Documents

Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products

Federal Register · Rule · Sep 13, 2002

FR 50785 (Oct. 4, 2001), Exchange Act Release No. 44854 (Sept. 26, 2001). 9   See infra notes 15 and 17. 10  On October 29, 2001, the Commissions extended the comment period on … No comments were received that discussed the Regulatory Flexibility Act Certification.

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.

Exempt Commercial Markets

Federal Register · Rule · Jul 20, 2004

Overview of Comments The Commission received comments from two exempt commercial markets, the IntercontinentalExchange, Inc. (“ICE”) and the Natural Gas Exchange, Inc. (“NGX”). … However, with respect to one class of complaints, the Commission believes that the reporting period should not be changed.

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.

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.

Order Granting Exemption From Certain Provisions of the Commodity Exchange Act Regarding Investment of Customer Funds and From Certain Related Commission Regulations

Federal Register · Notice · Jul 25, 2018

Over this time period, the U.S. Spread had a mean of approximately 26.5 BPS and a standard deviation of approximately 9.72 BPS. … The Commission received three comment letters. 20 Each of the commenters supported an exemption and suggested several changes to the Proposed Order.

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: 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: 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.

Chicago Mercantile Exchange Proposed Futures and Option Contracts on the Dow Jones Taiwan Stock Index

Federal Register · Notice · Sep 25, 1996

an additional period for public comment on the CME's amended proposals in the Dow Jones Taiwan Stock Index is warranted. … DATES: Comments must be received on or before October 10, 1996. ADDRESSES: Interested persons should submit their views and comments to Jean A.

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0033, Notification of Pending Legal Proceedings

Federal Register · Notice · Sep 13, 2024

under the Administrative Procedures Act and other applicable laws, and may be accessible under the Freedom of Information Act. … Burden Statement: The annual respondent burden for this collection during the renewal period is estimated to be as follows: Estimated Number of Annual Respondents: 101.

Agency Information Collection Activities: Approved Collection; Comment Request; Off-Exchange Agricultural Trade Options

Federal Register · Notice · Dec 10, 1999

Responses to the collection of information are mandatory pursuant to Section 4c(b) of the Commodity Exchange Act. … The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on August 31, 1999 (64 FR 47452).

Agency Information Collection Activities: Notice of Intent To Revise Collection 3038-0089, Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps

Federal Register · Notice · Jun 19, 2019

The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on April 12, 2019 (84 FR 14922). … as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”).

Applications of the Chicago Board of Trade for Designation as a Contract Market in PCS Catastrophe Single-Event Insurance Options for the Entire U.S. (National) Plus Eight Regional and State-Based Contracts Covering the Northeast, West, California, Texas, East, Southeast, Midwest, and Florida

Federal Register · Notice · Nov 4, 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

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0072, Registration of Swap Dealers and Major Swap Participants

Federal Register · Notice · Mar 25, 2026

This notice solicits comments on the extension of information collection requirements relating to registration under the Commodity Exchange Act, OMB Control No. 3038-0072 (Registration of Swap Dealers … Frequency of responses: Periodically. There are no capital costs or operating and maintenance costs associated with this collection.

Definition of “Client” of a Commodity Trading Advisor

Federal Register · Proposed Rule · Sep 28, 2005

DATES: Comments must be received on or before November 28, 2005. ADDRESSES: Comments on the Proposal should be sent to Jean A. … Commenters also are invited to submit any data that they may have quantifying the costs and benefits of the Proposal with their comment letters.

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

Federal Register · Notice · Jan 20, 2023

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.