Commodity Futures Trading Commission April 2007 – Federal Register Recent Federal Regulation Documents

Registration of Intermediaries
Document Number: E7-8025
Type: Proposed Rule
Date: 2007-04-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend Commission Regulation 3.10 to require certain registered intermediaries, i.e., futures commission merchants (``FCMs''), introducing brokers (``IBs''), commodity pool operators (``CPOs''), commodity trading advisors (``CTAs'') and leverage transaction merchants (``LTMs''), to complete an online annual review of their registration information maintained with the National Futures Association (``NFA''). The proposed amendment (``Proposed Amendment'') would ensure that NFA will have accurate and current information about such registrants. The Commission's proposal (``Proposal'') also includes a technical and conforming amendment to Commission Regulation 3.33(f), which regulation is cross-referenced in the Proposed Amendment.
Sunshine Act Meetings
Document Number: 07-1958
Type: Notice
Date: 2007-04-19
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 07-1957
Type: Notice
Date: 2007-04-19
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 07-1956
Type: Notice
Date: 2007-04-19
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 07-1955
Type: Notice
Date: 2007-04-19
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Exemption from Registration for Certain Foreign Persons
Document Number: C7-1522
Type: Proposed Rule
Date: 2007-04-11
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Foreign Futures and Options Transactions
Document Number: C7-1521
Type: Rule
Date: 2007-04-10
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act
Document Number: C7-1476
Type: Proposed Rule
Date: 2007-04-05
Agency: Federal Deposit Insurance Corporation, Agencies and Commissions, Federal Reserve System, Federal Trade Commission, National Credit Union Administration, Securities and Exchange Commission, Office of the Comptroller of the Currency, Department of Treasury, Department of the Treasury, Office of Thrift Supervision, Commodity Futures Trading Commission
Corrections to Regional Office Information
Document Number: E7-6190
Type: Rule
Date: 2007-04-04
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'') is amending its regulations to delete references to the Minneapolis office, which was closed as of December 31, 2006, and to update the address of the Southwestern regional office.
Exemption From Registration for Certain Foreign Persons
Document Number: 07-1522
Type: Proposed Rule
Date: 2007-04-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'') is proposing to amend Commission Regulation 3.10 regarding the registration of firms located outside the U.S. that are engaged in commodity interest activities with respect to trading on U.S. designated contract markets (``DCMs'') and U.S. derivative transaction execution facilities (``DTEFs'').\1\ The amended regulation would codify past actions of the Commission or its staff permitting certain foreign firms that limit their customers to foreign customers to submit U.S. DCM and DTEF business on behalf of those customers for clearing on an omnibus basis through a registered futures commission merchant (``FCM''), without the foreign firm having to register as an FCM pursuant to section 4d of the Commodity Exchange Act (``Act'').