Commodity Futures Trading Commission 2016 – Federal Register Recent Federal Regulation Documents

Position Limits for Derivatives
Document Number: 2016-29483
Type: Proposed Rule
Date: 2016-12-30
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is reproposing rules to amend part 150 of the Commission's regulations concerning speculative position limits to conform to the Wall Street Transparency and Accountability Act of 2010 (``Dodd-Frank Act'') amendments to the Commodity Exchange Act (``CEA'' or ``Act''). The reproposal would establish speculative position limits for 25 exempt and agricultural commodity futures and option contracts, and physical commodity swaps that are ``economically equivalent'' to such contracts (as such term is used in section 4a(a)(5) of the CEA). In connection with establishing these limits, the Commission is reproposing to update some relevant definitions; revise the exemptions from speculative position limits, including for bona fide hedging; and extend and update reporting requirements for persons claiming exemption from these limits. The Commission is also reproposing appendices to part 150 that would provide guidance on risk management exemptions for commodity derivative contracts in excluded commodities permitted under the revised definition of bona fide hedging position; list core referenced futures contracts and commodities that would be substantially the same as a commodity underlying a core referenced futures contract for purposes of the definition of location basis contract; describe and analyze fourteen fact patterns that would satisfy the reproposed definition of bona fide hedging position; and present the reproposed speculative position limit levels in tabular form. In addition, the Commission proposes to update certain of its rules, guidance and acceptable practices for compliance with Designated Contract Market (``DCM'') core principle 5 and Swap Execution Facility (``SEF'') core principle 6 in respect of exchange-set speculative position limits and position accountability levels. Furthermore, the Commission is reproposing processes for DCMs and SEFs to recognize certain positions in commodity derivative contracts as non-enumerated bona fide hedges or enumerated anticipatory bona fide hedges, as well as to exempt from position limits certain spread positions, in each case subject to Commission review. Separately, the Commission is reproposing to delay for DCMs and SEFs that lack access to sufficient swap position information the requirement to establish and monitor position limits on swaps.
Aggregation of Positions
Document Number: 2016-29582
Type: Rule
Date: 2016-12-16
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is issuing a final rule to amend part 150 of the Commission's regulations with respect to the policy for aggregation under the Commission's position limits regime for futures and option contracts on nine agricultural commodities. The Commission notes that if its proposed position limits regime for other exempt and agricultural commodity futures and options contracts and the physical commodity swaps that are economically equivalent to such contracts are finalized, these amended regulations would also apply to the position limits regime for those contracts and swaps.
Capital Requirements of Swap Dealers and Major Swap Participants
Document Number: 2016-29368
Type: Proposed Rule
Date: 2016-12-16
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to adopt new regulations and to amend existing regulations to implement sections 4s(e) and (f) of the Commodity Exchange Act (``CEA''), as added by section 731 of the Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''). Section 4s(e) requires the Commission to adopt capital requirements for swap dealers (``SDs'') and major swap participants (``MSPs'') that are not subject to capital rules of a prudential regulator. Section 4s(f) requires the Commission to adopt financial reporting and recordkeeping requirements for SDs and MSPs. The Commission also is proposing to amend existing capital rules for futures commission merchants (``FCMs''), providing specific capital deductions for market risk and credit risk for swaps and security-based swaps entered into by an FCM. The Commission is further proposing several technical amendments to the regulations.
Order Excluding Farm Credit System Institutions From the Commodity Exchange Act's Definition of “Commodity Trading Advisor”
Document Number: 2016-29613
Type: Notice
Date: 2016-12-12
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Pursuant to the authority under section 1a(12)(B)(vii) of the Commodity Exchange Act (``CEA'' or ``Act''), the Commodity Futures Trading Commission (``Commission'') is issuing an order (``Order'') excluding institutions in the Farm Credit System (``FCS'') from the definition of ``commodity trading advisor'' (``CTA''). The Commission finds that FCS institutions are primarily engaged in lending to U.S. farmers, ranchers, and agricultural cooperatives, and that any commodity trading advice provided by FCS institutions to their clientele is solely incidental to that lending conduct, as required by CEA section 1a(12)(C). Therefore, the Commission concludes that FCS institutions are not entities within the intent of the statutory CTA definition, and that the issuance of this Order excluding them from the definition is appropriate.
