Documents

Position Limits and Position Accountability for Security Futures Products

Federal Register · Rule · Sep 27, 2019

Background On December 21, 2000, the Commodity Futures Modernization Act (“CFMA”) became law and amended the Commodity Exchange Act (“CEA”) and the Securities Exchange Act of 1934 (“Exchange Act”). … The comment period for the Proposal closed on October 1, 2018.

Risk Management Requirements for Derivatives Clearing Organizations

Federal Register · Proposed Rule · Mar 24, 2011

ACTION: Reopening of comment period. … In order to provide an adequate opportunity for comment on this reporting requirement, the Commission has determined to extend the comment period for proposed § 39.19(c)(1)(iv), as corrected elsewhere

Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy

Federal Register · Proposed Rule · Dec 3, 2010

-16, the Statutory Time-Periods Technical Amendments Act of 2009. … Statutory Time-Periods Technical Amendments Act of 2009 The purpose of this portion of the rulemaking is to implement Public Law 111-16, the Statutory Time-Periods Technical Amendments Act of 2009, which

A New Regulatory Framework for Clearing Organizations

Federal Register · Rule · Aug 29, 2001

Background On May 14, 2001, the Commission published for comment proposed part 39 of its regulations to implement Section 5b of the Commodity Exchange Act (“Act”), as added by the Commodity Futures … notify the applicant seeking registration that the Commission is terminating review under this section and will review the proposal under the time period and procedures of section 6 of the Act.

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 Chicago 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.

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 San Juan 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.

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 Dominion-South 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.

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 Permian 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.

Orders Finding That the Henry Financial Basis Contract, Henry Financial Index Contract and Henry Financial Swing Contract Traded on the IntercontinentalExchange, Inc., Do Not Perform a Significant Price Discovery Function

Federal Register · Notice · May 4, 2010

Upon the close of the comment period, the Commission will consider, among other things, all relevant information regarding the subject contract and issue an order announcing and explaining its determination … Regulatory Flexibility Act The Regulatory Flexibility Act (“RFA”)  45 requires that agencies consider the impact of their rules on small businesses.

Order Finding That the ICE Chicago Financial Basis Contract Traded on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Federal Register · Notice · May 5, 2010

Upon the close of the comment period, the Commission will consider, among other things, all relevant information regarding the subject contract and issue an order announcing and explaining its determination … Federal Register Comments As noted above, comments were received from seven individuals and organizations, with five comments being directly applicable to the SPDC determination of the ICE DGD contract

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.

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

Federal Register · Notice · Apr 10, 1998

of the Commodity Exchange Act. … Any request for a further extension of the public comment period will be looked upon with disfavor.

Order of the Commodity Futures Trading Commission Relating to the Continuation, Shutdown, and Resumption of Certain Commission Operations in the Event of a Lapse in Appropriations

Federal Register · Notice · Oct 1, 2013

Extension of Open Comment Periods on Proposed Regulation and Other Matters That May Be Subject to a Request for Comment by the Commission. … Extension of Open Comment Periods on Proposed Regulation and Other Matters That May Be Subject to a Request for Comment by the Commission.

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.

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0049: Procedural Requirements for Requests for Interpretative, No-Action, and Exemptive Letters

Federal Register · Notice · Mar 29, 2017

Follow the instructions for submitting comments through the Portal. Please submit your comments using only one method. … under the Administrative Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. 3  17 CFR 145.9.

Contract Market Rule Review Procedures

Federal Register · Proposed Rule · Jul 15, 1999

DATES: Comments must be received August 16, 1999. … In compliance with the Act, the Commission, through this rule proposal, solicits comments to: (1) Evaluate whether the proposed collection of information is necessary for the proper performance of

Application of FutureCom, LTD. as a Contract Market in Live Cattle Futures and Options

Federal Register · Notice · Jan 13, 1998

The proposal was republished for comment under delegated authority on November 24, 1997 (62 FR 62566) for a 30-day comment period ending December 24, 1997. … of the Commodity Exchange Act.

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

Chicago Mercantile Exchange Proposed Futures and Option Contracts on the Mini Standard & Poor's 500 Stock Price Index

Federal Register · Notice · Jun 12, 1997

SUPPLEMENTARY INFORMATION: The CME has requested an abbreviated 15-day public comment period. … period is appropriate for these applications.

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.