Commodity Futures Trading Commission April 2013 – Federal Register Recent Federal Regulation Documents

Meeting of Technology Advisory Committee
Document Number: 2013-09980
Type: Notice
Date: 2013-04-29
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) announces a public meeting of the CFTC Technology Advisory Committee (TAC) on Tuesday, April 30, 2013, at the CFTC's Washington, DC, headquarters from 10:00 a.m. to 4:00 p.m. The TAC will focus on issues related to swap data reporting, and will also receive updates on the industry-led technology effort to improve customer protections, as well as new requirements imposed by the Commission's regulations.
Sunshine Act Meetings
Document Number: 2013-09851
Type: Notice
Date: 2013-04-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2013-09850
Type: Notice
Date: 2013-04-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2013-09849
Type: Notice
Date: 2013-04-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2013-09848
Type: Notice
Date: 2013-04-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2013-09847
Type: Notice
Date: 2013-04-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Identity Theft Red Flags Rules
Document Number: 2013-08830
Type: Rule
Date: 2013-04-19
Agency: Commodity Futures Trading Commission, Agencies and Commissions, Securities and Exchange Commission
The Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission (``SEC'') (together, the ``Commissions'') are jointly issuing final rules and guidelines to require certain regulated entities to establish programs to address risks of identity theft. These rules and guidelines implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which amended the Fair Credit Reporting Act and directed the Commissions to adopt rules requiring entities that are subject to the Commissions' respective enforcement authorities to address identity theft. First, the rules require financial institutions and creditors to develop and implement a written identity theft prevention program designed to detect, prevent, and mitigate identity theft in connection with certain existing accounts or the opening of new accounts. The rules include guidelines to assist entities in the formulation and maintenance of programs that would satisfy the requirements of the rules. Second, the rules establish special requirements for any credit and debit card issuers that are subject to the Commissions' respective enforcement authorities, to assess the validity of notifications of changes of address under certain circumstances.
Reassignment of Commission Staff Responsibilities and Delegations of Authority
Document Number: 2013-08353
Type: Rule
Date: 2013-04-16
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commission is amending its regulations to reflect the reassignment of responsibilities, including delegations of authority, resulting from its recent reorganization of Commission staff. Effective October 9, 2011, the Commission abolished the Division of Clearing and Intermediary Oversight and reassigned its staff and responsibilities to the newly established Division of Swap Dealer and Intermediary Oversight and Division of Clearing and Risk.
Public Availability of Fiscal Year 2012 Service Contract Inventory
Document Number: 2013-08558
Type: Notice
Date: 2013-04-12
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) is publishing this notice to advise the public of the availability of CFTC's Fiscal Year (FY) 2012 Service Contract Inventory.
Delegation of Authority To Disclose Confidential Information to a Contract Market, Registered Futures Association or Self-Regulatory Organization
Document Number: 2013-08440
Type: Rule
Date: 2013-04-11
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commission is revising its regulations to add to its delegation of authority to staff respecting the disclosure of information to self-regulatory organizations newly established in the Wall Street Reform and Consumer Protection Act (the ``Dodd-Frank Act'') and not previously enumerated in the relevant regulations.
Clearing Exemption for Swaps Between Certain Affiliated Entities
Document Number: 2013-07970
Type: Rule
Date: 2013-04-11
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to exempt swaps between certain affiliated entities within a corporate group from the clearing requirement under the Commodity Exchange Act (CEA or Act), enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). The regulations include specific conditions, as well as reporting requirements, that affiliated entities must satisfy in order to elect the inter-affiliate exemption from required clearing.
Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants; Correction
Document Number: 2013-08197
Type: Rule
Date: 2013-04-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) is correcting a final rule published in the Federal Register of September 11, 2012 (77 FR 55904). That rule, 17 CFR 23.505, took effect on November 13, 2012. Subsequently, the CFTC published final rules in the Federal Register of December 13, 2012 (77 FR 74284), that re-codified the Commission regulation at 17 CFR 39.6 as a new Commission regulation at 17 CFR 50.50. This correction amends cross-references in 17 CFR 23.505 to conform them with the final rules published on December 13, 2012.
Adaptation of Regulations to Incorporate Swaps-Records of Transactions; Correction
Document Number: 2013-07797
Type: Rule
Date: 2013-04-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
This document corrects a compliance date stated in the preamble to a notice of final rulemaking published in the Federal Register of December 21, 2012 (77 FR 75523), regarding Adaptation of Regulations to Incorporate SwapsRecords of Transactions.