Sunshine Act Meetings
Document Number: 2016-29753
Type: Notice
Date: 2016-12-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2016-29372
Type: Notice
Date: 2016-12-06
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2016-28522
Type: Notice
Date: 2016-11-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Agency Information Collection Activities: Comment Request-Proposal To Amend Collection 3038-0005: Instructions to CFTC Form CPO-PQR
Document Number: 2016-28389
Type: Notice
Date: 2016-11-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) is announcing an opportunity for public comment on the proposed amendment to the collection of certain 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, including proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on the proposed amendment of the instructions to CFTC Form CPO-PQR to permit commodity pool operators (CPOs) to use specified alternative accounting principles, standards or practices in presenting and calculating financial information in Form CPO-PQR to the same extent that CPOs are permitted to use such alternative accounting principles, standards or practices pursuant to CFTC Regulation 4.22(d)(2) to present and compute financial statements in pool Annual Reports.
Commodity Pool Operator Financial Reports
Document Number: 2016-28388
Type: Rule
Date: 2016-11-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission or CFTC) is amending certain of its regulations applicable to the financial reports that each person registered or required to be registered as a commodity pool operator (CPO) must provide for each commodity pool that it operates. These amendments: Permit the use of additional alternative generally accepted accounting principles, standards or practices; provide relief from the Annual Report audit requirement under certain circumstances; and make clear that an audited Annual Report must be distributed and submitted at least once during the life of a pool.
Regulation Automated Trading
Document Number: 2016-27250
Type: Proposed Rule
Date: 2016-11-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
On December 17, 2015, the Commodity Futures Trading Commission (``CFTC'' or ``Commission'') published in the Federal Register a notice of proposed rulemaking (``NPRM'') proposing a series of risk controls, transparency measures, and other safeguards to enhance the safety and soundness of automated trading on all designated contract markets (``DCMs'') (collectively, ``Regulation Automated Trading'' or ``Regulation AT''). Through this supplemental notice of proposed rulemaking for Regulation AT (``Supplemental NPRM''), the Commission is proposing to modify certain rules set forth in the NPRM. Any new or amended rules proposed in this Supplemental NPRM reflect only those areas where the Commission believes that additional notice and comment may be appropriate before enacting final rules. Procedurally, this Supplemental NPRM is not a replacement or withdrawal of rules proposed in the NPRM. Unless specifically amended herein, all regulatory text proposed in the NPRM remains under active consideration for adoption as final rules. The Commission welcomes public comment on all aspects of the Supplemental NPRM.
Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates
Document Number: 2016-27525
Type: Rule
Date: 2016-11-16
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is amending its regulations regarding the timing for furnishing to the Commission the chief compliance officer (``CCO'') annual reports of futures commission merchants (``FCMs''), swap dealers (``SDs''), and major swap participants (``MSPs'') (collectively, ``Registrants''). The Commission is also amending its regulations by delegating to the Director of the Division of Swap Dealer and Intermediary Oversight (``DSIO'') authority to grant extensions to the CCO annual report filing deadline.
Sunshine Act Meetings
Document Number: 2016-27430
Type: Notice
Date: 2016-11-14
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Market Risk Advisory Committee
Document Number: 2016-26426
Type: Notice
Date: 2016-11-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) announces that on November 17, 2016 from 10:00 a.m. to 1:30 p.m., the Market Risk Advisory Committee (MRAC) will hold a public meeting at the CFTC's Washington, DC, headquarters. The meeting will be held in the Conference Center at the Commodity Futures Trading Commission's headquarters in Washington, DC. At this meeting: (1) The CCP Risk Management Subcommittee (CRM) will present to the MRAC its final recommendations on how Central Counterparties (CCPs) can further enhance their efforts in preparing for the default of a significant clearing member as discussed at the April 2, 2015, November 2, 2015, and June 27, 2016 meetings of the MRAC; and (2) the MRAC will discuss the Bank of England's coordinated CCP default fire drill.
