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

Results 51 - 100 of 116
Interpretive Guidance and Policy Statement Regarding Compliance With Certain Swap Regulations
Document Number: 2013-17958
Type: Rule
Date: 2013-07-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
On July 12, 2012, the Commodity Futures Trading Commission (``Commission'' or ``CFTC'') published for public comment its proposed interpretive guidance and policy statement (``Proposed Guidance'') regarding the cross-border application of the swaps provisions of the Commodity Exchange Act (``CEA''), as added by Title VII of the Dodd- Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'' or ``Dodd-Frank''). On December 21, 2012, the Commission also proposed further guidance on certain aspects of the Proposed Guidance (``Further Proposed Guidance''). The Commission has determined to finalize the Proposed Guidance with certain modifications and clarifications to address public comments. The Commission's Interpretive Guidance and Policy Statement (``Guidance'') addresses the scope of the term ``U.S. person,'' the general framework for swap dealer and major swap participant registration determinations (including the aggregation requirement applicable to the de minimis calculation with respect to swap dealers), the treatment of swaps involving certain foreign branches of U.S. banks, the treatment of swaps involving a non-U.S. counterparty guaranteed by a U.S. person or ``affiliate conduit,'' and the categorization of the Dodd-Frank swaps provisions as ``Entity-Level Requirements'' or ``Transaction-Level Requirements.''
Exemptive Order Regarding Compliance With Certain Swap Regulations
Document Number: 2013-17467
Type: Rule
Date: 2013-07-22
Agency: Commodity Futures Trading Commission, Agencies and Commissions
On January 7, 2013, the Commodity Futures Trading Commission (``Commission'' or ``CFTC'') issued a final order (``January Order'') that granted market participants temporary conditional relief from certain provisions of the Commodity Exchange Act (``CEA''), as amended by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'' or ``Dodd-Frank'') (and Commission regulations thereunder). The January Order expires on July 12, 2013. In this Exemptive Order (``Exemptive Order''), the Commission provides temporary conditional relief effective upon the expiration of the January Order in order to facilitate transition to the Dodd-Frank swaps regime.
Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Correction
Document Number: 2013-16938
Type: Rule
Date: 2013-07-16
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission is correcting a final rule that appeared in the Federal Register of May 31, 2013 (78 FR 32866). The final rule adopted regulations, under the Dodd-Frank Wall Street Reform and Consumer Protection Act, defining the criteria for grouping swaps into separate swap categories and establishing methodologies for setting appropriate minimum block sizes for each swap category. These corrections fix errors in certain contract descriptions, block sizes, and block units listed in Appendix F to the final rule.
Sunshine Act Meetings
Document Number: 2013-16607
Type: Notice
Date: 2013-07-10
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Agricultural Advisory Committee Meeting
Document Number: 2013-16545
Type: Notice
Date: 2013-07-10
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission's (CFTC) Agricultural Advisory Committee (AAC) is providing notice that it will hold a public meeting on Thursday, July 25, 2013, from 9:00 a.m. to 2:30 p.m., at the CFTC's Washington, DC, headquarters. The AAC will discuss issues related to customer protection and the Dodd-Frank Wall Street Reform and Consumer Protection Act. The meeting is open to the public with seating on a first-come, first-served basis. Members of the public who wish to listen to the meeting by telephone may do so by calling a domestic toll-free or international toll or toll-free number. The domestic toll-free number, which is listed in this Notice, will connect to a live, listen-only audio feed. The international toll and toll-free numbers will be posted on the CFTC Web site in advance of the meeting. Call-in participants should be prepared to provide their first name, last name, and affiliation. Persons requiring special accommodations to attend the meeting because of a disability should notify the contact person below. The public is invited to submit written statements to the AAC. The meeting will be recorded and later posted on the CFTC Web site, www.cftc.gov.
Amended Order Designating the Provider of Legal Entity Identifiers to Be Used in Recordkeeping and Swap Data Reporting Pursuant to the Commission's Regulations
Document Number: 2013-15477
Type: Notice
Date: 2013-06-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) has issued an Amended Order expanding, through mutual acceptance by international regulators, the list of Legal Entity Identifiers (LEIs) that can be used by registered entities and swap counterparties in complying with CFTC's swap data reporting regulations once the conditions provided in the Amended Order are fulfilled. The Amended Order revises CFTC's order of July 23, 2012, which directed all registered entities and swap counterparties required by CFTC rules to use LEIs in swap recordkeeping and swap data reporting to use LEIs provided by DTCC-SWIFT, the utility designated by the CFTC as the provider of LEIs until establishment of the global LEI system.
