Documents

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Oct 20, 2015

The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on August 7, 2015 (80 FR 47475). … Abstract: Section 738 of the Dodd-Frank Act amended section 4(b) of the Commodity Exchange Act to provide that the Commission may adopt rules and regulations requiring Foreign Boards of Trade (“FBOTs

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · May 5, 2023

A Federal Register Notice with a 60-day comment period soliciting comments on the ICR was published on May 17, 2022. DATES: Comments must be submitted on or before June 5, 2023. … Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. 1  17 CFR 145.9.

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0013, Exemptions From Speculative Limits

Federal Register · Notice · Apr 16, 2015

Comments on the Paperwork Reduction Act implications of the Position Limits for Derivatives proposal were solicited through the proposal itself, the comment period for which (as extended and reopened) … under the Administrative Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act.

Agency Information Collection Activities: Notice of Intent To Extend Collection Number 3038-0080, Annual Report for Chief Compliance Officer of Registrants

Federal Register · Notice · Apr 15, 2019

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 … under the Administrative Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act.

Renewal of the Technology Advisory Committee

Federal Register · Notice · Jun 21, 2012

All comments must be submitted in English, or if not, accompanied by an English translation. Comments will be posted as received to www.cftc.gov. … The TAC will operate for two years from the date of renewal unless, before the expiration of that time period, its charter is renewed in accordance with section 14(a)(2) of the Federal Advisory Committee

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Jan 21, 2009

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 November 12, 2008 (73 FR 66846).

Joint Request for Comment on Further Definition of “Swap” and “Security-Based Swap” and on Alternative Compliance

Federal Register · Proposed Rule · Jun 24, 2026

The Commissions have adopted rules addressing tolerance periods and grace periods for products referencing securities indexes traded on designated contract markets, swap execution facilities (“SEFs”), … and the Exchange Act]”.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Jul 16, 2015

The reporting rules are implemented by the Commission partly pursuant to the authority of sections 4a, 4c(b), 4g, and 4i of the Commodity Exchange Act (“Act”). … Frequency of collection: Periodically. There are no capital costs or operating and maintenance costs associated with this collection. Authority: 44 U.S.C. 3501 et seq.

Financial 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.

Exemption From Registration for Certain Foreign Intermediaries

Federal Register · Rule · Dec 7, 2020

as a result of the reopening of the 2016 Proposal's comment period. … , 78 as a result of reopening the comment period pursuant to the 2020 Proposal.

Two-Part Documents for Commodity Pools

Federal Register · Rule · Oct 30, 1998

The comment period for the Proposal was 30 days and closed on April 29, 1998. … The comment period for the Proposal ended on April 29, 1998. The Commission received seven comment letters.

Agency Information Collection Activities under OMB Review

Federal Register · Notice · Jun 11, 2026

the matter and will be considered as required under the Administrative Procedure Act, the Paperwork Reduction Act, and other applicable laws, and may be accessible under the FOIA. … Frequency of responses: Periodically. There are no capital costs or operating and maintenance costs associated with this collection.

Privacy of Customer Information

Federal Register · Proposed Rule · Mar 19, 2001

In light of the need to promulgate regulations by June 21, 2001--six months after the enactment of the CFMA--the Commission does not anticipate extending the comment period, and encourages commenters to … submit their comments as early as possible during the comment period.

Account Ownership and Control Report

Federal Register · Proposed Rule · Jul 2, 2009

The Division of Enforcement DOE investigates and prosecutes alleged violations of the Commodity Exchange Act (“Act”) and Commission regulations. … Request for Comments The Commission invites public comment on any relevant aspect of the OCR contemplated in this Advanced Notice.

Swap Clearing Requirement Exemptions

Federal Register · Proposed Rule · May 12, 2020

Request for Comment. … Request for Comment.

Agency 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

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0023, Registration Under the Commodity Exchange Act

Federal Register · Notice · May 23, 2007

Under the Paperwork Reduction Act of 1995 (PRA), 44 U.S.C. 3501 et seq. … DATES: Comments must be submitted on or before July 23, 2007. ADDRESSES: Comments may be mailed to Christopher W. Cummings, Division of Clearing and Intermediary Oversight, U.S.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Feb 12, 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 11, 2013 (78 FR 75333).

Agency Information Collection Activities: Notice of Intent To Renew Collection: Rules Relating to Review of National Futures Association Decisions in Disciplinary, Membership Denial, Registration, and Member Responsibility Actions

Federal Register · Notice · Oct 15, 2015

The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on June 1, 2012 (77 FR 32593). … under the Administrative Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act.

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0009, Large Trader Reports

Federal Register · Notice · Apr 9, 2019

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. … Frequency of collection: Periodically. There are no capital costs or operating and maintenance costs associated with this collection.