Commodity Futures Trading Commission August 2010 – Federal Register Recent Federal Regulation Documents
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Agency Information Collection Activities Under OMB Review: Notice of Intent To Renew Collection 3038-0054, Establishing Procedures To Implement the Notification Requirements for Entities Operating as Exempt Markets
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.
Acceptance of Public Submissions on the Wall Street Reform and Consumer Protection Act and the Rulemakings That Will Be Proposed by the Commission
The Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'') was enacted on July 21, 2010. The Dodd-Frank Act, among other things, will bring comprehensive regulation to the over- the-counter (``OTC'') derivatives marketplace for the first time. The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') will be implementing the Dodd-Frank Act by adopting rules to regulate the OTC derivatives market. The Commission welcomes the views of interested parties on the Dodd-Frank Act and the rulemakings that it will implement thereunder. The views of interested parties may be considered in the pre-proposal process but will not be treated as official comments on specific proposed rulemakings. As discussed in this notice, the Commission has made electronic mailboxes available for any submissions interested parties wish to make. Interested parties are advised that all submissions will be published on the Commission's Web site without review and without removal of the submitter's identifying information.
Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act
The Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Dodd-Frank Act''), provides for the comprehensive regulation of swaps and security-based swaps. Title VII of the Dodd-Frank Act (``Title VII''), provides that the Securities and Exchange Commission (``SEC'') and the Commodity Futures Trading Commission (``CFTC'') (collectively, ``the Commissions''), in consultation with the Board of Governors of the Federal Reserve System, shall jointly further define certain key terms (specifically, ``swap'', ``security-based swap'', ``swap dealer'', ``security-based swap dealer'', ``major swap participant'', ``major security-based swap participant'', ``eligible contract participant'', and ``security-based swap agreement''), and shall jointly prescribe regulations regarding ``mixed swaps,'' as that term is used in Title VII of the Dodd-Frank Act. To assist the SEC and CFTC in further defining such terms, the Commissions are issuing this Notice and request for public comment.
Joint Public Roundtable on Governance and Conflicts of Interest in the Clearing and Listing of Swaps and Security-Based Swaps
On August 20, 2010, commencing at 9 a.m. and ending at 12 p.m., staff of the Agencies will hold a public roundtable discussion at which invited participants will discuss governance and conflicts of interest in the context of certain authority that Sections 726 and 765 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Act'') granted to the Agencies respectively. The discussion will be open to the public with seating on a first-come, first-served basis. Members of the public may also listen by telephone. Call-in participants should be prepared to provide their first name, last name, and affiliation. The information for the conference call is set forth below.
Federal Speculative Position Limits for Referenced Energy Contracts and Associated Regulations
On January 26, 2010, the Commodity Futures Trading Commission (``CFTC'' or ``Commission'') proposed to implement position limits for futures and option contracts based on a limited set of exempt commodities,\1\ namely certain energy commodities (``Federal Speculative Position Limits for Referenced Energy Contracts and Associated Regulations,'' for ease of reference, herein referred to as the ``Energy Proposal'').\2\ In accord with the significant amendments introduced to the Commodity Exchange Act of 1936 (``Act'' or ``CEA'') by the recent enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''),\3\ the Commission is withdrawing its Energy Proposal as it plans to issue a notice of rulemaking proposing position limits for regulated exempt commodity contracts, including energy commodity contracts, as directed by the Act.
Acknowledgment Letters for Customer Funds and Secured Amount Funds; Correction
This document corrects a heading in the notice of proposed rulemaking published in the Federal Register of August 9, 2010, regarding Acknowledgment Letters for Customer Funds and Secured Amount Funds.
Acknowledgment Letters for Customer Funds and Secured Amount Funds
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.
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