Commodity Futures Trading Commission – Federal Register Recent Federal Regulation Documents

Results 2,051 - 2,100 of 2,170
Recognition of Multilateral Clearing Organizations
Document Number: 06-1940
Type: Notice
Date: 2006-03-03
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'') is issuing an Order pursuant to Section 409(b)(3) of the Federal Deposit Insurance Corporation Improvement Act (``FDICIA''). Section 409 provides that the Commission (or one of several other authorized U.S. financial regulators) may determine that the supervision by a foreign financial regulator of a multilateral clearing organization for over- the-counter derivative instruments satisfies appropriate standards. The Commission is issuing this Order pursuant to Section 409(b)(3) of FDICIA with respect to the Alberta Securities Commission and its supervision of NetThruPut, Inc., a recognized clearing agency in Alberta, Canada.
Sunshine Act Meetings
Document Number: 06-1874
Type: Notice
Date: 2006-02-27
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Definition of “Client” of a Commodity Trading Advisor
Document Number: 06-1745
Type: Rule
Date: 2006-02-24
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission) is amending Regulation 1.3(bb) by adding to that regulation a definition of the term ``client,'' as it relates to commodity trading advisors (CTAs). This amendment clarifies inconsistencies in the Commission's regulations concerning the advisees of CTAs, and it reflects the Commission's longstanding view that its antifraud authority extends to all CTAs, irrespective of whether they provide advice on a personalized or nonpersonalized basis. The Commission is also amending Regulation 1.3(bb) by adding the term ``derivatives transaction execution facility'' to the CTA definition set forth in that regulation.
Meetings; Sunshine Act
Document Number: 06-1664
Type: Notice
Date: 2006-02-22
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Meetings; Sunshine Act
Document Number: 06-1663
Type: Notice
Date: 2006-02-22
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Meetings; Sunshine Act
Document Number: 06-1662
Type: Notice
Date: 2006-02-22
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Meetings; Sunshine Act
Document Number: 06-1661
Type: Notice
Date: 2006-02-22
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Meetings; Sunshine Act
Document Number: 06-1660
Type: Notice
Date: 2006-02-22
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Commodity Pool Operator Electronic Filing of Annual Reports
Document Number: 06-1615
Type: Rule
Date: 2006-02-22
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is amending Commission rules to require that commodity pool annual financial reports submitted by commodity pool operators (``CPOs'') to the National Futures Association (``NFA'') be filed and affirmed electronically, in compliance with NFA's electronic filing procedures. NFA petitioned the Commission to adopt this amendment after its implementation of a pilot program for electronic filing of commodity pool annual reports in 2005. The amendment necessarily eliminates the requirement that the commodity pool annual report filed with NFA be manually signed, and replaces it with a requirement that CPOs maintain for five years in their own business records a manually signed oath or affirmation with respect to each annual report along with documentation supporting the compilation of certain key financial balances required to be submitted to NFA. In addition to mandating electronic filing, the Commission is also amending other provisions of its rules applicable to CPOs with respect to financial reporting to: (i) Explicitly state that commodity pool monthly and/or quarterly account statements distributed to participants must be prepared in accordance with generally accepted accounting principles; (ii) clarify that CPOs must file a notification of a change in a public accountant for a commodity pool with NFA; (iii) clarify that a reference to ``segregation'' with respect to a statement required to be made in an accountant's letter refers to the prohibition on commingling of funds of a commodity pool with the assets of any other person; and (iv) require that notifications concerning CPOs' election of fiscal years for commodity pools other than the calendar year or changes in fiscal year be filed solely with NFA and not the Commission. These amendments with respect to commodity pool financial reporting do not impact the distribution of annual reports to pool participants, which may continue to be provided through hard-copy distribution via postal mail or electronically if the pool participant consents thereto. Also, these amendments do not change the requirements or process for CPOs to request that the Commission provide confidential treatment to commodity pool annual reports submitted to NFA, in response to requests from the public made under the Freedom of Information Act.
