Commodity Futures Trading Commission 2009 – Federal Register Recent Federal Regulation Documents

Revised Adjusted Net Capital Requirements for Futures Commission Merchants and Introducing Brokers
Document Number: E9-31058
Type: Rule
Date: 2009-12-31
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'') is amending its regulations that prescribe minimum adjusted net capital requirements for futures commission merchants (``FCMs'') and introducing brokers (``IBs''). The amendments: increase the required minimum dollar amount of adjusted net capital that an IB must maintain from $30,000 to $45,000; increase the required minimum dollar amount of adjusted net capital that an FCM must maintain from $250,000 to $1,000,000; amend the computation of an FCM's margin-based minimum adjusted net capital requirement to incorporate into the calculation customer and noncustomer positions in over-the-counter derivative instruments that are submitted for clearing by the FCM to derivatives clearing organizations (``DCOs'') or other clearing organizations (``cleared OTC derivative positions''); specify capital deductions for FCM proprietary cleared OTC derivative positions based on the deductions required by the Commission's regulations for FCM proprietary positions in exchange-traded futures contracts and options contracts; and amend the FCM capital computation to increase the applicable percentage of the total margin-based requirement for futures, options and cleared OTC derivative positions in noncustomer accounts to eight percent.
Electronic Filing of Financial Reports and Notices
Document Number: E9-31032
Type: Rule
Date: 2009-12-30
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is amending certain of its regulations in connection with electronic filing of financial reports and related notices. The amendments broaden the language in the Commission's regulations applicable to electronic filings of financial reports to clarify that, to the extent a futures commission merchant (``FCM'') submits a Form 1- FR to the Commission electronically, it may do so using any user authentication procedures established or approved by the Commission. The amendments also permit registrants to electronically submit filings in addition to financial reports, including an election to use a non- calendar fiscal year, requests for extensions of time to file uncertified financial reports and ``early warning'' notices required under Commission regulations. In connection with the filing of financial reports, the amendments specify, consistent with other requirements and existing practice, that a statement of income and loss is included as a required part of the non-certified 1-FR filings for FCMs and introducing brokers (``IBs''). The amendments also require more immediate, but less prescriptive, documentation regarding a firm's capital condition when a firm falls below its required minimum adjusted net capital. Finally, the final regulations include several other minor amendments to correct certain outdated references and to make other clarifications to existing regulations.
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0017, Market Surveys
Document Number: E9-30893
Type: Notice
Date: 2009-12-30
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act of 1995 (PRA), 44 U.S.C. 3501 et seq., Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, and to allow 60 days for comment in response to the notice. This notice solicits comments on requirements relating to information collected to assist the Commission in the prevention of market manipulation.
Sunshine Act Meetings
Document Number: E9-30851
Type: Notice
Date: 2009-12-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-30850
Type: Notice
Date: 2009-12-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-30848
Type: Notice
Date: 2009-12-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-30845
Type: Notice
Date: 2009-12-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-30842
Type: Notice
Date: 2009-12-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-30840
Type: Notice
Date: 2009-12-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Operation, in the Ordinary Course, of a Commodity Broker in Bankruptcy
Document Number: E9-29730
Type: Proposed Rule
Date: 2009-12-16
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (the ``Commission'') proposes amending its regulations (17 CFR Chapter 1, hereinafter, the ``Regulations'') regarding the operation of a commodity broker in bankruptcy, in order to permit the trustee in such bankruptcy to operate, with the written permission of the Commission, the business of such commodity broker in the ordinary course, including the purchase or sale of new commodity contracts on behalf of the customers of such commodity broker under appropriate circumstances, as determined by the Commission.
Agency Information Collection Activities Under OMB Review
Document Number: E9-28846
Type: Notice
Date: 2009-12-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
In compliance with the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office of Management and Budget (OMB) for review and comment. The ICR describes the nature of the information collection and its expected costs and burden; it includes the actual data collection instruments [if any].
