Documents

Aggregation of Positions

Federal Register · Proposed Rule · Nov 15, 2013

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. … Paperwork Reduction Act 1.

Proceedings Before the Commodity Futures Trading Commission; Rules Relating to Suspension or Disbarment From Appearance and Practice

Federal Register · Proposed Rule · Oct 23, 2014

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

Privacy of Consumer Financial Information

Federal Register · Rule · May 18, 2020

The Commission requested comments on the Proposal. The comment period for the Proposal ended on December 12, 2019. III. … The Commission received no such comments. D.

Notice of Request for Comment on Exemption Requests

Federal Register · Notice · Dec 6, 2007

offering, entering into, rendering advice or rendering other services with respect to, the agreement, contract, or transaction), either unconditionally or on stated terms or conditions or for stated periods … The Commission seeks comment on this determination.

Technology Advisory Committee; First Renewal

Federal Register · Notice · Nov 15, 2001

COMMODITY FUTURES TRADING COMMISSION Technology Advisory Committee; First Renewal The Commodity Futures Trading Commission has determined to renew for a period of two years its Technology Advisory … Interested persons may obtain information or make comments by writing to the Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.

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

Federal Register · Proposed Rule · Mar 26, 2007

DATES: Comments should be submitted on or before April 25, 2007. ADDRESSES: Comments should be sent to Eileen A. … In light of the nature of these amendments, the Commission does not anticipate that it will be necessary to extend the comment period. 7  Other than Subsections (b)(2)(ii)(B) and (b)(2)(ii)(C)

Electronic Trading Risk Principles

Federal Register · Proposed Rule · Jul 15, 2020

Regulatory Flexibility Act B. Paperwork Reduction Act 1. OMB Collection 3038-0093—Provisions Common to Registered Entities 2. … Request for Comment 25.

Petition of the Philadelphia Stock Exchange, Inc. for Exemptive Relief To Permit United States Customers To Establish or Offset Positions in Certain Foreign Currency Options on the Hong Kong Futures Exchange Ltd. Through Registered Broker-Dealers

Federal Register · Notice · Apr 2, 1997

The intial thirty-day period specified in the Proposing Release for public comment on the PHLX Petition would have expired on November 8, 1996 but was extended to December 11, 1996. 61 FR 59089 (November … Several commenters addressed this subject.

Whistleblower Awards Process

Federal Register · Proposed Rule · Aug 30, 2016

Follow the instructions for submitting comments through the Comments Online process on the Web site. … Follow the instructions for submitting comments. Please submit your comments using only one of these methods.

Registration of Intermediaries

Federal Register · Proposed Rule · Apr 19, 2002

DATES: Comments on the proposed new rule and amendments must be received by May 20, 2002. ADDRESSES: Comments on the proposed rule 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.

Proceedings Before the Commodity Futures Trading Commission; Rules Relating to Suspension or Disbarment From Appearance and Practice

Federal Register · Rule · Jun 10, 2015

The Commission received three comments on the Proposal. 7 Each commenter supported the amended rule as proposed without raising substantive issues. … ). 10  Chris Barnard Comment Letter at 2 (November 4, 2014).

Agricultural Advisory Committee; Ninth Renewal

Federal Register · Notice · May 3, 2001

COMMODITY FUTURES TRADING COMMISSION Agricultural Advisory Committee; Ninth Renewal The Commodity Futures Trading Commission has determined to renew again for a period of two years its advisory committee … Interested persons may obtain information or make comments by writing to the Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.

Agricultural Advisory Committee Seventh Renewal

Federal Register · Notice · May 5, 1997

COMMODITY FUTURES TRADING COMMISSION Agricultural Advisory Committee Seventh Renewal The Commodity Futures Trading Commission has determined to renew again for a period of two years its advisory … The Commission certifies that the renewal of the advisory committee is in the public interest in connection with duties imposed on the Commission by the Commodity Exchange Act, 7 U.S.C.

Swap Data Repositories-Access to SDR Data by Market Participants

Federal Register · Rule · Mar 26, 2014

Comment date: Comments on this interim final rule must be submitted on or before April 25, 2014. … Request for Comment on Interim Final Rule IV. Related Matters A. Administrative Procedure Act B. Paperwork Reduction Act C. Regulatory Flexibility Act D. Cost Benefit Considerations I.

Amendments to the Swap Data Access Provisions of Part 49 and Certain Other Matters

Federal Register · Rule · Jun 12, 2018

After considering the SDR Commenters' comments and consulting with certain ADRs as required by section 712(a)(1) of the Dodd-Frank Act, the Commission agrees with the SDR Commenters that SDRs should not … Each SDR would have to maintain this information for the same period required for other SDR records.

Requirements for Designated Contract Markets and Swap Execution Facilities Regarding Governance and the Mitigation of Conflicts of Interest Impacting Market Regulation Functions

Federal Register · Proposed Rule · Mar 19, 2024

Proposed §§ 37.1206(e) and 38.857(e) require the ROC to periodically report to the board of directors. … I repeat my call for the Commission to commit to engage in a public rulemaking with formal notice and comment period on vertically integrated structures. 14 13   See supra note 1.

Sunshine Act Meetings

Federal Register · Notice · Apr 10, 2020

COMMODITY FUTURES TRADING COMMISSION Sunshine Act Meetings TIME AND DATE: 10:00 a.m. EDT, Tuesday, April 14, 2020. PLACE: Conference call. STATUS: Open. … Periods.

Ethics Training for Registrants

Federal Register · Proposed Rule · Dec 14, 1995

DATES: Comments must be received by January 16, 1996. … that: The Commission shall issue regulations to require new registrants, within 6 months after receiving such registration, to attend a training session, and all other registrants to attend periodic

Advisory Committee on CFTC-State Cooperation; Ninth Renewal

Federal Register · Uncategorized Document · Mar 18, 1994

COMMODITY FUTURES TRADING COMMISSION Advisory Committee on CFTC-State Cooperation; Ninth Renewal The Commodity Futures Trading Commission has determined to renew again for a period of two years its … Interested persons may obtain information or make comments by writing to the Commodity Futures Trading Commission, 2033 K Street, NW., Washington, DC 20581.

Maintenance of Minimum Financial Requirements by Futures Commission Merchants and Introducing Brokers

Federal Register · Proposed Rule · Jan 14, 1998

DATES: Comments mut be received on or before March 16, 1998. ADDRESSES: Comments on the proposed amendments should be sent to Jean A. … \6\ Section 4d(2) of the Act and Rules 1.25-1.29. \7\ Rule 1.32.