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

Results 101 - 134 of 134
Sunshine Act Meetings
Document Number: E9-9702
Type: Notice
Date: 2009-04-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-9701
Type: Notice
Date: 2009-04-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-9700
Type: Notice
Date: 2009-04-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-9698
Type: Notice
Date: 2009-04-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Notice of Sunshine Act Meetings
Document Number: E9-9697
Type: Notice
Date: 2009-04-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-9696
Type: Notice
Date: 2009-04-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations
Document Number: E9-9508
Type: Rule
Date: 2009-04-27
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commission hereby adopts its final definition of ``public director'' for the acceptable practices to Section 5(d)(15) (``Core Principle 15'') of the Commodity Exchange Act (``CEA'' or ``Act'').\1\ In addition, the Commission is lifting the stay it had previously placed on these acceptable practices. All designated contract markets (``DCMs'') must demonstrate full compliance with Core Principle 15, via the acceptable practices or otherwise, within one year of this document's publication in the Federal Register. The acceptable practices and their procedural history are summarized below, as is the final definition of public director.
Order
Document Number: E9-8824
Type: Notice
Date: 2009-04-17
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Confidential Information and Commission Records and Information
Document Number: E9-8024
Type: Rule
Date: 2009-04-15
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission is adopting final rules to specify the exclusive procedures under which designated contract markets (DCMs), derivatives clearing organizations (DCOs) and derivatives transaction execution facilities (DTEFs) (collectively, ``regulated entities'') may request confidential treatment for products and rules submitted via certification procedures or for Commission review and approval under parts 40 and 41 of the Commission's regulations. The amendments also revise the Commission's part 145 regulations under the Freedom of Information Act by providing that the confidential treatment procedures specified in section 145.9 do not apply to information filed by regulated entities pursuant to parts 40 and 41.
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0043, Rules Relating To Review of National Futures Association Decisions in Disciplinary, Membership Denial, Registration, and Member Responsibility Actions
Document Number: E9-8017
Type: Notice
Date: 2009-04-09
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, including each proposed extension of an existing collection of information, and to allow 60 days for public comment in response to the notice. This notice solicits comments on rules relating to review of National Futures Association decisions in disciplinary, membership denial, registration, and member responsibility actions.
Establishment of Risk Management Advisory Committee
Document Number: E9-7939
Type: Notice
Date: 2009-04-08
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-7541
Type: Notice
Date: 2009-04-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-7540
Type: Notice
Date: 2009-04-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-7537
Type: Notice
Date: 2009-04-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-7534
Type: Notice
Date: 2009-04-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-7531
Type: Notice
Date: 2009-04-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Agricultural Advisory Committee; Thirteenth Renewal
Document Number: E9-7063
Type: Notice
Date: 2009-03-31
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Order (1) Pursuant to Section 4(c) of the Commodity Exchange Act, Permitting the Chicago Mercantile Exchange to Clear Certain Over-the-Counter Agricultural Swaps and (2) Pursuant to Section 4d of the Commodity Exchange Act, Permitting Customer Positions in Such Cleared-Only Contracts and Associated Funds To Be Commingled With Other Positions and Funds Held in Customer Segregated Accounts
Document Number: E9-6369
Type: Notice
Date: 2009-03-24
Agency: Commodity Futures Trading Commission, Agencies and Commissions
By petition dated April 21, 2008 (Petition), the Chicago Mercantile Exchange Inc. (CME), a registered derivatives clearing organization (DCO), and the Board of Trade of the City of Chicago, Inc. (CBOT), a designated contract market, requested permission to clear certain over-the counter (OTC) swap agreements (swaps) in corn, wheat, and soybeans. Authority for granting this request is found in Section 4(c) of the Commodity Exchange Act (Act).\1\ The Petition also requested permission pursuant to Section 4d of the Act \2\ to allow CME and futures commission merchants (FCMs) clearing through CME to commingle positions in those cleared-only OTC swaps (cleared-only contracts) and funds associated with those positions with positions and funds otherwise required to be held in a customer segregated account. The Commodity Futures Trading Commission (Commission) has reviewed public comments and the entire record in this matter and it has determined to issue an order granting the requested permission, subject to certain terms and conditions.
