Documents

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.

Special Calls

Federal Register · Rule · Aug 31, 2007

The Proposed Rules These amendments were published for comment at 72 FR 34417, June 22, 2007, with a 30-day comment period. … In the notice of proposed rulemaking, the Commission specifically invited public comment on its application of the criteria contained in the Act.

Order Finding That the Zone 6-NY 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.

Membership in a Registered Futures Association

Federal Register · Rule · Sep 14, 2015

The comment period for the Proposal ended on January 7, 2014. 16 The Commission received two substantive comments in response to the Proposal  17 and, in consideration of those comments, is adopting … the Proposal subject to certain changes, as noted below. 16  The Proposal inaccurately stated the comment period ended on January 17, 2014.

Membership in a Registered Futures Association

Federal Register · Proposed Rule · Nov 8, 2013

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. … NFA members are subject to periodic audits by NFA.

Investment of Customer Funds and Record of Investments

Federal Register · Proposed Rule · Feb 3, 2005

  1 (“Act”). … The Commission solicits public comment on whether the proposed rules satisfy the requirements for exemption under Section 4(c) of the Act. V. Related Matters A.

Form PF; Reporting Requirements for All Filers

Federal Register · Proposed Rule · Apr 24, 2026

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. … We request comment on the proposed transition period: 127. Would the proposed transition period provide filers with enough time to comply with the proposed amendments?

Registration of Swap Dealers and Major Swap Participants

Federal Register · Rule · Jan 19, 2012

Several commenters stressed the need for phased implementation over extended periods of time so that SDs and MSPs can come into compliance after evaluating the need, e.g., to restructure operations … . 29 Another commenter opined that, owing to business continuity concerns, a reasonable transition period for a firm not previously subject to regulation would be “a one year period for such firm

Boards of Trade Located Outside of the United States and No-Action Relief From the Requirement To Become a Designated Contract Market or Derivatives Transaction Execution Facility

Federal Register · Rule · Nov 2, 2006

pending the development of rules governing access to automated foreign boards of trade. 4 During this period, the Commission received extensive comment on the proposed rulemaking, as well as advice … The Commission's appropriate role during such a period of rapid change is to construct policies that will foster achievement of the Act's section 3 objectives of ensuring market and financial integrity

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

Federal Register · Rule · Sep 3, 2026

Given the timing of the Current Compliance Date and the end of the comment period for the 2026 Proposed Form PF Amendments, as well as the significant impact that these proposed amendments could have with … comment.

Proposed Revision of the Commission's Procedure for the Review of Contract Market Rules

Federal Register · Proposed Rule · Nov 26, 1999

(or 75-day period in the case of rules published for comment in the Federal Register). … Market participants and others adversely affected by a rule change could incur harm during this period.

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

Federal Register · Notice · Jun 25, 2018

Select the “Submit Comments” link for this matter and follow the instructions on the Public Comment Form. … For clarity, this notice expresses such burdens in terms of those that would be imposed on one respondent during the three year period.

Position Limits for Derivatives

Federal Register · Proposed Rule · Jan 26, 2011

Public Comments in Advance of Commission Action As with other forthcoming notices of rulemaking proposing regulations to implement the Dodd-Frank Act, the Commission accepted public comments in advance … At the meeting on December 16, 2010, however, the Commission was presented with a single proposed rule, with a 60-day comment period, addressing spot, single month, and aggregate limits.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Oct 5, 2022

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. 1  17 CFR 145.9. … When adopting the 12-hour reporting period, the Commission considered comments on the timeline for correcting errors and notifying the Commission, and extended the period to correct errors specifically

Extension of Time To File Annual Reports for Commodity Pools

Federal Register · Proposed Rule · Nov 7, 2000

DATES: Comments must be received by December 7, 2000. ADDRESSES: Interested persons should submit their views and comments to Jean A. … Regulatory Flexibility Act The Regulatory Flexibility Act (“RFA”), 5 U.S.C. 601-611 (1994), requires that agencies, in proposing rules, consider the impact of those rules on small businesses.

MidAmerica Commodity Exchange: Proposed Amendments Converting the Live Hogs Futures Contract From a Physical Delivery Contract to a Cash Settlement System

Federal Register · Notice · Aug 12, 1996

In accordance with Section 5a(a)(12) of the Commodity Exchange Act, and acting pursuant to the authority delegated by Commission Regulation 140.96, the Acting Director of the Division of Economic Analysis … On behalf of the Commission, the Division is requesting comment on this proposal. DATES: Comments must be received on or before September 11, 1996.

Notice of Proposed Order and Request for Comment on an Application for a Capital Comparability Determination From the Financial Services Agency of Japan

Federal Register · Proposed Rule · Aug 8, 2022

Select the “Submit Comments” link for this proposed order and follow the instructions on the Public Comment Form. … (Act No. 86 of 2005).

Concept Release on Risk Controls and System Safeguards for Automated Trading Environments

Federal Register · Proposed Rule · Sep 12, 2013

Further, section 747 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”)  3 amended the Commodity Exchange Act (“CEA” or “Act”) to make it unlawful for any person … The German HFT Act also defines algorithmic trading.

Early Warning Reporting Requirements, Minimum Financial Requirements, Prepayment of Subordinated Debt, Gross Collection of Exchange-Set Margin for Omnibus Accounts and Capital Charge on Receivables From Foreign Brokers

Federal Register · Rule · May 1, 1996

The Commission originally permitted 30 days for public comment on the proposed amendments to Rule 1.12 and it extended the comment period for an additional 30 days in response to a request from the Securities … The commenters stated that DSROs have demonstrated the capability to competently handle prepayment of subordinated debt during the past ten years of the no-action period.

Sunshine Act Meeting

Federal Register · Notice · Dec 20, 2005

SUPPLEMENTARY INFORMATION: In a separate Federal Register release published today, the Commission extended the comment period for “Self-Regulation and Self-Regulatory Organizations in the Futures … The comment period now closes on January 23, 2006.