Commodity Futures Trading Commission October 2010 – Federal Register Recent Federal Regulation Documents

Sunshine Act Meetings
Document Number: 2010-27473
Type: Notice
Date: 2010-10-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
Document Number: 2010-27315
Type: Notice
Date: 2010-10-28
Agency: Securities and Exchange Commission, Agencies and Commissions, Commodity Futures Trading Commission
The Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues will hold a public meeting on November 5, 2010, from 9 a.m. to 12 p.m., at the CFTC's Washington, DC headquarters. At the meeting, the committee will: (1) Receive a summary and recap from the staffs of the SEC and CFTC on the report issued September 30, 2010; (2) Hear a report from the subcommittee on cross-market linkages; (3) Hear a report from the subcommittee on pre-trade risk management; and (4) Discuss potential recommendations and responses.
Sunshine Act Meetings
Document Number: 2010-27329
Type: Notice
Date: 2010-10-27
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2010-27327
Type: Notice
Date: 2010-10-27
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2010-27326
Type: Notice
Date: 2010-10-27
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2010-27324
Type: Notice
Date: 2010-10-27
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Privacy of Consumer Financial Information; Conforming Amendments Under Dodd-Frank Act
Document Number: 2010-26912
Type: Proposed Rule
Date: 2010-10-27
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend its rules under part 160 of its Regulations to implement new statutory provisions enacted by Titles VII and X of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''). Section 1093 of the Dodd-Frank Act provides for certain amendments to Title V of the Gramm-Leach-Bliley Act (``GLB Act'')which sets forth certain protections for the privacy of consumer financial informationaffirming the Commission's jurisdiction in this area. This proposal broadens the scope of Part 160 to cover two new entities created by Title VII of the Dodd-Frank Act: Swap dealers and major swap participants. In addition, the Commission proposes to rename Part 160 as ``Privacy of Consumer Financial Information under the Gramm-Leach-Bliley Act'' to harmonize the title of this part with other parts of the Commission's Regulations.
Business Affiliate Marketing and Disposal of Consumer Information Rules
Document Number: 2010-26893
Type: Proposed Rule
Date: 2010-10-27
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing regulations to implement new statutory provisions enacted by Title X of the ``Dodd-Frank Wall Street Reform and Consumer Protection Act'' (``Dodd-Frank Act''). These proposed regulations apply to futures commission merchants, retail foreign exchange dealers, commodity trading advisors, commodity pool operators, introducing brokers, swap dealers and major swap participants (collectively, ``CFTC registrants''). The Dodd-Frank Act provides the CFTC with authority to implement regulations under sections 624 and 628 of the Fair Credit Reporting Act (``FCRA''). The proposed regulations implementing section 624 of the FCRA require CFTC registrants to provide consumers with the opportunity to prohibit affiliates from using certain information to make marketing solicitations to consumers. The proposed regulations implementing section 628 of the FCRA require CFTC registrants that possess or maintain consumer report information in connection with their business activities to develop and implement a written program for the proper disposal of such information.
Agricultural Commodity Definition
Document Number: 2010-26951
Type: Proposed Rule
Date: 2010-10-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is charged with proposing rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''). The Dodd-Frank Act, which amends the Commodity Exchange Act (``CEA'' or ``Act''), includes provisions applicable to ``a swap in an agricultural commodity (as defined by the [CFTC]).'' Neither Congress nor the CFTC has previously promulgated a definition of that term for purposes of the CEA or CFTC regulations. This notice reviews the statutory and regulatory history of the term ``agricultural commodity'' in the context of the CEA and Commission regulations and proposes a definition of that term for purposes of the CEA and Commission regulations.
Joint Public Roundtable on Issues Related to the Clearing of Credit Default Swaps
Document Number: 2010-26430
Type: Notice
Date: 2010-10-20
Agency: Securities and Exchange Commission, Agencies and Commissions, Commodity Futures Trading Commission
On October 22, 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 certain issues related to the clearing of Credit Default Swaps in the context of the Agencies rulemaking efforts pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Act''). 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. US Toll-Free: (866) 844-9416. International Toll: 1-203-369-5026. Passcode: 8693978. A transcript of the public roundtable discussion will be published on the CFTC's Web site at https://www.cftc.gov/LawRegulation/ DoddFrankAct/OTC_7_DCORules.html. The roundtable discussion will take place in Lobby Level Hearing Room (Room 1000) at the CFTC's headquarters at Three Lafayette Centre, 1155 21st Street, NW., Washington, DC.