Sunshine Act Meetings
Document Number: E9-28843
Type: Notice
Date: 2009-12-01
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-28842
Type: Notice
Date: 2009-12-01
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-28841
Type: Notice
Date: 2009-12-01
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-28840
Type: Notice
Date: 2009-12-01
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Final Model Privacy Form Under the Gramm-Leach-Bliley Act
Document Number: E9-27882
Type: Rule
Date: 2009-12-01
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
The OCC, Board, FDIC, OTS, NCUA, FTC, CFTC, and SEC (the ``Agencies'') are publishing final amendments to their rules that implement the privacy provisions of Subtitle A of Title V of the Gramm- Leach-Bliley Act (``GLB Act''). These rules require financial institutions to provide initial and annual privacy notices to their customers. Pursuant to Section 728 of the Financial Services Regulatory Relief Act of 2006 (``Regulatory Relief Act'' or ``Act''), the Agencies are adopting a model privacy form that financial institutions may rely on as a safe harbor to provide disclosures under the privacy rules. In addition, the Agencies other than the SEC are eliminating the safe harbor permitted for notices based on the Sample Clauses currently contained in the privacy rules if the notice is provided after December 31, 2010. Similarly, the SEC is eliminating the guidance associated with the use of notices based on the Sample Clauses in its privacy rule if the notice is provided after December 31, 2010.
Joint Order To Exclude Indexes Composed of Certain Index Options From the Definition of Narrow-Based Security Index Pursuant to Section 1a(25)(B)(vi) of the Commodity Exchange Act and Section 3(a)(55)(C)(vi) of the Securities Exchange Act of 1934
Document Number: E9-28101
Type: Notice
Date: 2009-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions, Commodity Futures Trading Commission
The Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission (``SEC'') (collectively, ``Commissions'') by joint order under the Commodity Exchange Act (``CEA'') and the Securities Exchange Act of 1934 (``Exchange Act'') are excluding certain security indexes from the definition of ``narrow- based security index.'' Specifically, the Commissions are excluding from the definition of the term ``narrow-based security index'' certain volatility indexes composed of series of index options on broad-based security indexes.
Request for Comment on a Petition To Exempt Certain Over-the-Counter Agricultural Swaps From Certain of the Requirements Imposed by Commission Regulation 35.2, Pursuant to Section 4(c) of the Commodity Exchange Act
Document Number: E9-27287
Type: Notice
Date: 2009-11-13
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission) is requesting comment on whether to exempt certain over-the-counter (OTC) swaps from certain of the requirements otherwise imposed by Commission Regulation 35.2. Specifically, the Kansas City Board of Trade (KCBT), a designated contract market, and the Kansas City Board of Trade Clearing Corporation (KCBTCC), a registered derivatives clearing organization (DCO), have petitioned for an exemption permitting them to list for clearing and to clear, respectively, wheat calendar swaps. Authority for granting such an exemption is found in Section 4(c) of the Commodity Exchange Act (CEA).
Notice of Intent To Undertake a Determination Whether Various SP-15 Financial Day-Ahead Contracts Offered for Trading on the IntercontinentalExchange, Inc. Perform a Significant Price Discovery Function
Document Number: E9-27162
Type: Notice
Date: 2009-11-12
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'') is reopening the comment period for interest persons to comment on the Commission's October 6, 2009 Notice of Intent to consider whether the following contracts offered for trading on the IntercontinentalExchange, Inc. perform a significant price discovery function: SP-15 Financial Day-Ahead LMP Peak Contract; SP-15 Financial Day-Ahead LMP Peak Daily Contract; SP-15 Financial Day-Ahead LMP Off- Peak Daily Contract; SP-15 Financial Swap Real Time LMPPeak Daily Contract; SP-15 Financial Day-Ahead LMP Off-Peak Contract; NP-15 Financial Day-Ahead LMP Peak Daily Contract; and NP-15 Financial Day- Ahead LMP Off-Peak Daily Contract.
Notice of Intent To Undertake a Determination Whether the Mid-C Financial Peak Contract; Mid-C Financial Peak Daily Contract; Mid-C Financial Off-Peak Contract; and Mid-C Financial Off-Peak Daily Contract, Offered for Trading on the IntercontinentalExchange, Inc., Perform a Significant Price Discovery Function
Document Number: E9-27160
Type: Notice
Date: 2009-11-12
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'') is reopening the comment period for interested parties to comment on the Commission's Notice of Intent to consider whether the Mid-C Financial Peak Contract, Mid-C Financial Peak Daily Contract, Mid-C Financial Off-Peak Contract, and Mid-C Financial Off-Peak Daily Contract offered for trading on the IntercontinentalExchange, Inc. (``ICE'') perform a significant price discovery function.