In the Matter of the New York Mercantile Exchange, Inc. Petition To Extend Interpretation Pursuant to Section 1a(12)(C) of the Commodity Exchange Act
Document Number: E6-1777
Type: Notice
Date: 2006-02-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
On February 4, 2003, in response to a petition from the New York Mercantile Exchange, Inc. (``NYMEX'' or ``Exchange'') the Commodity Futures Trading Commission (``Commission''), issued an order \1\ pursuant to section 1a(12)(C) of the Commodity Exchange Act (``Act''). The order provided that, subject to certain conditions, Exchange floor brokers and floor traders (collectively referred to hereafter as ``floor members'') who are registered with the Commission, when acting in a proprietary trading capacity, shall be deemed to be ``eligible contract participants'' as that term is defined in section 1a(12) of the Act. The order (hereafter the ``original order'' or the ``ECP Order'') was effective for a two year period and would have expired on February 4, 2005.
Foreign Futures and Options Transactions
Document Number: E6-1776
Type: Notice
Date: 2006-02-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission or CFTC) is granting an exemption to firms designated by the Tokyo Commodity Exchange (TOCOM) from the application of certain of the Commission's foreign futures and option rules based on substituted compliance with certain comparable regulatory and self-regulatory requirements of a foreign regulatory authority consistent with conditions specified by the Commission, as set forth herein. This Order is issued pursuant to Commission Regulation 30.10, which permits persons to file a petition with the Commission for exemption from the application of certain of the Regulations set forth in Part 30 and authorizes the Commission to grant such an exemption if such action would not be otherwise contrary to the public interest or to the purposes of the provision from which exemption is sought.
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0043, Rules Relating To Review of National Futures Association Decisions in Disciplinary, Membership Denial, Registration, and Member Responsibility Actions
Document Number: 06-1154
Type: Notice
Date: 2006-02-08
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 rules relating to review of National Futures Association decisions in disciplinary, membership denial, registration, and member responsibility actions.
Alternative Market Risk and Credit Risk Capital Charges for Futures Commission Merchants and Specified Foreign Currency Forward and Inventory Capital Charges
Document Number: 06-982
Type: Rule
Date: 2006-02-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is amending Commission regulations that impose minimum financial and related reporting requirements upon each person registered as a futures commission merchant (``FCM''). The amended regulations address the capital computations of FCMs that are registered with the Securities and Exchange Commission (``SEC'') as securities brokers or dealers (``FCM/BDs''), and, who, pursuant to SEC's regulations governing consolidated supervised entities (``CSEs''), have received SEC approval to use internal mathematical models to determine the deductions from their capital for market risk and credit risk associated with their proprietary trading assets. Subject to the reporting and other requirements specified in the amended regulations, these FCM/BDs may elect to compute their adjusted net capital using their SEC-approved alternative market risk and credit risk capital deductions in lieu of CFTC requirements. The Commission is also adopting other rule amendments that address confidential treatment for the reports and statements that would be required to be filed under the amended regulations, and also address the confidential treatment of certain other information that all FCMs must file with both the Commission and the SEC. Finally, the Commission is also adopting amendments that will affect the minimum financial requirements of FCMs and introducing brokers (``IBs'') by reducing the capital deductions for their uncovered inventory or forward contracts in specified foreign currencies. This reduction is consistent with guidance currently provided by the Commission to FCMs and IBs.