Public Roundtable on Individual Customer Collateral Protection
Document Number: 2010-26397
Type: Notice
Date: 2010-10-20
Agency: Commodity Futures Trading Commission, Agencies and Commissions
On October 22, 2010, commencing at 1 p.m. and ending at 4 p.m., staff of the CFTC will hold a public roundtable discussion at which invited participants will discuss certain issues related to individual customer collateral protection in the context of the CFTC's rulemaking efforts pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Act''). The roundtable will focus on protection of customer assets used as collateral in the cleared swap market under section 724(a) of the Act including the appropriate treatment of customer collateral by clearinghouses in the event of a default by a futures commission merchant. 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. US Toll-Free: (866) 844-9416. International Toll: 1-203-369-5026. Passcode: 8693978. A transcript of the public roundtable discussion will be published on the CFTC's Web site at https://www.cftc.gov/LawRegulation/ DoddFrankAct/OTC_6_SegBankruptcy.html. The roundtable discussion will take place in Lobby Level Hearing Room (Room 1000) at the CFTC's headquarters at Three Lafayette Centre, 1155 21st Street, NW., Washington, DC.
Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities Regarding the Mitigation of Conflicts of Interest
Document Number: 2010-26220
Type: Proposed Rule
Date: 2010-10-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (the ``Commission'') hereby proposes rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Dodd-Frank Act''). Specifically, the proposed rules contained herein impose new requirements on derivatives clearing organizations (``DCOs''), designated contract markets (``DCMs''), and swap execution facilities (``SEFs'') with respect to mitigation of conflicts of interest.
Sunshine Act Meetings
Document Number: 2010-25582
Type: Notice
Date: 2010-10-14
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Interim Final Rule for Reporting Pre-Enactment Swap Transactions
Document Number: 2010-25325
Type: Rule
Date: 2010-10-14
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is publishing for comment an interim final rule to implement new statutory provisions introduced by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''). Section 729 of the Dodd-Frank Act requires the CFTC to adopt, within 90 days of enactment of the Dodd-Frank Act, an interim final rule for the reporting of swap transactions entered into before July 21, 2010 whose terms had not expired as of that date (``pre-enactment unexpired swaps''). Pursuant to this mandate, the CFTC is today adopting an interim final rule requiring specified counterparties to pre-enactment unexpired swap transactions to report certain information related to such transactions to a registered swap data repository (``SDR'') \1\ or to the Commission by the compliance date to be established in reporting rules required under Section2(h)(5) of the CEA, or within 60 days after an SDR becomes registered under Section 21 of the CEA, whichever occurs first. An interpretive note to the rule advises that counterparties that may be required to report to an SDR or the CFTC will need to preserve information pertaining to the terms of such swaps.
Financial Resources Requirements for Derivatives Clearing Organizations
Document Number: 2010-25322
Type: Proposed Rule
Date: 2010-10-14
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission or CFTC) is proposing rules to implement new statutory provisions enacted by Title VII and Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). The proposed regulations establish financial resources requirements for derivatives clearing organizations (DCOs) for the purpose of ensuring that they maintain sufficient financial resources to enable them to perform their functions in compliance with the Commodity Exchange Act and the Dodd- Frank Act.
Agency Information Collection Activities: Proposed Collection; Comment Request: Proposed Collection; Comment Request: Rules Pertaining to Contract Markets and Their Members
Document Number: 2010-25042
Type: Notice
Date: 2010-10-06
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 CFTC is planning to submit the following proposed Information Collection Request (ICR) to the Office of Management and Budget (OMB): Rules Pertaining to Contract Markets and Their Members; [OMB Control Number 3038-0022]. Before submitting the ICR to OMB for review and approval, the CFTC is soliciting comments on specific aspects of the proposed information collection as described below.
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