Commodity Pool Operator Periodic Account Statements and Annual Financial Reports
Document Number: E9-26789
Type: Rule
Date: 2009-11-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is amending its regulations governing the periodic account statements that commodity pool operators (``CPOs'') are required to provide to commodity pool participants and the annual financial reports that CPOs are required to provide to commodity pool participants and file with the National Futures Association (``NFA''). The amendments: specify detailed information that must be included in the periodic account statements and annual reports for commodity pools with more than one series or class of ownership interest; clarify that the periodic account statements must disclose either the net asset value per outstanding participation unit in the pool, or the total value of a participant's interest or share in the pool; extend the time period for filing and distributing annual reports of commodity pools that invest in other funds; codify existing Commission staff interpretations regarding the proper accounting treatment and financial statement presentation of certain income and expense items in the periodic account statements and annual reports; streamline annual reporting requirements for pools ceasing operation; establish conditions for use of International Financial Reporting Standards (``IFRS'') in lieu of U.S. Generally Accepted Accounting Principles (``U.S. GAAP'') and a notice procedure for CPOs to claim such relief; and clarify and update several other requirements for periodic and annual reports prepared and distributed by CPOs.
Global Markets Advisory Committee Meeting
Document Number: E9-26785
Type: Notice
Date: 2009-11-06
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting Notice
Document Number: E9-26333
Type: Notice
Date: 2009-10-30
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting Notice
Document Number: E9-26331
Type: Notice
Date: 2009-10-30
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Meetings; Sunshine Act
Document Number: E9-26330
Type: Notice
Date: 2009-10-30
Agency: Commodity Futures Trading, Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-26329
Type: Notice
Date: 2009-10-30
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Meetings; Sunshine Act
Document Number: E9-26326
Type: Notice
Date: 2009-10-30
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the PJM WH Real Time Peak Daily Contract; PJM WH Real Time Peak Contract; PJM WH Real Time Off-Peak Contract; PJM WH Day Ahead LMP Peak Daily Contract; and PJM WH Real Time Off-Peak Daily Contract, Offered for Trading on the IntercontinentalExchange, Inc., Perform Significant Price Discovery Functions
Document Number: E9-25238
Type: Notice
Date: 2009-10-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the PJM \1\ WH \2\ Real Time Peak Daily (``PDP'') contract; PJM WH Real Time Peak (``PJM'') contract; PJM WH Real Time Off-Peak (``OPJ'') contract; PJM WH Day Ahead LMP \3\ Peak Daily (``PDA'') contract; and PJM WH Real Time Off-Peak Daily (``ODP'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), perform significant price discovery functions. Authority for this action is found in Section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the NWP Rockies Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
Document Number: E9-25239
Type: Notice
Date: 2009-10-22
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the NWP \1\ Rockies Financial Basis (``NWR'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Socal Border Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
Document Number: E9-25192
Type: Notice
Date: 2009-10-20
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Socal Border Financial Basis (``SCL'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the (1) Phys, BS, LD1 (US/MM), AB-NIT Contract, et al., Offered for Trading on the Natural Gas Exchange, Inc., Perform Significant Price Discovery Functions
Document Number: E9-25183
Type: Notice
Date: 2009-10-20
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the (1) Phys,\1\ BS,\2\ LD1 \3\ (US/MM), AB-NIT \4\ (``Alberta Basis''); (2) Phys, BS, LD1 (US/ MM), Union-Dawn \5\ (``Union-Dawn Basis''); (3) Phys, FP,\6\ (CA/ GJ),\7\ AB-NIT (``Alberta Fixed-Price''); (4) Phys, FP, (US/MM), Union- Dawn (``Union-Dawn Fixed-Price''); and (5) Phys, ID,\8\ 7a \9\ (CA/GJ), AB-NIT (``Alberta Index'') contracts, offered for trading on the Natural Gas Exchange, Inc. (``NGX''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), perform significant price discovery functions. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Fuel Oil-180 Singapore Swap Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
Document Number: E9-25181
Type: Notice
Date: 2009-10-20
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Fuel Oil180 Singapore Swap (``SZS'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), perform a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Henry Financial Swing Contract; Henry Financial Basis Contract; and Henry Financial Index Contract, Offered for Trading on the IntercontinentalExchange, Inc., Perform Significant Price Discovery Functions
Document Number: E9-25174
Type: Notice
Date: 2009-10-20
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Henry Financial Swing (``HHD'') contract; Henry Financial Basis (``HEN'') contract; and/or Henry Financial Index (``HIS'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), perform significant price discovery functions. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice; Agricultural Advisory Committee Meeting