Sunshine Act Meetings
Document Number: 06-421
Type: Notice
Date: 2006-01-17
Agency: Commodity Futures Trading, Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 06-420
Type: Notice
Date: 2006-01-17
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 06-419
Type: Notice
Date: 2006-01-17
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 06-418
Type: Notice
Date: 2006-01-17
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Technical and Clarifying Amendments to Rules for Exempt Markets, Derivatives Transaction Execution Facilities and Designated Contract Markets, and Procedural Changes for Derivatives Clearing Organization Registration Applications
Document Number: 06-242
Type: Rule
Date: 2006-01-12
Agency: Commodity Futures Trading Commission, Agencies and Commissions
On August 10, 2001, the Commodity Futures Trading Commission (``Commission'') published final rules implementing the provisions of the Commodity Futures Modernization Act of 2000 (``CFMA'') relating to trading facilities.\1\ These amendments are intended to clarify and codify acceptable practices under the rules for trading facilities, based on the Commission's experience over the intervening four years in applying those rules, including the adoption of several amendments to the original rules over the same period. The amendments also include various technical corrections and conforming amendments to the rules. In addition, these amendments revise the application and review process for registration as a derivatives clearing organization (``DCO'') by eliminating the presumption of automatic fast-track review of applications and replacing it with the presumption that all applications will be reviewed pursuant to the 180-day timeframe and procedures specified in Section 6(a) of the Commodity Exchange Act (``CEA'' or ``Act''). In lieu of the current 60-day automatic fast- track review, the Commission will permit applicants to request expedited review and to be registered as a DCO by affirmative Commission action not later than 90 days after the Commission receives the application.
Commodity Pool Operator Electronic Filing of Annual Reports
Document Number: C5-23965
Type: Proposed Rule
Date: 2006-01-09
Agency: Environmental Protection Agency, Commodity Futures Trading Commission, Agencies and Commissions
Foreign Futures and Options Transactions
Document Number: 05-24360
Type: Rule
Date: 2005-12-22
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is granting an exemption to firms designated by the Australian Stock Exchange Limited from the application of certain of the Commission's foreign futures and option rules based on substituted compliance with certain comparable regulatory and self-regulatory requirements of a foreign regulatory authority consistent with conditions specified by the Commission, as set forth herein. This Order is issued pursuant to Commission Rule 30.10, which permits persons to file a petition with the Commission for exemption from the application of certain of the rules set forth in Part 30 and authorizes the Commission to grant such an exemption if such action would not be otherwise contrary to the public interest or to the purposes of the provision from which exemption is sought.
Self-Regulation and Self-Regulatory Organizations in the Futures Industry
Document Number: 05-24292
Type: Notice
Date: 2005-12-21
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commission is extending the time for interested parties to respond to the Commission's Request for Comments on Self-Regulation and Self-Regulatory Organizations in the Futures Industry, published in the Federal Register on November 25, 2005.\1\
Sunshine Act Meeting
Document Number: 05-24293
Type: Notice
Date: 2005-12-20
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Agency Information Collection Activities Under OMB Review
Document Number: 05-24254
Type: Notice
Date: 2005-12-20
Agency: Commodity Futures Trading Commission, Agencies and Commissions
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].
Sunshine Act Meeting
Document Number: 05-24185
Type: Notice
Date: 2005-12-16
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 05-24184
Type: Notice
Date: 2005-12-16
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 05-24183
Type: Notice
Date: 2005-12-16
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 05-24182
Type: Notice
Date: 2005-12-16
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Market and Large Trader Reporting
Document Number: 05-23977
Type: Proposed Rule
Date: 2005-12-15
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission or CFTC) is proposing several amendments to its market and large trader reporting rules. First, the Commission is proposing to establish a new reporting level for futures and option contracts based on 3-Year U.S. Treasury Notes. Second, the Commission is proposing to clarify the application of the reporting rules to registered derivatives transaction execution facilities (DTEFs). Third, the Commission is proposing to require designated contract markets to publicly disseminate integrated volume data that separately identifies the volume generated from block trades. Fourth, the Commission is proposing to adopt a reporting framework for contracts that are exclusively self- cleared. Finally, the Commission is proposing a number of conforming, clarifying, and technical amendments.
