Documents
Briefs, oral arguments, agency decisions and the Federal Register.
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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
86 FR 9304Commodity Futures Trading CommissionElectronic 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.
74 FR 69004Commodity Futures Trading CommissionFederal Register · Notice · Nov 10, 2010
COMMODITY FUTURES TRADING COMMISSION 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 … The comment period for the Precious Metal ETF Release expires on November 1, 2010. 15 See 75 FR 60411 (September 30, 2010).
75 FR 69058Commodity Futures Trading CommissionFinancial Reporting Requirements for Introducing Brokers
Federal Register · Rule · Nov 22, 2006
Comments NFA was the only entity to file a comment letter on the proposed amendments. … Act.
71 FR 67462Commodity Futures Trading CommissionFederal Register · Notice · Dec 29, 2010
of 1934 (“the '34 Act”). … The comment period for the Precious Metal ETF Release expired on November 1, 2010; eight comments were received.
75 FR 81977Commodity Futures Trading CommissionAdaptation of Regulations to Incorporate Swaps
Federal Register · Proposed Rule · Jun 7, 2011
Comment also is requested regarding whether the retention period for any communication medium ( e.g., oral communications) should be shorter than the retention period applicable to other required records … In this regard, the Commission requests that commenters specify what the proposed retention period should be and why. 4.
76 FR 33066Commodity Futures Trading CommissionFederal 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
82 FR 21330Commodity Futures Trading CommissionAgency Information Collection Activities Under OMB Review
Federal Register · Notice · Jul 1, 2022
Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. 1 17 CFR 145.9. … In particular, the Commission believes that, among other things, these obligations (i) promote compliance behavior through periodic self-evaluation, (ii) inform the Commission of possible compliance weaknesses
87 FR 39504Commodity Futures Trading CommissionRequest for Input on LabCFTC Prize Competitions
Federal Register · Notice · Apr 25, 2018
Technology Innovation Act of 1980 (15 U.S.C. 3719), subsequently known as the America Competes Act, and renamed the law to be “Science Prize Competition Act.” … The Commission encourages all relevant comments; commenters need not address every item. III.
83 FR 18009Commodity Futures Trading CommissionFederal 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.
76 FR 28641Commodity Futures Trading CommissionAgency Information Collection Activities Under OMB Review
Federal Register · Notice · Jul 30, 2007
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 23, 2007 (72 FR 28960).
72 FR 41500Commodity Futures Trading CommissionAgency Information Collection Activities: Notice of Intent to Renew Collection, Large Trader Reports
Federal Register · Notice · Dec 28, 2011
, and to allow 60 days for comment in response to the notice. … Large Trader Reports, OMB Control No. 3038-0009—Extension Parts 15 through 19 and 21 of the Commission's regulations under the Commodity Exchange Act (Act) require large trader reports from clearing members
76 FR 81481Commodity Futures Trading CommissionFederal Register · Rule · Mar 1, 2000
DATES: Comments on the proposed rule change must be received by March 31, 2000. ADDRESSES: Comments on the proposed rule should be sent to Jean A. … paragraph (a)(4)(iii), and by removing the period and adding a semi-colon and the word “and” at the end of existing paragraph (a)(4)(iv).
65 FR 10939Commodity Futures Trading CommissionAgency Information Collection Activities Under OMB Review
Federal Register · Notice · Jan 29, 2013
SUMMARY: In compliance with the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office … The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on November 21, 2012 (77 FR 69806).
78 FR 6074Commodity Futures Trading CommissionFederal Register · Proposed Rule · Mar 1, 2024
The comment period for the First Proposal was extended once at the request of a commenter and closed on June 30, 2023. 49 The Commission received comments from twelve commenters. 50 While commenters … a public comment period of no less than thirty days.
89 FR 15312Commodity Futures Trading CommissionFederal Register · Rule · Dec 10, 2019
Frequency of collection: Periodically. … (3) Periodic reporting relief.
84 FR 67355Commodity Futures Trading CommissionFederal Register · Notice · Dec 26, 1996
DATES: Comments must be received by February 24, 1997. … Commenters are specifically requested to address the following issues: 1.
61 FR 67998Commodity Futures Trading CommissionFederal Register · Notice · Jan 17, 1997
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 February 18, 1997.
62 FR 2657Commodity Futures Trading CommissionFederal 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.
72 FR 34417Commodity Futures Trading CommissionFutures 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
69 FR 19166Commodity Futures Trading Commission
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