Documents

Swap Execution Facility Order Book Requirement for Permitted Transactions

Federal Register · Proposed Rule · Aug 26, 2026

(“CEA” or “Act”). … Request for Comment III. Effective Date and Transition Period IV. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Considerations D.

Review of Swap Data Recordkeeping and Reporting Requirements

Federal Register · Proposed Rule · Mar 26, 2014

Introduction Title VII 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 establish a comprehensive … This comment period is a critical step in the Commission's effort to improve its data utilization. I encourage all market participants to help the Commission improve its data reporting regime.

Reporting, Recordkeeping, Daily Trading Records, and Swap Documentation Requirements for Swap Dealers and Major Swap Participants; Corrections

Federal Register · Rule · Feb 10, 2023

In accordance with the Administrative Procedure Act, the Commission has good cause to find that it is unnecessary to provide the public prior notice and an opportunity to comment on these technical … Revise the entry for “Floating rate index name/rate period”. d. In Exhibit D: i.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Oct 18, 2017

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. 1  17 CFR 145.9. … The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on August 4, 2017 (82 FR 36384).

Applications of the Chicago Mercantile Exchange for Designation as a Contract Market in Futures and Options on Five Year Agency Notes and Ten Year Agency Notes

Federal Register · Notice · Feb 9, 2000

proposals 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. … In view of the limited period under the Fast Track procedures, the Commission has determined to publish for public comment notice of the availability of the terms and conditions for 15 days, rather than

Applications of the Cantor Financial Futures Exchange for Designation as a Contract Market in Futures on Five Year Agency Notes and Ten Year Agency Notes

Federal Register · Notice · Feb 22, 2000

proposals 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. … In view of the limited review period under the Fast Track procedures, the Commission has determined to publish for public comment notice of the availability of the terms and conditions for 15 days, rather

Proposed Amendments to Minneapolis Grain Exchange Barley Futures Contract

Federal Register · Notice · Nov 6, 1997

proposals 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. … In view of the limited review period provided under the Fast Track procedures, the Commission has determined to publish for public comment notice of the availability of the terms and conditions for 15

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

Federal Register · Proposed Rule · May 8, 2017

Follow the instructions for submitting comments through the Comments Online process on the Web site. … period for its outstanding Dodd-Frank Act Title VII rulemakings, including rule 15Fk-1. 11 In its reopening release, the SEC sought comment on, among other things: (1) The relationship of the proposed

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Jul 18, 2005

Office of Management and Budget (OMB) for review and comment. … The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on May 3, 2005 (70 FR 22853).

Applications of the Chicago Board of Trade for Designation as a Contract Market in Futures and Options on the CBOT Brazil Brady Bond Index

Federal Register · Notice · Feb 6, 1996

proposals 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. … The SEC published the proposed amendment to Rule 240.3a12-8 in the Federal Register for a 30-day public comment period on December 20, 1995.

Applications of the Chicago Mercantile Exchange for Designation as a Contract Market in Futures and Options on Brazilian ``C'' Brady Bonds, Brazilian ``El'' Brady Bonds, and Argentine ``FRB'' Brady Bonds

Federal Register · Notice · Feb 12, 1996

proposals 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. … The SEC published the proposed amendment to Rule 240.3a12-8 in the Federal Register for a 30- day public comment period on December 20, 1995.

Acknowledgment Letters for Customer Funds and Secured Amount Funds

Federal Register · Proposed Rule · Feb 20, 2009

DATES: Submit comments on or before March 23, 2009. … Follow the instructions for submitting comments. • Agency Web Site: http://www.cftc.gov . Follow the instructions for submitting comments on the Web site.

Commodity Pool Operators: Relief From Compliance With Certain Disclosure, Reporting and Recordkeeping Requirements for Registered CPOs of Commodity Pools Listed for Trading on a National Securities Exchange; CPO Registration Exemption for Certain Independent Directors or Trustees of These Commodity Pools

Federal Register · Rule · May 18, 2011

The Commission requested comment on its application of these factors in the Proposing Release. No such comments were received. … Removing the period at the end of paragraph (a)(4)(ii)(B) and adding “; or”; c.

Opting Out of Segregation

Federal Register · Rule · Apr 25, 2001

Final Rules The 30-day comment period on the proposal expired on April 12, 2001. The Commission received six comment letters. … FIA indicated that FCMs require a reasonable time period to make the appropriate changes to books and records.

Applications of the Chicago Mercantile Exchange for Designation as a Contract Market in South Eastern, South Western and Western Oriented Strand Board Futures and Options

Federal Register · Notice · Dec 30, 1999

proposals 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. … In view of the limited review period under the Fast Track procedures, the Commission has determined to publish for public comment notice of the availability of the terms and conditions for 15 days, rather

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0005, Rules Relating to the Operations and Activities of Commodity Pool Operators and Commodity Trading Advisors and to Monthly Reporting by Futures Commission Merchants

Federal Register · Notice · Jun 30, 2016

Abstract: Pursuant to the Commodity Exchange Act, as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), Public Law 111-203, 124 Stat. 1376 (2010), the Commission … under the Administrative Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act.

Registration and Compliance Requirements for Commodity Pool Operators (CPOs) and Commodity Trading Advisors: Family Offices and Exempt CPOs

Federal Register · Rule · Dec 10, 2019

Frequency of collection: Periodically. … (3) Periodic reporting relief.

Agency Information Collection Activities Under OMB Review-Notice of Intent To Renew Collection 3038-0049; Procedural Requirements for Requests for Interpretative, No-Action, and Exemptive Letters

Federal Register · Notice · Mar 6, 2014

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. … The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on December 30, 2013 (78 FR 79408).

Special Calls

Federal Register · Proposed Rule · Jun 22, 2007

or by these regulations shall be kept for a period of five years from the date thereof and shall be readily accessible during the first two years of the five-year period. … The Commission specifically invites public comment on its application of the criteria contained in the Act for consideration.

Futures Market Self-Regulation

Federal Register · Notice · Apr 12, 2004

ACTION: Request for comment. … Under such an agreement, each DSRO is primarily responsible for conducting periodic examinations of firms assigned to it, and the other SROs rely upon the findings of such examinations, yet under the Act