Agency Information Collection Activities: Practice by Former Members and Employees of the Commission
Document Number: 2016-26417
Type: Notice
Date: 2016-11-02
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 (``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. This notice announces the intent to renew the Information Collection Request (``ICR'') abstracted below, and describes the nature of the information collection and its expected costs and burden.
Sunshine Act Meetings
Document Number: 2016-26502
Type: Notice
Date: 2016-11-01
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2016-26268
Type: Notice
Date: 2016-10-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Agency Information Collection Activities Under OMB Review
Document Number: 2016-25925
Type: Notice
Date: 2016-10-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
In compliance with the Paperwork Reduction Act of 1995 (``PRA''), 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.
Final Order Regarding Southwest Power Pool, Inc. Application To Exempt Specified Transactions; Amendment to the Final Order Exempting Specified Transactions of Certain Independent System Operators and Regional Transmission Organizations
Document Number: 2016-25571
Type: Notice
Date: 2016-10-24
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is issuing a final order in response to an application from Southwest Power Pool, Inc. (``SPP'') to exempt specified transactions from certain provisions of the Commodity Exchange Act (``CEA'' or ``Act'') and Commission regulations. In this release, the Commission is also amending an order issued on March 28, 2013 exempting other specified transactions from certain provisions of the CEA and Commission regulations.
Renewal of the Technology Advisory Committee
Document Number: 2016-25294
Type: Notice
Date: 2016-10-19
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission) is publishing this notice to announce the renewal of the Technology Advisory Committee (TAC). The Commission has determined that the renewal of the TAC is necessary and in the public's interest, and the Commission has consulted with the General Services Administration's Committee Management Secretariat regarding the TAC's renewal.
Order Establishing De Minimis Threshold Phase-In Termination Date
Document Number: 2016-25143
Type: Rule
Date: 2016-10-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
With respect to the de minimis exception to the swap dealer definition, the Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is issuing an order (``Order''), pursuant to the applicable Commission regulation, to establish December 31, 2018 as the de minimis threshold phase-in termination date.
Cross-Border Application of the Registration Thresholds and External Business Conduct Standards Applicable to Swap Dealers and Major Swap Participants
Document Number: 2016-24905
Type: Proposed Rule
Date: 2016-10-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is publishing for public comment proposed rules and interpretations (``Proposed Rule'') addressing the cross-border application of certain swap provisions of the Commodity Exchange Act (``CEA''). Specifically, the proposed rule defines key terms for purposes of applying the CEA's swap provisions to cross-border transactions and addresses the cross-border application of the registration thresholds and external business conduct standards for swap dealers and major swap participants, including the extent to which they would apply to swap transactions that are arranged, negotiated, or executed using personnel located in the United States.
Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps
Document Number: 2016-23983
Type: Rule
Date: 2016-10-14
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission or CFTC) is adopting an amendment to the Commission's regulations to expand the existing clearing requirement for interest rate swaps pursuant to the pertinent section of the Commodity Exchange Act (CEA). The amended regulation requires that interest rate swaps denominated in certain currencies and having certain termination dates, as described herein, be submitted for clearing to a derivatives clearing organization (DCO) that is registered under the CEA (registered DCO) or a DCO that has been exempted from registration under the CEA (exempt DCO).
