Documents

Agency Information Collection Activities: Notice of Intent To Renew Collection Number 3038-0062, Off-Exchange Foreign Currency Transactions

Federal Register · Notice · Sep 18, 2017

This notice solicits comments on the collections of information provided for by part 5 of the Commission's regulations under the Commodity Exchange Act (“CEA”) relating to off-exchange foreign currency … under the Administrative Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act.

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

Revisions to Freedom of Information Act Regulations

Federal Register · Rule · Jun 20, 2017

Furthermore, an agency may also issue a new rule without a pre-publication public comment period when it for “good cause” finds that prior notice and comment is “impracticable, unnecessary, or contrary … The Commission has determined that there is good cause to find that a pre-publication comment period is unnecessary.

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

Position Reports for Physical Commodity Swaps

Federal Register · Proposed Rule · Nov 2, 2010

Solicitation of Comments Pursuant to the Dodd-Frank Act, the Commission will refine the definition of swap dealer in CEA section 1a. … The Commission invites the public to comment on whether the entities covered by these proposed regulations should be considered small entities for purposes of the RFA. C. Paperwork Reduction Act 1.

Order Finding That the ICE Malin Financial Basis Contract Traded on the IntercontinentalExchange, Inc., Does 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 … For subsequent SPDCs, ECMs have a grace period of 30 calendar days to demonstrate core principle compliance. II.

Revision of Federal Speculative Position Limits

Federal Register · Proposed Rule · Mar 15, 2005

The Commission is requesting comment on these rule amendments. DATES: Comments must be received on or before April 14, 2005. ADDRESSES: Comments should be submitted to Jean A. … The comment period closed on August 16, 2004, and eight comment letters were received in response to the Federal Register notice.

Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators

Federal Register · Rule · Aug 22, 2013

Act”), 12 and the Securities Exchange Act of 1934  13 regarding disclosure, reporting and recordkeeping by RICs (collectively, “SEC RIC Rules”). 14 Commenters asserted variously that the … Over the course of three calendar years, the change from a 9 month update period to a 12 month update period eliminates 1 filing per CTA.

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.

Clearing Requirement Determination Under Section 2(h) of the CEA for Interest Rate Swaps

Federal Register · Proposed Rule · Jun 16, 2016

Regulatory Flexibility Act B. Paperwork Reduction Act I. Background A. … Act.

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.  

Revision of Federal Speculative Position Limits and Associated Rules

Federal Register · Proposed Rule · Jul 17, 1998

The comment period [[Page 38528]] was kept open for a year, closing on April 30, 1995. … Only 13 comment letters were received during the post-phase 2 comment period, none from agricultural interests.

Chicago Mercantile Exchange: Proposed Amendments to the Cash Settlement Provisions of the CME Russian Ruble Futures Contract

Federal Register · Notice · Sep 3, 1998

for comment is in the public interest, will assist the Commission in considering the views of interested persons, and is consistent with the purpose of the Commodity Exchange Act. … The comment period is abbreviated in view of the short time period remaining to the expiration date of the September contract and in view of the recent suspension by MICEX of its daily fixing of the rubles

Process for Review of Swaps for Mandatory Clearing

Federal Register · Proposed Rule · Nov 2, 2010

Upon receiving a DCO's submission, the Commission would begin its 90-day review by posting the submission on the Commission Web site for a 30-day public comment period, as required by the Dodd-Frank Act … (4) The submission will be made available to the public and posted on the Commission Web site for a 30-day public comment period.

Request of the Kansas City Board of Trade for Approval of Amendments to Its Hard Red Winter Wheat Futures Contract Lowering the Price Discount for Delivery at Huchinson, KS, Increasing the Price Discount for Delivery of U.S. No. 3 Hard Red Winter Wheat, and Modifying the Maximum Permissible Amount of Wheat of Other Classes Deliverable as U.S. No. 3 Hard Red Winter Wheat

Federal Register · Notice · Jan 28, 2002

proposal for comment is in the public interest, will assist the Commission in considering the views of interested persons, and is consistent with the purposes of the Commodity Exchange Act. … DATES: Comments must be received on or before February 12, 2002. ADDRESSES: Interested persons should submit their views and comments to Jean A.

Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers

Federal Register · Proposed Rule · Sep 1, 2022

SUPPLEMENTARY INFORMATION: The CFTC and SEC are requesting public comment on the following under the Investment Advisers Act of 1940 [15 U.S.C. 80b] (“Advisers Act”). 1 2 1  15 U.S.C. 80b … Request for Comment IV. Paperwork Reduction Act A. Form PF 1. Purpose and Use of the Information Collection 2. Confidentiality 3. Burden Estimates B. Request for Comments V.

Orders Finding that the (1) Phys,1 BS,2 LD1 3 (US/MM), AB-NIT;4 (2) Phys, BS, LD1 (US/MM), Union-Dawn; 5 (3) Phys, FP,6 (CA/GJ),7 AB-NIT; (4) Phys, FP, (US/MM), Union-Dawn; and (5) Phys, ID,8 7a 9 (CA/GJ), AB-NIT Contracts, Offered for Trading on the Natural Gas Exchange, 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 … Each delivery period is considered to be a separate contract, and market participants value each delivery period separately.

Minimum Financial and Related Reporting Requirements for Futures Commission Merchants and Introducing Brokers

Federal Register · Rule · Aug 12, 2004

The Commission also received comments from the FIA and NFA objecting to its proposal to reduce the reporting period set forth in Rule 1.12(b). … Act.

Swap Data Recordkeeping and Reporting Requirements

Federal Register · Rule · Jan 13, 2012

Overview of Comments Received The comment period for the NOPR closed on February 7, 2011, but was reopened pursuant to the Commission's Order Reopening and Extension of Comment Periods for Rulemakings … The reopened comment period closed on June 3, 2011.

General Regulations and Derivatives Clearing Organizations

Federal Register · Proposed Rule · Dec 13, 2010

Regulatory Flexibility Act B. Paperwork Reduction Act 1. Information Provided by Reporting Entities/Persons 2. Information Collection Comments C. Cost-Benefit Analysis I. … Public Comment. The Commission invites public comment on its cost-benefit considerations.