Documents

Core Principles and Other Requirements for Designated Contract Markets

Federal Register · Proposed Rule · Dec 22, 2010

, for a 90-day review period, thereby triggering a public comment period. … The Commission invites comments on this proposal and, in particular, if and why any other time period should be allowed.

Interpretation Regarding Use of Electronic Media by Commodity Pool Operators and Commodity Trading Advisors for Delivery of Disclosure Documents and Other Materials

Federal Register · Rule · Jul 22, 1997

The original effective date of the Initial Release, which was published in the Federal Register on August 14, 1996, was October 15, 1996, with a sixty day period for the submission of public comments. … Paperwork Reduction Act The Paperwork Reduction Act of 1995, Pub.

Order Finding That the ICE PG&E Citygate Financial Basis Contract Traded on the IntercontinentalExchange, Inc., Performs 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 … 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 PGE contract

Order Finding That the ICE Dominion-South Financial Basis Contract Traded on the IntercontinentalExchange, Inc., Does Not Perform 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 … For subsequent SPDCs, ECMs have a grace period of 30 calendar days to demonstrate core principle compliance. II.

Order Finding That the Fuel Oil-180 Singapore Swap Contract Traded on the IntercontinentalExchange, Inc., Does Not Perform a Significant Price Discovery Function

Federal Register · Notice · Jul 2, 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 … For subsequent SPDCs, ECMs have a grace period of 30 calendar days to demonstrate core principle compliance. II.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Jun 26, 2019

SUMMARY: In compliance with the Paperwork Reduction Act of 1995 (PRA), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office of Management … and Budget (OMB) for review and comment.

Compliance Requirements for Commodity Pool Operators on Form CPO-PQR

Federal Register · Rule · Nov 10, 2020

(defining “Reporting Period”). … The comment period for the Proposal expired on June 15, 2020, and the Commission received ten relevant  46 comment letters: Two from individuals; one from a registered futures association; and seven

Swap Execution Facilities

Federal Register · Rule · Feb 11, 2021

Statutory and Regulatory History Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”)  1 amended the Commodity Exchange Act (“CEA” or “Act”)  2 to … as appropriate for a wind-down period.

Enhanced Risk Management Standards for Systemically Important Derivatives Clearing Organizations

Federal Register · Rule · Aug 15, 2013

Several commenters advocated that any new Commission regulations correspond with applicable international standards. 89 87  The comment period for the proposed rule on Financial Resources Requirements … The comment period for the proposed rule on Risk Management Requirements for Derivatives Clearing Organizations, which proposed a two hour recovery time and special enforcement authority, closed on April

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0021, Regulations Governing Bankruptcies of Commodity Brokers

Federal Register · Notice · Jun 17, 2024

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

Revised Adjusted Net Capital Requirements for Futures Commission Merchants and Introducing Brokers

Federal Register · Rule · Dec 31, 2009

The comment period closed 60 days after publication in the Federal Register of the Proposing Release, during which nine comment letters were received. … FIA suggested a period of 120 days after publication before the effective date, while NFA stated only that the period should be longer than 60 days.

Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants

Federal Register · Rule · Aug 27, 2018

Statutory and Regulatory Background As amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), 1 sections 4d(d) and 4s(k) of the Commodity Exchange Act (“CEA … period for its outstanding Dodd-Frank Act Title VII rulemakings, including rule 15Fk-1. 14 SEC staff continued to consult with CFTC staff leading up to the adoption of rule 15Fk-1 in May 2016. 15

Privacy Act of 1974; System of Records

Federal Register · Notice · Sep 11, 2008

In accordance with the Privacy Act, see 5 U.S.C. 552a(e)(4) and (11), the CFTC is publishing notice of this routine use and giving the public a 30-day period to comment before adopting it as final. … Similarly, after taking into account comments, if any, received by the CFTC, the CFTC intends to publish its proposed routine use as final after the period for OMB and Congressional review is complete,

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.

Execution of Transactions: Regulation 1.38 and Guidance on Core Principle 9

Federal Register · Proposed Rule · Sep 18, 2008

Act. … (b) Periodic review.

Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations

Federal Register · Rule · Nov 23, 2007

The comment period for the proposed amendments ended on April 25, 2007. … Accordingly, the two-year compliance period is also stayed. Related Matters A.

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.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Nov 28, 2017

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

Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations

Federal Register · Proposed Rule · Feb 11, 2011

Follow the instructions for submitting comments. Please submit your comments using only one method. … The Commission invites comment on whether 30 days is an adequate period of time in which to affirm.

Applications of the Commodity Exchange. Inc. Division of the New York Mercantile Exchange for Designation as a Contract Market in FTSE Eurotop 300 Stock Index Futures and Options

Federal Register · Notice · Aug 12, 1999

SUPPLEMENTARY INFORMATION: The Exchange requested an abbreviated public comment period of 15 days citing the similarities between the proposed contract and the Exchange's existing FTSE Eurotop 100 futures … period requested by the Exchange is appropriate.