Sunshine Act Meetings
Document Number: 2016-23886
Type: Notice
Date: 2016-09-30
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Privacy Act of 1974 System of Records Notice
Document Number: 2016-23621
Type: Notice
Date: 2016-09-30
Agency: Commodity Futures Trading Commission, Agencies and Commissions
In accordance with the Privacy Act of 1974, the Commodity Futures Trading Commission (CFTC) is providing notice that it is withdrawing one system of records notice, CFTC-8, ``Employment Applications,'' from its inventory of record systems because the relevant records are covered by an existing government-wide system notice.
Privacy Act of 1974 System of Records Notice
Document Number: 2016-23616
Type: Notice
Date: 2016-09-30
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) is consolidating and revising several notices of systems of records under the Privacy Act of 1974. It is consolidating two system of records notices, CFTC-5, ``Employee Personnel/Payroll Records,'' and CFTC-4, ``Employee Leave, Time, and Attendance,'' into one, CFTC-5, ``Employee Personnel, Payroll, Time and Attendance,'' to reflect more integrated business processes and applications, and to be more descriptive of its contents and enhancements. The Commission also is consolidating three system of records notices, CFTC-34, ``Telecommunications Services,'' CFTC-35, ``Interoffice and Internet Email,'' and CFTC-36, ``Internet Security Gateway Systems,'' into one system of records notice, CFTC-35, entitled ``General Information Technology Records'' to reflect more integrated business processes and applications, and to be more descriptive of its contents and enhancements. The revised CFTC-35, ``General Information Technology Records,'' broadly covers the information in identifiable form needed for the CFTC information technology network to provide communications and operate effectively and securely.
Renewal of the Global Markets Advisory Committee
Document Number: 2016-23351
Type: Notice
Date: 2016-09-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission) is publishing this notice to announce the renewal of the Global Markets Advisory Committee (GMAC). The Commission has determined that the renewal of the GMAC is necessary and in the public's interest, and the Commission has consulted with the General Services Administration's Committee Management Secretariat regarding the GMAC's renewal.
Agency Information Collection Activities Under OMB Review
Document Number: 2016-22957
Type: Notice
Date: 2016-09-23
Agency: Commodity Futures Trading Commission, Agencies and Commissions
In compliance with the Paperwork Reduction Act of 1995 (PRA), 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.
Renewal of the Agricultural Advisory Committee
Document Number: 2016-22717
Type: Notice
Date: 2016-09-21
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission) is publishing this notice to announce the renewal of the Agricultural Advisory Committee (AAC). The Commission has determined that the renewal of the AAC is necessary and in the public's interest, and the Commission has consulted with the General Services Administration's Committee Management Secretariat regarding the AAC's renewal.
Agency Information Collection Activities Under OMB Review
Document Number: 2016-22481
Type: Notice
Date: 2016-09-19
Agency: Commodity Futures Trading Commission, Agencies and Commissions
In compliance with the Paperwork Reduction Act of 1995 (``PRA''), 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.
System Safeguards Testing Requirements for Derivatives Clearing Organizations
Document Number: 2016-22413
Type: Rule
Date: 2016-09-19
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'') is adopting enhanced requirements for testing by a derivatives clearing organization (``DCO'') of its system safeguards, as well as additional amendments to reorder and renumber certain paragraphs within the regulations and make other minor changes to improve the clarity of the rule text.
System Safeguards Testing Requirements
Document Number: 2016-22174
Type: Rule
Date: 2016-09-19
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting final rules amending its current system safeguards rules for designated contract markets, swap execution facilities, and swap data repositories, by enhancing and clarifying current provisions relating to system safeguards risk analysis and oversight and cybersecurity testing, and adding new provisions concerning certain aspects of cybersecurity testing. The final rules clarify the Commission's current system safeguards rules for all designated contract markets, swap execution facilities, and swap data repositories by specifying and defining the types of cybersecurity testing essential to fulfilling system safeguards testing obligations. These testing types are vulnerability testing, penetration testing, controls testing, security incident response plan testing, and enterprise technology risk assessment. The final rules also clarify current rule provisions respecting: The categories of risk analysis and oversight that statutorily-required programs of system safeguards- related risk analysis and oversight must address; system safeguards- related books and records obligations; the scope of system safeguards testing; internal reporting and review of testing results; and remediation of vulnerabilities and deficiencies. In addition, the final rules adopt new provisions set forth in the Commission's Notice of Proposed Rulemaking, applicable to covered designated contract markets (as defined) and all swap data repositories, establishing minimum frequency requirements for conducting certain types of cybersecurity testing, and requiring performance of certain tests by independent contractors.