Concept Release on Whether To Eliminate the Bona Fide Hedge Exemption for Certain Swap Dealers and Create a New Limited Risk Management Exemption From Speculative Position Limits
Document Number: E9-6187
Type: Proposed Rule
Date: 2009-03-24
Agency: Commodity Futures Trading Commission, Agencies and Commissions
In June and July of 2008, the Commodity Futures Trading Commission (''Commission'') issued a special call for information from swap dealers and index traders regarding their over-the-counter (``OTC'') market activities. In September of 2008, the Commission released a ``Staff Report on Commodity Swap Dealers and Index Traders with Commission Recommendations'' (the ``September 2008 Report'') with several preliminary Commission recommendations. Recommendation five of the September 2008 Report directs the staff to develop an advance notice of proposed rulemaking that would review whether to eliminate the bona fide hedge exemption for swap dealers and replace it with a limited risk management exemption that is conditioned upon, among other things, an obligation to report to the CFTC and applicable self- regulatory organizations when certain noncommercial swap clients reach a certain position level and/or a certification that none of a swap dealer's noncommercial swap clients exceed specified position limits in related exchange-regulated commodities.\1\
Significant Price Discovery Contracts on Exempt Commercial Markets
Document Number: E9-6044
Type: Rule
Date: 2009-03-23
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is promulgating final rules to implement those provisions of the CFTC Reauthorization Act of 2008 (``Reauthorization Act'') \1\ relating to exempt commercial markets (``ECMs'') on which significant price discovery contracts (``SPDCs'') are traded or executed. In addition to promulgating regulations mandated by the Reauthorization Act, the Commission also is amending existing regulations applicable to registered entities in order to clarify that such regulations are now applicable to ECMs with SPDCs.
Federal Register Notice Requesting Nominations for the Subcommittee on Convergence in Agricultural Commodity Markets Under the Agricultural Advisory Committee
Document Number: E9-4952
Type: Notice
Date: 2009-03-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC or Commission) is calling for nominations to the Subcommittee on Convergence in Agricultural Commodity Markets (Subcommittee on Convergence or Subcommittee) under the auspices of the Agricultural Advisory Committee. The Subcommittee on Convergence was established to identify the causes of poor cash-futures convergence in select agricultural commodity markets and advise the Commission on actions to remedy the situation. Nominations are sought for highly qualified representatives from government agencies, industry, exchanges, and groups representing interests or organizations involved with or affected by the convergence issues. Individuals seeking to be nominated to the Subcommittee on Convergence should possess demonstrable expertise in a related field or represent a stakeholder of interest in the issue. Prospective nominees should be open to participating in an open public-private forum.
Agency Information Collection Activities Under OMB Review
Document Number: E9-4860
Type: Notice
Date: 2009-03-09
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.
Agency Information Collection Activities Under OMB Review
Document Number: E9-4859
Type: Notice
Date: 2009-03-09
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.
Electronic Filing of Disclosure Documents
Document Number: E9-4740
Type: Rule
Date: 2009-03-05
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission or CFTC) is amending its regulations applicable to the filing of Disclosure Documents by commodity pool operators (CPOs) and commodity trading advisors (CTAs) with the National Futures Association (NFA). In response to a petition from NFA, the CFTC is requiring that CPOs and CTAs be required to file their Disclosure Documents electronically with NFA (Amendments).
Commodity Pool Operator Periodic Account Statements and Annual Financial Reports
Document Number: E9-3840
Type: Proposed Rule
Date: 2009-02-24
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend 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 proposed amendments would: 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; and clarify and update several other requirements for periodic and annual reports prepared and distributed by CPOs.
Acknowledgment Letters for Customer Funds and Secured Amount Funds
Document Number: E9-3551
Type: Proposed Rule
Date: 2009-02-20
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend its regulations regarding the required content of the acknowledgment letter that a registrant must obtain from any depository holding its segregated customer funds or funds of foreign futures or foreign options customers, and certain technical changes.
Sunshine Act Meetings
Document Number: E9-2191
Type: Notice
Date: 2009-01-30
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-2190
Type: Notice
Date: 2009-01-30
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-2189
Type: Notice
Date: 2009-01-30
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-2188
Type: Notice
Date: 2009-01-30
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E9-2187
Type: Notice
Date: 2009-01-30
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations
Document Number: E9-891
Type: Proposed Rule
Date: 2009-01-21
Agency: Commodity Futures Trading Commission, Agencies and Commissions
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
Document Number: E9-1153
Type: Notice
Date: 2009-01-21
Agency: Commodity Futures Trading Commission, Agencies and Commissions
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
Document Number: E9-1146
Type: Notice
Date: 2009-01-21
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].
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