Agency Information Collection Activities Under OMB Review
Document Number: 2013-08123
Type: Notice
Date: 2013-04-08
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Office of Consumer Outreach (OCO), Commodity Futures Trading Commission (CFTC), invites public comment on its proposed Information Collection Request (ICR), in compliance with the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), for the Generic Clearance for the Collection of Qualitative Feedback on Agency Service Delivery. The ICR has been submitted to the Office of Management and Budget (OMB) for approval, and describes the nature of the information collection and its expected costs and burden.
Agency Information Collection Activities; Notice of Intent to Renew Collection: Market Surveys
Document Number: 2013-08084
Type: Notice
Date: 2013-04-08
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 requirements relating to information collected to assist the Commission in the prevention of market manipulation.
Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants
Document Number: 2013-07755
Type: Rule
Date: 2013-04-08
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to 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.
Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees
Document Number: 2013-07538
Type: Proposed Rule
Date: 2013-04-08
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission or CFTC) is proposing to amend its regulations (Proposal) to clarify certain responsibilities of a swap dealer (SD) or major swap participant (MSP) regarding its employees who solicit, accept or effect swaps in a clerical or ministerial capacity.
Final Order in Response to a Petition From Certain Independent System Operators and Regional Transmission Organizations To Exempt Specified Transactions Authorized by a Tariff or Protocol Approved by the Federal Energy Regulatory Commission or the Public Utility Commission of Texas From Certain Provisions of the Commodity Exchange Act Pursuant to the Authority Provided in the Act
Document Number: 2013-07634
Type: Notice
Date: 2013-04-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is issuing a final order (``Final Order'') in response to a consolidated petition (``Petition'') \1\ from certain regional transmission organizations (``RTOs'') and independent system operators (``ISOs'') (collectively, ``Requesting Parties'') to exempt specified transactions (``Covered Transactions'') from the provisions of the Commodity Exchange Act (``CEA'' or ``Act''),\2\ and Commission regulations. The Final Order exempts contracts, agreements, and transactions for the purchase or sale of the limited electric energy- related products that are specifically described within the Final Order from the provisions of the CEA and Commission regulations, with the exception of the Commission's general anti-fraud and anti-manipulation authority, and scienter-based prohibitions, under CEA sections 2(a)(1)(B), 4(d), 4b, 4c(b), 4o, 4s(h)(1)(A), 4s(h)(4)(A), 6(c), 6(d), 6(e), 6c, 6d, 8, 9, and 13 of the Act and any implementing regulations promulgated under these sections including, but not limited to Commission regulations 23.410(a) and (b), 32.4, and part 180. To be eligible for the exemption contained in the Final Order, the contract, agreement, or transaction must be offered or entered into in a market administered by a Requesting Party pursuant to that Requesting Party's tariff, rate schedule, or protocol (collectively, ``Tariff''), and the relevant Tariff must have been approved or permitted to have taken effect by either the Federal Energy Regulatory Commission (``FERC'') or the Public Utility Commission of Texas (``PUCT''), as applicable. In addition, the contract, agreement, or transaction must be entered into by persons who are ``appropriate persons,'' as defined in sections 4(c)(3)(A) through (J) of the Act,\3\ ``eligible contract participants,'' as defined in section 1a(18) of the Act and Commission regulations,\4\ or persons who are in the business of: (i) Generating, transmitting, or distributing electric energy, or (ii) providing electric energy services that are necessary to support the reliable operation of the transmission system. The Final Order also extends to any person or class of persons offering, entering into, rendering advice, or rendering other services with respect to the Covered Transactions. Finally, the Final Order is subject to other conditions set forth therein. Authority for issuing the exemption is found in section 4(c)(6) of the Act.\5\
Order Exempting, Pursuant to Authority of the Commodity Exchange Act, Certain Transactions Between Entities Described in the Federal Power Act, and Other Electric Cooperatives
Document Number: 2013-07633
Type: Notice
Date: 2013-04-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is exempting certain transactions between entities described in section 201(f) of the Federal Power Act (``FPA''), and/or other electric utility cooperatives, from the provisions of the Commodity Exchange Act (``CEA'' or ``Act'') and the Commission's regulations, subject to certain anti-fraud, anti-manipulation, and record inspection conditions. Authority for this exemption is found in section 4(c) of the CEA.