Documents

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

Certain Swap Data Repository and Data Reporting Requirements

Federal Register · Proposed Rule · May 13, 2019

Request for Comments VII. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Considerations D. Anti-Trust Considerations I. Background A. … 2) from ten years to a different period of time?

Swap Clearing Requirement Exemptions

Federal Register · Rule · Nov 30, 2020

Act of 1994. … The second and fourth alternatives proposed by the commenter would require the Commission periodically to reassess which entities are included in the definition based on geopolitical events or whether

Swap Transaction Compliance and Implementation Schedule: Trading Documentation and Margining Requirements Under Section 4s of the CEA

Federal Register · Proposed Rule · Sep 20, 2011

or extended the comment period of many of its proposed rulemakings through June 3, 2011. 3 In total, the Commission has received over 20,000 comments in response to its Dodd-Frank Act rulemaking … proposals. 3   See Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act, 76 FR 25274, May 4, 2011.

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.

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.

Investment of Customer Funds by Futures Commission Merchants and Derivatives Clearing Organizations

Federal Register · Rule · Jan 22, 2025

The comment period for the Proposal closed on January 17, 2024. … Separately, four commenters responded to the Commission's request for comment on whether the Commission should impose a “cooling-off ” period, following an exceedance of the 45 BPS limit on the two-year

Early Warning Reporting Requirements for Futures Commission Merchants

Federal Register · Uncategorized Document · Dec 28, 1994

Regulatory Flexibility Act The Regulatory Flexibility Act (RFA), 5 U.S.C. 601-611 (1988), requires that agencies, in proposing rules, consider the impact of those rules on small businesses. … Paperwork Reduction Act The Paperwork Reduction Act of 1980 (PRA), 44 U.S.C. 3501 et seq., imposes certain requirements on federal agencies (including the Commission) in connection with their conducting

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.

Portfolio Reconciliation Requirements for Swap Dealers and Major Swap Participants-Revision of “Material Terms” Definition

Federal Register · Rule · Jan 5, 2021

, an agency may 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 to the public interest … .”  14 The Commission has determined that there is good cause to find that a pre-publication comment period is unnecessary because this Interim Final Rule involves technical, ministerial changes that

Capital Requirements of Swap Dealers and Major Swap Participants

Federal Register · Proposed Rule · Dec 19, 2019

ACTION: Proposed rule; reopening of comment period; request for additional comment. … period and request additional comment on proposed regulations and amendments to implement section 731 of the Wall Street Reform and Consumer Protection Act, 1 which requires the CFTC to establish

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.

Request for Comment on Options for a Proposed Exemptive Order Relating to the Trading and Clearing of Precious Metal Commodity-Based ETFs; Concept Release

Federal Register · Notice · Sep 30, 2010

DATES: Comments must be received on or before November 1, 2010. All comments must be in English, or if not in English, accompanied by an English translation. … See CFTC, Request for Comment on a Proposal to Exempt, Pursuant to the Authority in Section 4(c) of the Commodity Exchange Act, the Trading and Clearing of Certain Products Related to ETFS Physical

Petition of the Chicago Board of Trade, the Chicago Mercantile Exchange, and the New York Mercantile Exchange for Exemption Pursuant to Section 4(c) of the Commodity Exchange Act

Federal Register · Notice · Aug 25, 1999

DATES: Comments must be received on or before October 12, 1999. ADDRESSES: Comments should be submitted to Jean A. … Under the Exchanges' petition, proposals in each of the three areas of requested relief would not be subject to a public comment period.

Applications of the Chicago Mercantile Exchange for Designation as a Contract Market in Futures and Options on Three Month Eurodallar FRAs

Federal Register · Notice · May 14, 1999

That comment period ended on September 9, 1998. … The Commission has determined that an additional period for public comment on the proposals will assist the Commission in considering the views of interested persons, and is consistent with the purposes

Risk Management Exemption From Federal Speculative Position Limits

Federal Register · Proposed Rule · Nov 27, 2007

The Commission specifically invites public comment on its application of the cost benefits criteria of the Act. … In compliance with the Act, the Commission, through this rule proposal, solicits comment to: (1) Evaluate whether the proposed collection of information is necessary for the proper performance of the functions

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.

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

Federal Register · Proposed Rule · Aug 7, 2012

Regulatory Flexibility Act B. Paperwork Reduction Act I. Background A. … Act in 2010.

Significant Price Discovery Contracts on Exempt Commercial Markets

Federal Register · Proposed Rule · Dec 12, 2008

DATES: Comments must be received by February 10, 2009. ADDRESSES: You may submit comments by any of the following methods: • Federal eRulemaking Portal: http://www.regulations.gov . … Please provide the Commission with a copy of your comments so that we can summarize all written comments and address them in the final rule preamble.

Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date

Federal Register · Rule · Jun 16, 2025

comment. … Given the time constraints, a notice and comment period could not reasonably be completed prior to the Current Compliance Date. 23   See Section 553(b)(B) of the Administrative Procedure Act