Commodity Futures Trading Commission June 2012 – Federal Register Recent Federal Regulation Documents
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Reestablishment of the Agricultural Advisory Committee
The Commodity Futures Trading Commission has determined to reestablish the charter of its Agricultural Advisory Committee.
Rules Prohibiting the Aggregation of Orders To Satisfy Minimum Block Sizes or Cap Size Requirements, and Establishing Eligibility Requirements for Parties to Block Trades
The Commodity Futures Trading Commission (``Commission'') is issuing a notice of proposed rulemaking to add certain provisions to part 43 of the Commission's regulations pertaining to block trades in swap contracts. The provisions would: (i) Prohibit the aggregation of orders for different trading accounts in order to satisfy the minimum block size or cap size requirements, except for orders aggregated by certain commodity trading advisors (``CTAs''), investment advisers and foreign persons (as described in this release), if such person has more than $25,000,000 in total assets under management (``AUM''); (ii) provide that parties to a block trade must individually qualify as eligible contract participants (``ECPs''), except where a designated contract market allows certain CTAs, investment advisers and foreign persons (as described in this release), to transact block trades for customers who are not ECPs, if such CTA, investment adviser or foreign person has more than $25,000,000 in total AUM; and (iii) require that persons transacting block trades on behalf of customers must receive prior written instruction or consent from the customer to do so.
Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management; Core Principles and Other Requirements for Designated Contract Markets; Correction
This document corrects incorrect text published in the Federal Register of April 9, 2012, and June 19, 2012, regarding Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management, and Core Principles and Other Requirements for Designated Contract Markets.
Core Principles and Other Requirements for Designated Contract Markets
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting new and amended rules, guidance, and acceptable practices to implement certain statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''). The final rules, guidance and acceptable practices, which apply to the designation and operation of contract markets, implement the Dodd-Frank Act's new statutory framework that, among other things, amends section 5 of the Commodity Exchange Act (``the Act'' or ``CEA'') concerning designation and operation of contract markets, and adds a new CEA section 2(h)(8) to mandate the listing, trading and execution of certain swaps on designated contract markets (``DCMs'').
Renewal of the Global Markets Advisory Committee
The Commodity Futures Trading Commission has determined to renew the charter of its Global Markets Advisory Committee.
Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants
The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations that would make clear that each swap dealer (SD), major swap participant (MSP), and other Commission registrant with whom an associated person (AP) is associated is required to supervise the AP and is jointly and severally responsible for the activities of the AP with respect to customers common to it and any other SD, MSP or other Commission registrant (Proposal).
Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting rules to further implement the Commodity Exchange Act (``CEA'' or ``Act'') with respect to the new statutory framework regarding swap data recordkeeping and reporting established by the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''). The Dodd-Frank Act, which amended the CEA, directs that rules adopted by the Commission shall provide for the reporting of data relating to swaps entered into before the date of enactment of the Dodd-Frank Act, the terms of which have not expired as of the date of enactment of the Dodd-Frank Act (``pre-enactment swaps'') and data relating to swaps entered into on or after the date of enactment of the Dodd-Frank Act and prior to the compliance date specified in the Commission's final swap data reporting rules (``transition swaps''). These final rules establish swap data recordkeeping and reporting requirements for pre-enactment swaps and transition swaps.
Meeting of Technology Advisory Committee
The CFTC announces that on Wednesday, June 20, 2012, the CFTC's Technology Advisory Committee (``TAC'') will hold a public meeting at the CFTC's Washington, DC headquarters, from 10:00 a.m. to 5:00 p.m. The TAC will focus on updates from the TAC Subcommittee on Automated and High Frequency Trading (HFT), HFT strategies, and liquidity aggregation across designated contract markets (DCMs) and swap execution facilities (SEFs).
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