Commodity Futures Trading Commission January 21, 2009 – Federal Register Recent Federal Regulation Documents
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Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations
On January 31, 2007, the Commission adopted its first acceptable practices for Section 5(d)(15) (``Core Principle 15'') of the Commodity Exchange Act (``Act'').\1\ As with all other acceptable practices, those for Core Principle 15 are a safe harbor that designated contract markets (``DCMs'') can use to demonstrate core principle compliance. The acceptable practices contain four provisionsthree are ``operational provisions'' and one provides necessary definitions, including a definition of ``public director.'' All four provisions were published simultaneously in the Federal Register on February 14, 2007, and became effective on March 16, 2007.\2\ Existing DCMs were given a two-year phase-in period to implement the acceptable practices or otherwise demonstrate full compliance with Core Principle 15.
Notice of Additional Conditions on the No-Action Relief When Foreign Boards of Trade That Have Received Staff No-Action Relief To Permit Direct Access to Their Automated Trading Systems From Locations in the United States List for Trading From the U.S. Linked Futures and Option Contracts and a Revision of Commission Policy Regarding the Listing of Certain New Option Contracts
The Commodity Futures Trading Commission (Commission) is providing notice requiring foreign boards of trade that may receive Commission staff no-action relief permitting them to make their automated trading systems directly available from the U.S. to comply with additional conditions for the no-action relief to remain effective if they list for trading from the U.S. contracts that are linked to contracts traded on certain U.S.-based entities. Separately, the Commission is providing notice that it is revising its policy regarding the notification procedures applicable to listing an option on a futures contract that already is (or can be) listed for trading from the U.S.
Agency Information Collection Activities Under OMB Review
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].
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