Documents

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 Socal Border 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 … Regulatory Flexibility Act The Regulatory Flexibility Act (“RFA”)  37 requires that agencies consider the impact of their rules on small businesses.

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.

Commodity Pool Operator Electronic Filing of Annual Reports

Federal Register · Proposed Rule · Dec 15, 2005

Act. … (b) * * * (2) Periodic reporting relief .

Agency Information Collection Activities: Notice of Intent To Revise Collection 3038-0052; Core Principles and Other Requirements for Designated Contract Markets

Federal Register · Notice · Apr 3, 2019

Please submit your comments using only one method. All comments must be submitted in English, or if not, accompanied by an English translation. … Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act.

Privacy of Consumer Financial Information-Amendment To Conform Regulations to the Fixing America's Surface Transportation Act

Federal Register · Rule · Apr 25, 2019

The comment period for the Proposal ended on February 8, 2019. 20  Proposal, 83 FR at 63453. III. … The Commission is providing the 100 day period because it believes the Final Rule to be consistent with the revisions of the GLB Act in the FAST Act and current regulations while allowing Covered Persons

Order Finding That the ICE Henry Financial LD1 Fixed Price Contract Traded on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Federal Register · Notice · Jul 30, 2009

The Commission will, within a reasonable period of time after the close of the comment period, consider all relevant information and issue an order announcing and explaining its determination. … For subsequent SPDCs, ECMs have a grace period of 30 calendar days to demonstrate core principle compliance. II.

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.

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

Federal Register · Proposed Rule · Oct 24, 2019

Select the “Submit Comments” link for this rulemaking and follow the instructions on the Public Comment Form. … Request for comment. The Commission requests comment regarding the proposed amendments to Commission § 23.161.

Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants

Federal Register · Proposed Rule · Dec 9, 2010

Comments also are requested regarding whether the retention period for pre-execution communications should be shorter than the retention period applicable to other business records. … first two years of that period.

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 LD1 Fixed Price Contract Traded on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Federal Register · Notice · Jun 12, 2009

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

Order Finding That the HSC1 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 HXS contract

Additional Registration and Other Regulatory Relief for Commodity Pool Operators and Commodity Trading Advisors

Federal Register · Proposed Rule · Mar 17, 2003

Comments on the Prior Rulemaking Activities A. Comments on the Prior Rule 4.5 Proposal B. Comments on the ANPR III. The Proposals A. … (a) Except as provided in paragraph (a)(4) of this section, each commodity pool operator registered or required to be registered under the Act must periodically distribute to each participant in each pool

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 · Jul 11, 2005

However, the fast-track review period is substantially shorter than the 180-day review period specified in section 6(a) of the Act for DCMs and DTEFs. … The Commission specifically invites public comment on its application of the criteria contained in the Act for consideration.

Rules Relating to Intermediaries of Commodity Interest Transactions

Federal Register · Rule · Oct 23, 2001

Overview of Comments The Commission received five comment letters on the proposals. The commenters included Fimat USA Inc. … The Act requires that registrants receive training on a periodic basis.

Commodity Pool Operators, Commodity Trading Advisors, and Commodity Pools Operated: Updating the `Qualified Eligible Person' Definition; Adding Minimum Disclosure Requirements for Pools and Trading Programs; Permitting Monthly Account Statements for Funds of Funds; Technical Amendments

Federal Register · Rule · Sep 26, 2024

Introduction and Background As amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), 1 section 1a(11) of the Commodity Exchange Act (CEA or Act) defines the … One commenter also submitted a supplemental comment letter after the closing of the NPRM's public comment period.

Agency Information Collection Activities: Revised Collection, Comment Request: Amendments To Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps, Final Rule

Federal Register · Notice · Jul 21, 2016

In commenting on the IDWG Request for Comment, one foreign central counterparty now acting pursuant to a DCO Exemptive Order cited a specific cost for connecting to a new SDR as involving at least 150 … Swap Reporting Release) as well as other periodic changes.

Financial Reports of Futures Commission Merchants, Introducing Brokers and Leverage Transaction Merchants

Federal Register · Rule · Mar 7, 1997

period on the Proposals expired on November 25, 1996. … Paperwork Reduction Act The Paperwork Reduction Act of 1995 (PRA), Pub.

Real-Time Public Reporting Requirements and Swap Data Recordkeeping and Reporting Requirements

Federal Register · Proposed Rule · Dec 28, 2023

The RFA applies to rules subject to notice and comment rulemakings issued pursuant to section 553(b) of the Administrative Procedure Act, 5 U.S.C. 553(b), or any other law. … of exercise periods. 115 Option exercise frequency period multiplier The number of time units for the exercise frequency period.