Agency Information Collection Activities Under OMB Review
Document Number: 2016-22199
Type: Notice
Date: 2016-09-15
Agency: Commodity Futures Trading Commission, Agencies and Commissions
In compliance with the Paperwork Reduction Act of 1995 (PRA), 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.
Comparability Determination for Japan: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Document Number: 2016-22045
Type: Rule
Date: 2016-09-15
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The following is the analysis and determination of the Commodity Futures Trading Commission (``Commission'') regarding a request by the Japan Financial Services Agency (``JFSA'') that the Commission determine that laws and regulations applicable in Japan provide a sufficient basis for an affirmative finding of comparability with respect to margin requirements for uncleared swaps applicable to certain swap dealers (``SDs'') and major swap participants (``MSPs'') registered with the Commission. As discussed in detail herein, with one exception, the Commission has found the margin requirements for uncleared swaps under the laws and regulations of Japan comparable to those under the Commodity Exchange Act (``CEA'') and Commission regulations.
Sunshine Act Meetings
Document Number: 2016-21537
Type: Notice
Date: 2016-09-07
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Commodity Pool Operator Annual Report
Document Number: 2016-21153
Type: Proposed Rule
Date: 2016-09-06
Agency: Commodity Futures Trading Commission, Agencies and Commissions
On August 5, 2016, the Commodity Futures Trading Commission (Commission or CFTC) published in the Federal Register a notice of proposed rulemaking (Proposal) to amend certain of its regulations applicable to the Annual Report that each person registered or required to be registered as a commodity pool operator (CPO) must distribute for each commodity pool that it operates. As is explained below, the Commission is extending for two weeks the comment period for the Proposal.
Sunshine Act Meetings
Document Number: 2016-21323
Type: Notice
Date: 2016-09-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Whistleblower Awards Process
Document Number: 2016-20745
Type: Proposed Rule
Date: 2016-08-30
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend its regulations to enhance the process for reviewing whistleblower claims and to make related changes to clarify staff authority to administer the whistleblower program. The Commission also is reinterpreting its anti-retaliation authority and proposing appropriate rule amendments to implement that authority.
Agency Information Collection Activities Under OMB Review
Document Number: 2016-20288
Type: Notice
Date: 2016-08-24
Agency: Commodity Futures Trading Commission, Agencies and Commissions
In compliance with the Paperwork Reduction Act of 1995 (PRA), 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.
Final Response to District Court Remand Order in Securities Industry and Financial Markets Association, et al. v. United States Commodity Futures Trading Commission
Document Number: 2016-18854
Type: Rule
Date: 2016-08-16
Agency: Commodity Futures Trading Commission, Agencies and Commissions
This release is the Commodity Futures Trading Commission's (``Commission'' or ``CFTC'') final response to the order of the United States District Court for the District of Columbia in Securities Industry and Financial Markets Association, et al. v. United States Commodity Futures Trading Commission, (``SIFMA v. CFTC''), remanding eight swaps-related rulemakings to the Commission to resolve what the court held to be inadequacies in the Commission's consideration of costs and benefits, or its explanation of its consideration of costs and benefits, in those rulemakings. In this release the Commission addresses cost-benefit issues raised and suggestions for rule changes made in comments submitted in response to the Commission's Initial Response to the remand order.
Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates
Document Number: 2016-19231
Type: Proposed Rule
Date: 2016-08-12
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend certain provisions of its regulations concerning Chief Compliance Officers (``Proposal''). The regulation that is the subject of the Proposal addresses chief compliance officers (``CCOs'') of futures commission merchants (``FCMs''), swap dealers (``SDs''), and major swap participants (``MSPs'') (collectively, ``Registrants''). The proposed amendments would: Codify existing no- action relief regarding the timing of when a Registrant must furnish its CCO annual report to the Commission; clarify filing requirements for Registrants located in a jurisdiction for which the Commission has issued a comparability determination; and delegate to the Director of the Division of Swap Dealer and Intermediary Oversight (``DSIO'') authority to grant extensions to the CCO annual report filing deadline.
Written Acknowledgment of Customer Funds From Federal Reserve Banks
Document Number: 2016-19211
Type: Rule
Date: 2016-08-12
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is amending its regulations to revise or repeal certain provisions related to the requirement that a derivatives clearing organization (``DCO'') obtain from a Federal Reserve Bank acting as a depository for customer funds a written acknowledgment that the Federal Reserve Bank was informed that the customer funds deposited therein are those of customers and are being held in accordance with Section 4d of the Commodity Exchange Act (``CEA'').
Order Exempting the Federal Reserve Banks From Sections 4d and 22 of the Commodity Exchange Act
Document Number: 2016-19210
Type: Notice
Date: 2016-08-12
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is issuing an order to exempt Federal Reserve Banks that provide customer accounts and other services to registered derivatives clearing organizations that are designated financial market utilities from Sections 4d and 22 of the Commodity Exchange Act (``CEA'').
Agency Information Collection Activities Under OMB Review
Document Number: 2016-19127
Type: Notice
Date: 2016-08-11
Agency: Commodity Futures Trading Commission, Agencies and Commissions
In compliance with the Paperwork Reduction Act of 1995 (PRA), 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
Document Number: 2016-18859
Type: Notice
Date: 2016-08-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
In compliance with the Paperwork Reduction Act of 1995 (PRA), 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.
Commodity Pool Operator Annual Report
Document Number: 2016-18400
Type: Proposed Rule
Date: 2016-08-05
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission or CFTC) is proposing to amend certain of its regulations applicable to the Annual Report that each person registered or required to be registered as a commodity pool operator (CPO) must distribute for each commodity pool that it operates (Proposal). Specifically, the Proposal addresses the use of additional alternative generally accepted accounting principles, standards or practices, and the Annual Report audit requirement where the first fiscal year of a pool consists of a period of three months or less from the date of formation of the pool.
Exemption From Registration for Certain Foreign Persons
Document Number: 2016-18210
Type: Proposed Rule
Date: 2016-08-05
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'') is proposing to amend one of its regulations. The proposed amendment would amend the conditions under which persons located outside the United States (``U.S.'') acting in the capacity of a futures commission merchant (``FCM''), an introducing broker (``IB''), commodity trading advisor (``CTA''), or commodity pool operator (``CPO'') in connection with commodity interest transactions solely on behalf of persons located outside the U.S., or on behalf of certain international financial institutions, would qualify for an exemption from registration with the Commission.
Agency Information Collection Activities Under OMB Review
Document Number: 2016-18213
Type: Notice
Date: 2016-08-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
In compliance with the Paperwork Reduction Act of 1995, (PRA), 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
Document Number: 2016-18212
Type: Notice
Date: 2016-08-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
In compliance with the Paperwork Reduction Act of 1995 (PRA), 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.
Sunshine Act Meetings
Document Number: 2016-18134
Type: Notice
Date: 2016-07-29
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0074, Core Principles and Other Requirements for Swap Execution Facilities
Document Number: 2016-17374
Type: Notice
Date: 2016-07-22
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission) is announcing an opportunity for public comment on the renewal of the collection of certain 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. This notice solicits comments in connection with part 37 of the Commission's regulations, which requires certain recordkeeping and reporting information collections for swap execution facilities (SEFs).