Red Flags Rules

Federal Register · Proposed Rule · Mar 6, 2012

Follow the instructions for submitting comments. Paper Comments • Send paper comments in triplicate to Elizabeth M. … • The Commissions request comment regarding the proposed requirement to periodically determine whether a financial institution or creditor offers or maintains covered accounts.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Aug 2, 2016

and Budget (OMB) for review and comment. … Please identify the comments by OMB Control No. 3038-0067. Please provide the Commission with a copy of all submitted comments at the address listed below.

Notice Registration as a Futures Commission Merchant or Introducing Broker for Certain Securities Brokers or Dealers

Federal Register · Proposed Rule · Jun 22, 2001

ACTION: Reopening and extension of comment period. … The comment period on the CFTC Proposal expires June 18, 2001.

Core Principles and Other Requirements for Swap Execution Facilities

Federal Register · Rule · Jun 4, 2013

Subsequently, the Commission reopened the comment period until June 3, 2011, as part of its global extension of comment periods for various rulemakings implementing the Dodd-Frank Act. 28 After the … The Commission also opened an additional comment period, which ended on June 10, 2011, to provide the public an opportunity to comment on the Commission's phased implementation of the Act, as amended,

A New Regulatory Framework for Clearing Organizations

Federal Register · Rule · Dec 13, 2000

Other comments concerned the definition of clearing organization, the jurisdiction of the Commission, the applicable provisions of the Commodity Exchange Act (Act) and regulations, and the guidance in … ; and (5) The applicant has not instructed the Commission in writing during the review period to review the application pursuant to procedures under section 6 of the Act

Designation of a Chief Compliance Officer; Required Compliance Policies; and Annual Report of a Futures Commission Merchant, Swap Dealer, or Major Swap Participant

Federal Register · Proposed Rule · Nov 19, 2010

Follow the instructions for submitting comments. Please submit your comments using only one method. All comments must be submitted in English, or if not, accompanied by an English translation. … Transition Period Futures commission merchants are currently required to be registered under regulation 3.10.

Guidelines for Ensuring and Maximizing the Quality, Objectivity, Utility, and Integrity of Information Disseminated by the Commodity Futures Trading Commission

Federal Register · Notice · Jun 17, 2002

ACTION: Notice of extension of comment period. … DATES: Comment period extended to July 19, 2002.

Swap Data Recordkeeping and Reporting Requirements

Federal Register · Rule · Nov 25, 2020

The Commission received three comments supporting the proposed one-year compliance period. … The Commission received five comments opposing the proposed implementation period.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · May 31, 2017

and Budget (OMB) for review and comment. … Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act.

Business Conduct and Documentation Requirements for Swap Dealers and Major Swap Participants; Extension of Compliance Date

Federal Register · Rule · Jan 2, 2013

Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act, 75 FR 25274 (May 4, 2011). 15   See supra note 9. 16   See, e.g., § 23.402 … period for both proposals.

System Safeguards Testing Requirements

Federal Register · Rule · Sep 19, 2016

Overview of Comments Received The comment period for the NPRM closed on February 23, 2016. The Commission received nine comment letters addressing the NPRM. … it would incur over a two year period is over $7.2 million. 139 A number of other commenters did not provide specific cost estimates, but provided comments concerning the costs generally.

A New Regulatory Framework for Clearing Organizations

Federal Register · Proposed Rule · May 14, 2001

period, but in any event, by the end of the comment period. … The Commission believes at this time that any extension of the comment period would be contrary to the public interest.

Notice of Intent To Undertake a Determination Whether Various SP-15 Financial Day-Ahead Contracts Offered for Trading on the IntercontinentalExchange, Inc. Perform a Significant Price Discovery Function

Federal Register · Notice · Nov 12, 2009

ACTION: Reopening comment period. … rule 36.3(c), whether the above-referenced contracts perform a significant price discovery function. 1 The Commission established a 15-day period for submitting public comment; the comment period

Order (1) Pursuant to Section 4(c) of the Commodity Exchange Act, Permitting the Chicago Mercantile Exchange to Clear Certain Over-the-Counter Agricultural Swaps and (2) Pursuant to Section 4d of the Commodity Exchange Act, Permitting Customer Positions in Such Cleared-Only Contracts and Associated Funds To Be Commingled With Other Positions and Funds Held in Customer Segregated Accounts

Federal Register · Notice · Mar 24, 2009

19   See 73 FR 38403 (July 7, 2008) (45-day comment period closing August 21, 2008). 20   See 73 FR 80367 (Dec. 31, 2008) (reopening the comment period for 21 days). … The Commission received seven comment letters, one of which was submitted during the reopened comment period.

Limitations on Withdrawals of Equity Capital

Federal Register · Rule · Jan 10, 2007

The Act is codified at 7 U.S.C. 1 et seq. … Cost-Benefit Analysis Section 15(a) of the Act requires the Commission to consider the costs and benefits of its action before issuing a new regulation under the Act.

Swap Data Repositories: Registration Standards, Duties and Core Principles

Federal Register · Rule · Sep 1, 2011

The comment periods for most proposed rulemakings implementing the Dodd-Frank Act were reopened for 30 days from April 27 through June 2, 2011. … See Commission, 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).