Documents

Regulations To Address Margin Adequacy and To Account for the Treatment of Separate Accounts by Futures Commission Merchants

Federal Register · Rule · Jan 22, 2025

Regulatory Flexibility Act C. Paperwork Reduction Act D. Congressional Review Act I. Background A. … a public comment period of no less than thirty days.

Order Providing Exemptive Relief To Facilitate Listing of Cash-Settled Futures on Individual Equity Securities

Federal Register · Rule · Jul 21, 2026

of 1934 and Request for Comment in Connection With the Opening Price Settlement Requirements of Rule 6h-1(b) Under the Securities Exchange Act of 1934 for Certain Cash-Settled Securities Futures, 91 FR … Countryman re: Request for Exemption Response to Comment Letters (June 9, 2026), available at https://www.sec.gov/comments/S7-2026-04/s7202604-809059-2460867.pdf (the “CME Comment Letter”).

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.

Petition of Hard Eight Futures, LLC for Exemptive Relief, Pursuant to Section 4(c) of the Commodity Exchange Act, From Section 2(a)(1)(C)(iv) of the Commodity Exchange Act and Appendix D to Part 30 of the Rules of the Commodity Futures Trading Commission

Federal Register · Notice · Jun 17, 2010

Request for Comments The Commission requests public comment on any aspect of the Petition that commenters believe may raise issues under the CEA or Commission regulations. … An ECP that is not a QIB, however, would have to exit its position in the foreign futures contract within the applicable grace period or be in violation of the Exchange Act.

Clearing Requirement Determination Under Section 2(h) of the CEA

Federal Register · Rule · Dec 13, 2012

Comments on the Notice of Proposed Rulemaking The Commission received 29 comments during the 30-day public comment period following publication of the NPRM, and four additional comments after the comment … The Futures Industry Association (FIA) expressed concern about the 30-day comment period providing sufficient time to comment on the proposal, and recommended that the Commission provide a longer comment

Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates

Federal Register · Proposed Rule · Aug 12, 2016

Follow the instructions for submitting comments through the Comments Online process on the Web site. … Follow the instructions for submitting comments. Please submit your comments using only one of these methods.

Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR

Federal Register · Proposed Rule · May 4, 2020

To that end, if needed, I encourage market participants to request an extension of the comment period. … Finally, I am pleased that the comment period for this Proposal is 60 days.

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.

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.

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 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.

Acknowledgment Letters for Customer Funds and Secured Amount Funds

Federal Register · Proposed Rule · Aug 9, 2010

DATES: Submit comments on or before September 8, 2010. … Follow the instructions for submitting comments. • Agency Web Site: http://www.cftc.gov. Follow the instructions for submitting comments on the Web site.

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.

Rules Relating to Intermediaries of Commodity Interest Transactions

Federal Register · Rule · Dec 13, 2000

Responses to the Comments Received A. … The Act requires that registrants receive training on a periodic basis.

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.

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.

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

Federal Register · Notice · Feb 3, 1998

comment. … after the exclusive period.

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

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.