Commodity Futures Trading Commission October 2012 – Federal Register Recent Federal Regulation Documents
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Financial Education Content Needs Survey
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is announcing an opportunity for public comment on a proposed collection of information by the agency. Under the Paperwork Reduction Act (``PRA''), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information and to allow 60 days for public comment. The Commission's Office of Consumer Outreach would like to distribute a survey designed to collect data from employees at organizations that provide financial education information to their constituents. The information collected will assist the CFTC's Office of Consumer Outreach in determining how to provide its financial education content to these employees and organizations. This notice solicits comments on the reporting requirements that are part of the proposed survey.
Meeting of Global Markets Advisory Committee
The CFTC announces a meeting of its Global Markets Advisory Committee (``GMAC'').
Swap Data Repositories: Interpretative Statement Regarding the Confidentiality and Indemnification Provisions of the Commodity Exchange Act
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is issuing this interpretative statement (``Statement'') to provide guidance regarding the applicability of the confidentiality and indemnification provisions set forth in new section 21(d) of the Commodity Exchange Act (``CEA'') added by section 728 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''). This Statement clarifies that the provisions of CEA section 21(d) should not operate to inhibit or prevent foreign regulatory authorities from accessing data in which they have an independent and sufficient regulatory interest, even if that data also has been reported pursuant to the CEA and Commission regulations.
Adjustment of Civil Monetary Penalties for Inflation
The Commodity Futures Trading Commission (Commission) is amending its rule that governs the maximum amount of civil monetary penalties, to adjust for inflation. This rule sets forth the maximum, inflation-adjusted dollar amount for civil monetary penalties (CMPs) assessable for violations of the Commodity Exchange Act (CEA) and Commission rules, regulations and orders thereunder. The rule, as amended, implements the Federal Civil Penalties Inflation Adjustment Act of 1990, as amended by the Debt Collection Improvement Act of 1996.
Meeting of Technology Advisory Committee
The CFTC announces that on Tuesday, October 30, 2012, its Technology Advisory Committee (TAC) will hold a public meeting in Chicago at the Hilton Chicago, 720 South Michigan Ave., Chicago, Illinois, 60605, from 9:00 a.m. to 5:00 p.m. The TAC will have presentations on the definition for High Frequency Trading (HFT) from its Subcommittee on Automated and High Frequency Trading, and presentations on technology solutions for both protecting customer funds, and solutions related to futures commission merchant (FCM) and designated contract market (DCM) risk management.
Acceptance of Public Submissions Regarding the Study of Stable Value Contracts
The Commodity Futures Trading Commission (the ``CFTC'') and the Securities and Exchange Commission (the ``SEC'' and, together with the CFTC, the ``Commissions'') are reopening the comment period for a study to determine whether stable value contracts (``SVCs'') fall within the definition of a swap. The study is required by Section 719(d) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Dodd-Frank Act''). The original comment period for the study closed on September 26, 2011. The Commissions did not complete the study pending adoption of final rules further defining the terms ``swap'' and ``security-based swap.'' The Commissions are considering the study in light of the recent adoption of these final rules. Accordingly, the Commissions are reopening for 30 days the time period in which to provide the Commissions with comments.
Agency Information Collection Activities Under OMB Review
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 (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 collections of information provided for by the Disclosure and Retention of Certain Information Related to Cleared Swaps, Customer Collateral.
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