Documents

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 26, 2022

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.

Notice of Proposed Order and Request for Comment on an Application for a Capital Comparability Determination Submitted on Behalf of Nonbank Swap Dealers Subject to Regulation by the Mexican Comision Nacional Bancaria y de Valores

Federal Register · Proposed Rule · Dec 13, 2022

ACTION: Proposed order and request for comment. … Select the “Submit Comments” link for this proposed order and follow the instructions on the Public Comment Form.

Aggregation of Positions

Federal Register · Proposed Rule · Sep 29, 2015

Follow the instructions for submitting comments through the Comments Online process on the Web site. … Paperwork Reduction Act 1.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Apr 8, 2013

Reduction Act (44 U.S.C. 3501 et seq. ), for the Generic Clearance for the Collection of Qualitative Feedback on Agency Service Delivery. … The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on January 28, 2013 (78 FR 5780).

Proposed Amendments to the Contract Size and Other Provisions of the Chicago Mercantile Exchange Random Lengths Lumber Futures Contract, Submitted Under Fast Track Review Procedures

Federal Register · Notice · Feb 24, 1999

ADDRESSES: Interested persons should submit their views and comments to Jean A. … 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

COMEX Division of the New York Mercantile Exchange: Proposed Amendments to the Silver Futures Contract

Federal Register · Notice · Jun 10, 1996

On behalf of the Commission, the Division is hereby providing notice of, and seeking comment on, the proposed amendments. DATES: Comments should be received on or before July 10, 1996. … ADDRESSES: Interested persons should submit their views and comments to Jean A.

Order Granting Conditional Substituted Compliance in Connection With Certain Capital and Financial Reporting Requirements Applicable to Nonbank Swap Dealers Subject to Regulation by the Financial Services Agency of Japan

Federal Register · Rule · Jul 18, 2024

Financial Reporting Rules The public comment period on the FSA Application, the proposed Comparability Determination, and the proposed Comparability Order ended on October 7, 2022. … (Act No. 86 of 2005).

Trade Options on the Enumerated Agricultural Commodities

Federal Register · Proposed Rule · Jun 9, 1997

DATES: Comments must be received by July 24, 1997. … An abridged version of those portions of the Division's study which might be most useful to commenters in identifying the issues for comment follows.

Foreign Futures and Options Transactions

Federal Register · Rule · Mar 18, 2020

Regulatory Flexibility Act The Regulatory Flexibility Act (RFA) requires that Federal agencies consider whether the rules that they issue will have a significant economic impact on a substantial number … Paperwork Reduction Act The Paperwork Reduction Act of 1995 (PRA) imposes certain requirements on Federal agencies, including the Commission, in connection with their conducting or sponsoring any collection

Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions

Federal Register · Rule · Feb 7, 2012

Public Law 111-16, the Statutory Time-Periods Technical Amendments Act of 2009, and to provide technical clarifications. … As acknowledged by some commenters, the 18 month to 2 year time period is the time period needed to transition to clearing.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Dec 17, 1999

DATES: Comments must be submitted on or before January 18, 2000. … The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on September 1, 1999 (64 FR 47773).

Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations

Federal Register · Proposed Rule · Jul 7, 2006

under the Act. … The Commission specifically invites public comment on its application of the criteria contained in the Act.

End-User Exception to Mandatory Clearing of Swaps

Federal Register · Proposed Rule · Dec 23, 2010

If the counterparty electing to use the end-user clearing exception is an issuer of securities under Exchange Act Section 12 or required to file periodic reports with the SEC under Exchange Act Section … The Commission seeks comments on the proposals as a whole, including their interaction with the other provisions of the Dodd-Frank Act.

Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act

Federal Register · Proposed Rule · Dec 6, 2010

Follow the instructions for submitting comments. Please submit your comments using only one method. All comments must be submitted in English, or if not, accompanied by an English translation. … Should the period be made shorter ( e.g., 30 or 60 days) or longer ( e.g., 180 days)? D.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Jul 17, 2002

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 June 27, 2002 (67 FR 43285).

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Jun 3, 2004

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 April 6, 2004 (69 FR 18058-01).

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Sep 6, 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 June 27, 2005 (70 FR 36929).

Proposed Rulemaking Permitting Future-Style Margining of Commodity Options

Federal Register · Proposed Rule · Dec 19, 1997

The Commission is publishing notice of the proposed rulemaking and requesting public comment. DATES: Comments on the proposed rulemaking must be received by February 2, 1998. … ADDRESSES: Comments should be mailed to Jean A.

Exemption From the Swap Clearing Requirement for Certain Affiliated Entities-Alternative Compliance Frameworks for Anti-Evasionary Measures

Federal Register · Proposed Rule · Dec 23, 2019

(CEA or Act). … Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Considerations 1. Statutory and Regulatory Background 2.

Over-the-Counter Derivatives

Federal Register · Proposed Rule · May 12, 1998

Part 35 The Futures Trading Practices Act of 1992 (``1992 Act'') \15\ added subsections (c) and (d) to section 4 of the Act. … How should compliance with any internal control requirements be monitored (e.g., regular audits, periodic spot checks, required reports)? 54.