Documents

Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps To Account for the Transition From LIBOR and Other IBORs to Alternative Reference Rates

Federal Register · Proposed Rule · May 31, 2022

Regulatory Flexibility Act B. Paperwork Reduction Act C. Antitrust Laws I. Background A. … The Commission requests comment on whether there are less anticompetitive means of achieving the relevant purposes of the Act.

Confirmation, Portfolio Reconciliation, and Portfolio Compression Requirements for Swap Dealers and Major Swap Participants

Federal Register · Proposed Rule · Dec 28, 2010

(Dodd-Frank Act). … (2) Each swap dealer and major swap participant shall establish, maintain, and enforce written policies and procedures for periodically terminating fully offsetting swaps and for periodically engaging

Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy

Federal Register · Rule · Nov 6, 2013

(the “Dodd-Frank Act”). … 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). 11  Letters were received

Proposed Order and Request for Comment on Application for Exemption From Certain Provisions of the Commodity Exchange Act Regarding Investment of Customer Funds and From Certain Related Commission Regulations

Federal Register · Notice · Dec 15, 2017

COMMODITY FUTURES TRADING COMMISSION Proposed Order and Request for Comment on Application for Exemption From Certain Provisions of the Commodity Exchange Act Regarding Investment of Customer Funds and … Spread has exceeded approximately 5% of the time over that period. 14 14  The Commission reviewed the daily U.S. Spread from July 3, 2009 to July 3, 2017. Over this time period, the U.S.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Aug 29, 2018

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. 1  17 CFR 145.9. … For clarity, this notice expresses such burdens in terms of those that would be imposed on one respondent during the three year period.

Swap Data Recordkeeping and Reporting Requirements

Federal Register · Proposed Rule · Apr 17, 2020

receiver (53); Payment frequency period (54); and Payment frequency period multiplier (55). 7. … Act.

Chicago Mercantile Exchange Proposed Rule Amendments To Establish a Globex Foreign Exchange Facility

Federal Register · Notice · Mar 11, 1996

.\1\ Acting pursuant to the authority delegated by Commission Regulation 140.96, the Division of Trading and Markets has determined to publish the CME proposal for public comment. … Request for Comments The Commission requests comments on any aspect of the CME's proposed rule amendments that members of the public believe may raise issues under the Act or Commission regulations

Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps To Account for the Transition From LIBOR and Other IBORs to Alternative Reference Rates

Federal Register · Rule · Aug 24, 2022

Regulatory Flexibility Act B. Paperwork Reduction Act C. Antitrust Laws D. Congressional Review Act I. Background A. … during that period.

Chicago Board of Trade: Proposed Amendments to the Chicago Board of Trade Corn and Soybeans Futures Contracts, Increasing the Maximum Daily Premium Charge, Decreasing the Maximum Number of Shipping Certificates Issuable, and Modifying Certain Loading Requirements

Federal Register · Notice · Oct 12, 2000

DATES: Comments must be received on or before November 13, 2000. ADDRESSES: Interested persons should submit their views and comments to Jean A. … The Commission is requesting comments on the proposed amendments.

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

Federal Register · Proposed Rule · Jul 9, 2003

Act. … Commenters also are invited to submit any data that they may have quantifying the costs and benefits of the proposal with their comment letters.

Risk Management Program Regulations for Swap Dealers, Major Swap Participants, and Futures Commission Merchants

Federal Register · Proposed Rule · Jul 18, 2023

programs, the enumerated risks these programs must monitor and manage, and the specific risk considerations they must take into account; the Commission further seeks comment on how the related periodic … Background Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act  1 (Dodd-Frank Act) amended the Commodity Exchange Act (CEA)  2 to establish a comprehensive regulatory

In the Matter of Intermarket Clearing Corporation-Request for Vacation From Designation as Derivatives Clearing Organization

Federal Register · Notice · Jan 6, 2004

However, the merger of ICC and OCC will take place before the end of the calendar year 2003, which will occur before the expiration of the ninety-day notice period required by Section 7 of the Act. … The Commission invited comments specifically on exempting ICC from the ninety-day requirement of section 7 and received no comments. III.

Reporting and Information Requirements for Derivatives Clearing Organizations

Federal Register · Proposed Rule · Dec 15, 2022

Select the “Submit Comments” link for this rulemaking and follow the instructions on the Public Comment Form. … Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Considerations D. Antitrust Considerations I.

Commodity Pool Operators; Exclusion for Certain Otherwise Regulated Persons From the Definition of the Term “Commodity Pool Operator”

Federal Register · Rule · Apr 25, 2000

The Commission specifically requested comment on two aspects of the proposal. … The Commission received two comment letters on the Proposal.

Recordkeeping; Reports by Futures Commission Merchants, Clearing Members, Foreign Brokers, and Large Traders

Federal Register · Rule · May 2, 1997

Since this testing may take a period of time to complete, the Commission will take no enforcement action during the testing period against [[Page 24027]] reporting firms if they are not in compliance … Paperwork Reduction Act (PRA) When publishing final rules, the Paperwork Reduction Act of 1995 (Pub.

Regulation Automated Trading

Federal Register · Proposed Rule · Dec 17, 2015

Paperwork Reduction Act 1. … Regulatory Flexibility Act Analysis 109. The Commission requests comment on each element of its RFA analysis.

Swap Execution Facilities and Trade Execution Requirement

Federal Register · Proposed Rule · Feb 12, 2021

In addition to expressing substantive concerns about the overbreadth of the SEF Proposal, I also voiced concerns that we were rushing by having a comparatively short 75-day comment period. 5 In the … end, the comment period was rightly extended, and the Commission has taken the time necessary to carefully evaluate the appropriateness of the SEF Proposal in consideration of its regulatory and oversight

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Mar 31, 2021

The Supplemental NPRM was published in the Federal Register on November 25, 2016, with a 90-day comment period closing on January 24, 2017. … The Commission subsequently extended the comment period until May 1, 2017.

Investment of Customer Funds and Record of Investments

Federal Register · Rule · May 17, 2005

The FIA, in its comment letter, specifically responded to the CME's comment letter. … Under proposed paragraph (b)(3)(iv)(A)( 4 ), the periodic coupon payments could not be a negative amount.

Electronic Filing of Financial Reports and Notices

Federal Register · Rule · Dec 30, 2009

The 30-day public comment period on the Proposals expired on November 12, 2009. The Commission received one written comment on the Proposals, submitted by the National Futures Association (“NFA”). … a new regulation under the Act.