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

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0017, Market Surveys
Document Number: 2016-12707
Type: Notice
Date: 2016-05-31
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') 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 solicits comments on market investigations.
Agency Information Collection Activities: Proposed Collection, Comment Request: Final Rule, Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants-Cross-Border Application of the Margin Requirements
Document Number: 2016-12613
Type: Notice
Date: 2016-05-31
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``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, including proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice is being published concurrently with the publication and adoption of the final rule titled ``Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap ParticipantsCross-Border Application of the Margin Requirements'' (``Final Rule''), which addresses the cross-border application of the Commission's margin requirements for uncleared swaps of covered swap entities (``CSEs''). This notice solicits comments on a new information collection that applies to CSEs that rely on a special provision of the Final Rule applicable to certain foreign jurisdictions where CSEs are unable to conclude, with a well-founded basis, that the netting agreement with a counterparty in that foreign jurisdiction meets the definition of an ``eligible master netting agreement'' set forth in the Commission's final margin rule (``Final Margin Rule'') (``non-netting jurisdictions''). This notice also solicits comments on a new information collection that applies to Foreign Consolidated Subsidiaries (as defined in the Final Rule) and foreign branches of U.S. CSEs that rely on a special provision of the Final Rule applicable to certain foreign jurisdictions where limitations in the legal or operational infrastructure of the jurisdiction make it impracticable for the CSE and its counterparty to post initial margin pursuant to custodial arrangements that comply with the Final Margin Rule (``non- segregation jurisdictions''). The new information collections covered by this notice require CSEs that avail themselves of the special provisions for non-netting jurisdictions and non-segregation jurisdictions, respectively, to maintain books and records properly documenting that all of the requirements of the special provision(s) upon which they rely are satisfied (including policies and procedures ensuring that they are in compliance with any applicable requirements).
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants-Cross-Border Application of the Margin Requirements
Document Number: 2016-12612
Type: Rule
Date: 2016-05-31
Agency: Commodity Futures Trading Commission, Agencies and Commissions
On January 6, 2016, the Commodity Futures Trading Commission (``Commission'' or ``CFTC'') published final regulations to implement section 4s(e) of the Commodity Exchange Act, which requires the Commission to adopt initial and variation margin requirements for uncleared swaps of swap dealers and major swap participants that do not have a Prudential Regulator (collectively, ``Covered Swap Entities'' or ``CSEs''). In this release, the Commission is adopting a rule to address the cross-border application of the Commission's margin requirements for CSEs' uncleared swaps.
Renewal of the Market Risk Advisory Committee
Document Number: 2016-12316
Type: Notice
Date: 2016-05-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission) is publishing this notice to announce the renewal of the Market Risk Advisory Committee (MRAC). The Commission has determined that the renewal of the MRAC is necessary and in the public's interest, and the Commission has consulted with the General Services Administration's Committee Management Secretariat regarding the MRAC's renewal.
Notice of Proposed Amendment to and Request for Comment on the 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: 2016-11385
Type: Notice
Date: 2016-05-16
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is proposing an amendment to an order issued on March 28, 2013 exempting specified transactions from certain provisions of the Commodity Exchange Act (``CEA'' or ``Act'') and Commission regulations.
Sunshine Act Meetings
Document Number: 2016-11548
Type: Notice
Date: 2016-05-13
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Agency Information Collection Activities Under OMB Review
Document Number: 2016-10848
Type: Notice
Date: 2016-05-10
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: 2016-10847
Type: Notice
Date: 2016-05-10
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Office of Customer Education and Outreach (OCEO), Commodity Futures Trading Commission (``CFTC'' or ``Commission''), invites public comment on its proposed Information Collection Request (ICR), in compliance with the Paperwork Reduction Act (PRA), for the Generic Clearance for the Qualitative Collection of Feedback for Agency Service Delivery. The ICR abstracted below, has been submitted to the Office of Management and Budget (OMB) for approval. The ICR describes the nature of the information collection and its expected costs and burden.
Definitions of “Portfolio Reconciliation” and “Material Terms” for Purposes of Swap Portfolio Reconciliation
Document Number: 2016-10565
Type: Rule
Date: 2016-05-06
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is amending its regulations in connection with the terms for which counterparties must exchange and resolve discrepancies when engaging in portfolio reconciliation.