Commodity Futures Trading Commission 2013 – Federal Register Recent Federal Regulation Documents
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Agency Information Collection Activities Under OMB Review
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.
Agency Information Collection Activities Under OMB Review
In compliance with the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), 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 includes the actual data collection instruments if any.
Agency Information Collection Activities: Proposed Collection, Comment Request: Generic Clearance for the Collection of Qualitative Feedback on Agency Service Delivery
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is announcing an opportunity for public comment on a proposed collection of certain information by the Commission's Office of Consumer Outreach (``OCO''). Under the Paperwork Reduction Act (``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 and to allow 60 days for public comment. The Commission is soliciting comments for a proposed generic information collection that will help the CFTC satisfy responsibilities under the Dodd-Frank Wall Street Reform and Consumer Protection Act, Public Law 111-2-3 (``Dodd-Frank Act''), found in Section 748 of the Dodd-Frank Act. The proposed generic information collection will provide the OCO a means to gather qualitative consumer and stakeholder feedback in an efficient, timely manner to facilitate service delivery.
Extension of Comment Period for the Rulemaking Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations
On November 14, 2012, the Commodity Futures Trading Commission (``Commission'') published in the Federal Register a notice of proposed rulemaking (the ``Customer Protection Proposal'') \1\ to adopt new regulations and amend existing regulations to require enhanced customer protections, risk management programs, internal monitoring and controls, capital and liquidity standards, customer disclosures, and auditing and examination programs for futures commission merchants (``FCMs''). The Customer Protection Proposal also addressed certain related issues concerning derivatives clearing organizations (``DCOs'') and chief compliance officers (``CCOs''). In order to provide interested parties with an additional opportunity to comment on the Customer Protection Proposal, the Commission is extending the comment period for the Customer Protection Proposal.
Agency Information Collection Activities: Financial Education Content Needs Survey
In compliance with the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), 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.
Agency Information Collection Activities Under OMB Review
In compliance with the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), 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.
Rules of Practice; Amendments to Delegations of Authority to the Office of General Counsel
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is amending its regulations delegating authority to the Commission's Office of General Counsel, so that all delegations thereto will be to the General Counsel, with authority to sub-delegate to any Commission employee under the supervision of the General Counsel.
Final Exemptive Order Regarding Compliance With Certain Swap Regulations
On July 12, 2012, the Commodity Futures Trading Commission (``Commission'' or ``CFTC'') published for public comment, pursuant to section 4(c) of the Commodity Exchange Act (``CEA''), a proposed order (``Proposed Order'') that would grant market participants temporary conditional relief from certain provisions of the CEA, as amended by Title VII of the Dodd- Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'' or ``Dodd-Frank''), and the Commission also published its proposed interpretive guidance and policy statement (``Proposed Guidance'') regarding the cross-border application of the swap provisions of the CEA as added by Title VII of the Dodd-Frank Act. The Commission has determined to finalize the Proposed Order, with certain modifications and clarifications to address public comments. Under this final order (``Final Order''), a non-U.S. person that registers as a swap dealer (``SD'') or major swap participant (``MSP'') may delay compliance with certain entity-level requirements of the CEA (and Commission regulations promulgated thereunder), and non-U.S. SDs and MSPs and foreign branches of U.S. SDs and MSPs may delay compliance with certain transaction-level requirements of the CEA (and Commission regulations promulgated thereunder), subject to specified conditions. In addition, the Commission is separately proposing further guidance on certain specific aspects of the Proposed Guidance (``Further Proposed Guidance'').
Further Proposed Guidance Regarding Compliance With Certain Swap Regulations
On July 12, 2012, the Commodity Futures Trading Commission (``Commission'' or ``CFTC'') published for public comment, pursuant to section 4(c) of the Commodity Exchange Act (``CEA''), a proposed order (``Proposed Order'') that would grant market participants temporary conditional relief from certain provisions of the CEA, as amended by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'' or ``Dodd-Frank''), and the Commission also published its proposed interpretive guidance and policy statement (``Proposed Guidance'') regarding the cross-border application of the swap provisions of the CEA as added by Title VII of the Dodd-Frank Act. The Commission is proposing further guidance on certain specific aspects of the Proposed Guidance (``Further Proposed Guidance''). The Commission has separately determined to finalize the Proposed Order.
Business Conduct and Documentation Requirements for Swap Dealers and Major Swap Participants; Extension of Compliance Date
The Commodity Futures Trading Commission (``Commission'') is changing the compliance dates for certain rules in the Commission's regulations governing business conduct standards for swap dealers (``SDs'') and major swap participants (``MSPs''), and certain rules requiring SDs and MSPs to engage in portfolio reconciliation and to have certain documentation with their swap counterparties. The Commission is extending the compliance date for certain rules by four months, and up to six months for others. The extended compliance dates are intended to provide SDs and MSPs with additional time to achieve compliance with certain regulations.
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