Sunshine Act Meetings
Document Number: 2013-15197
Type: Notice
Date: 2013-06-24
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2013-15196
Type: Notice
Date: 2013-06-24
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2013-15195
Type: Notice
Date: 2013-06-24
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Agency Information Collection Activities; Notice of Intent To Renew Collection: Market Surveys
Document Number: 2013-13878
Type: Notice
Date: 2013-06-12
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission has submitted information collection 3038-0017, Market Surveys, to OMB for review and clearance under the Paperwork Reduction Act of 1995 (Pub. L. 104-13). The information collected pursuant to these rules is in the public interest and is necessary for market surveillance.
Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available to Trade, Swap Transaction Compliance and Implementation Schedule, and Trade Execution Requirement Under the Commodity Exchange Act
Document Number: 2013-12250
Type: Rule
Date: 2013-06-04
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'') is adopting regulations that establish a process for a designated contract market (``DCM'') or swap execution facility (``SEF'') to make a swap subject to the trade execution requirement pursuant to the Commodity Exchange Act (``CEA''). The Commission is also adopting regulations to establish a schedule to phase in compliance with the trade execution requirement. The schedule will provide additional time for compliance with this requirement.
Core Principles and Other Requirements for Swap Execution Facilities
Document Number: 2013-12242
Type: Rule
Date: 2013-06-04
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting new 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 registration and operation of a new type of regulated entity named a swap execution facility (``SEF''), implement the Dodd- Frank Act's new statutory framework that, among other requirements, adds a new section 5h to the Commodity Exchange Act (``CEA'' or ``Act'') concerning the registration and operation of SEFs, and adds a new section 2(h)(8) to the CEA concerning the execution of swaps on SEFs.
Core Principles and Other Requirements for Designated Contract Markets; Correction
Document Number: 2013-13045
Type: Rule
Date: 2013-06-03
Agency: Commodity Futures Trading Commission, Agencies and Commissions
This document corrects the Federal Register release of the final rule regarding Core Principles and Other Requirements for Designated Contract Markets by inserting a missing instruction to add Appendix C to 17 CFR part 38. This is a correction to the Federal Register only, which does not affect the text of Appendix C as published in the final rule.
Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades
Document Number: 2013-12133
Type: Rule
Date: 2013-05-31
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission is adopting regulations to implement certain statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Specifically, in accordance with section 727 of the Dodd-Frank Act, the Commission is adopting regulations that define the criteria for grouping swaps into separate swap categories and establish methodologies for setting appropriate minimum block sizes for each swap category. In addition, the Commission is adopting further measures under the Commission's regulations to prevent the public disclosure of the identities, business transactions and market positions of swaps market participants.
Antidisruptive Practices Authority
Document Number: 2013-12365
Type: Notice
Date: 2013-05-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (the ``Commission'' or ``CFTC'') is issuing this interpretive guidance and policy statement (``interpretive statement'') to provide guidance on section 747 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Dodd- Frank Act''), which prohibits certain disruptive trading, practices, or conduct as set forth in new section 4c(a)(5) of the Commodity Exchange Act (the ``CEA''). This interpretive statement will provide market participants and the public with guidance on the scope and application of the statutory prohibitions set forth in CEA section 4c(a)(5).
Sunshine Act Meeting
Document Number: 2013-12513
Type: Notice
Date: 2013-05-24
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-12512
Type: Notice
Date: 2013-05-24
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-12511
Type: Notice
Date: 2013-05-24
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-12510
Type: Notice
Date: 2013-05-24
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2013-11506
Type: Notice
Date: 2013-05-14
Agency: Commodity Futures Trading Commission, Agencies and Commissions
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.
Sunshine Act Meetings
Document Number: 2013-07020
Type: Notice
Date: 2013-03-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2013-07019
Type: Notice
Date: 2013-03-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2013-07018
Type: Notice
Date: 2013-03-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2013-07017
Type: Notice
Date: 2013-03-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Agency Information Collection Activities Under OMB Review
Document Number: 2013-06148
Type: Notice
Date: 2013-03-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
In compliance with the Paperwork Reduction Act, this Notice announces that the Information Collection Request (``ICR'') abstracted below has been forwarded to the Office of Management and Budget (``OMB'') for review and comment. The ICR describes the nature of the information collection and its expected costs and burden. It also includes the actual data collection instruments, if any.
Sunshine Act Meeting
Document Number: 2013-04568
Type: Notice
Date: 2013-02-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-04567
Type: Notice
Date: 2013-02-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-04566
Type: Notice
Date: 2013-02-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-04565
Type: Notice
Date: 2013-02-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-04563
Type: Notice
Date: 2013-02-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Proceedings Before the Commodity Futures Trading Commission
Document Number: 2013-04252
Type: Rule
Date: 2013-02-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'') is amending its Rules of Practice, Rules Relating to Reparation Proceedings, and its Rules Relating to Review of National Futures Association (``NFA'') Decisions in Disciplinary, Membership Denial, Registration and Membership Responsibility Actions, to simplify and clarify service, filing and formatting requirements, particularly those requirements applicable to electronic service and filing. The Commission is also amending its Rules Relating to Reparations Proceedings to clarify the authority of its Judgment Officers.