Document Number: E9-24728
Type: Notice
Date: 2009-10-15
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Electronic Filing of Financial Reports and Notices
Document Number: E9-24480
Type: Proposed Rule
Date: 2009-10-13
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend certain of its regulations in connection with electronic filing of financial reports and other notices (``Proposal''). The Proposal would broaden the language in the Commission's regulations applicable to electronic filings of financial reports to clarify that, to the extent a futures commission merchant (``FCM'') submits a Form 1-FR to the Commission electronically, it may do so using any user authentication procedures established or approved by the Commission. The Proposal also would permit registrants to electronically submit filings in addition to financial reports, including an election to use a non-calendar fiscal year, requests for extensions of time to file uncertified financial reports and ``early warning'' notices required under Commission regulations. In connection with the filing of financial reports, the Commission also is proposing to specify, consistent with other requirements and existing practice, that a statement of income and loss is included as a required part of the non-certified 1-FR filings for FCMs and introducing brokers (``IBs''). The Commission also is proposing to require more immediate, but less prescriptive, documentation regarding a firm's capital condition when a firm falls below its required minimum adjusted net capital. Finally, the Commission is proposing several other minor amendments to correct certain outdated references and to make other clarifications to existing regulations.
Sunshine Act Meetings
Document Number: E9-24560
Type: Notice
Date: 2009-10-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the PG&E Citygate Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
Document Number: E9-24390
Type: Notice
Date: 2009-10-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the PG&E Citygate Financial Basis (``PGE'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), to Undertake a Determination Whether the HSC Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
Document Number: E9-24388
Type: Notice
Date: 2009-10-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the HSC \1\ Financial Basis (``HSC'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), perform a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the NGPL TXOK Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
Document Number: E9-24386
Type: Notice
Date: 2009-10-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the NGPL \1\ TxOk \2\ Financial Basis (``NTO'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Waha Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
Document Number: E9-24385
Type: Notice
Date: 2009-10-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Waha Financial Basis contract (``WAH''), offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Malin Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
Document Number: E9-24384
Type: Notice
Date: 2009-10-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Malin Financial Basis (``MLN'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Permian Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
Document Number: E9-24383
Type: Notice
Date: 2009-10-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Permian Financial Basis (``PER'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Dominion-South Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
Document Number: E9-24382
Type: Notice
Date: 2009-10-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Dominion-South Financial Basis contract (``DOM''), offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the AECO Financial Basis Contract, Offered for Trading on the Intercontinental Exchange, Inc., Performs a Significant Price Discovery Function
Document Number: E9-24381
Type: Notice
Date: 2009-10-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the AECO Financial Basis (``AEC'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), to Undertake a Determination Whether the San Juan Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
Document Number: E9-24380
Type: Notice
Date: 2009-10-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the San Juan Financial Basis (``SNJ'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Chicago Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
Document Number: E9-24379
Type: Notice
Date: 2009-10-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Chicago Financial Basis (``DGD'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the TETCO-M3 Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
Document Number: E9-24378
Type: Notice
Date: 2009-10-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the TETCO- M3 Financial Basis (``TMT'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the TCO Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
Document Number: E9-24377
Type: Notice
Date: 2009-10-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the TCO Financial Basis (``TCO'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Zone 6-NY Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
Document Number: E9-24376
Type: Notice
Date: 2009-10-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Zone 6-NY Financial Basis (``TZS'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.