Commodity Pool Operator Electronic Filing of Annual Reports
Document Number: 05-23965
Type: Proposed Rule
Date: 2005-12-15
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend Commission regulations to require that commodity pool annual financial reports submitted by commodity pool operators (``CPOs'') to the National Futures Association (``NFA'') be filed electronically. Commodity pool annual reports filed with a registered futures association (currently, the NFA is the sole registered futures association) must contain a manually signed oath or affirmation under Commission regulations and no provision exists for electronic filing of annual reports with NFA. The NFA has recently petitioned the Commission to amend its regulations to require mandatory electronic filing of commodity pool annual reports. The Commission has considered the NFA petition and is hereby proposing to amend Commission regulations: (i) To require CPOs to file a commodity pool annual report with NFA electronically, with the required oath or affirmation to be made through compliance with NFA's electronic filing procedures; (ii) to require CPOs to maintain for five years a manually signed copy of each annual report and to maintain records of how certain key financial balances submitted to NFA were compiled from the annual report; (iii) to eliminate the requirement that the annual report filed with NFA be manually signed. Further, the Commission is proposing additional amendments to clarify certain aspects of the Commission's regulations applicable to CPOs with respect to financial reporting, Specifically, the Commission is proposing amendments that would: explicitly state that commodity pool monthly and/or quarterly account statements distributed to participants must be prepared in accordance with generally accepted accounting principles; clarify that COPs must file a notification of a change in a public accountant for a commodity pool with the Commission and with NFA; clarify that a reference to ``segregation'' with respect to a statement required to be made in an accountant's letter refers to the prohibition on commingling of funds of a commodity pool with the assets of any other person; and require that notifications concerning CPOs' election of fiscal years for commodity pools other than the calendar year or changes in fiscal year be filed solely with NFA and not the Commission. Annual reports to pool participants may continue to be provided as they have been previously, either through hard-copy distribution via postal mail or electronically if the pool participant consents thereto.
Sunshine Act Meeting
Document Number: 05-23623
Type: Notice
Date: 2005-12-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Notice is hereby given that the Commodity Futures Trading Commission (``Commission'') will hold a public roundtable meeting at which invited participants will discuss global markets-related issues in the financial services and commodity markets. Participants will be announced at a later date.
Self-Regulation and Self-Regulatory Organizations in the Futures Industry
Document Number: E5-6510
Type: Notice
Date: 2005-11-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
This Request for Comments (``Request'') continues the Commission's ongoing review of self-regulation and self-regulatory organizations in the U.S. futures industry (``SRO Study''). The Request seeks public comment on a range of SRO issues, including governance, minimizing conflicts of interest within self-regulation, the composition of SROs' boards of directors and disciplinary committees, and the impact of increasing competition, changing business models and new ownership structures on SROs' self-regulatory responsibilities.\2\ Commenters are also asked to consider the impact of securities exchanges' listing standards and the unique role of registered futures associations (``RFAs'') and other third-party regulatory service providers. The questions presented update the Commission's prior fact- finding on self-regulation, build on industry developments since that time, and offer interested parties an additional opportunity to comment as the SRO Study nears conclusion. The questions raised in this Request will also form the basis of an upcoming Commission roundtable on self- regulation. The roundtable will provide a forum for industry participants to present their views on both the challenges and opportunities of self-regulation in a rapidly evolving futures industry.
Alternative Market Risk and Credit Risk Capital Charges for Futures Commission Merchants and Specified Foreign Currency Forward and Inventory Capital Charges
Document Number: 05-23148
Type: Proposed Rule
Date: 2005-11-23
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'') is reopening the comment period for interested parties to comment on proposed amendments to Parts 1, 145 and 147 of the Commission's regulations.
Sunshine Act Meeting
Document Number: 05-22883
Type: Notice
Date: 2005-11-17
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 05-22882
Type: Notice
Date: 2005-11-17
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 05-22881
Type: Notice
Date: 2005-11-17
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 05-22880
Type: Notice
Date: 2005-11-17
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 05-22879
Type: Notice
Date: 2005-11-17
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 05-21319
Type: Notice
Date: 2005-10-24
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 05-20880
Type: Notice
Date: 2005-10-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 05-20879
Type: Notice
Date: 2005-10-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 05-20878
Type: Notice
Date: 2005-10-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 05-20877
Type: Notice
Date: 2005-10-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Agency Information Collection Activities: Notice of Intent to Renew Collection 3038-0048, Off-Exchange Agricultural Trade Options
Document Number: 05-20434
Type: Notice
Date: 2005-10-12
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 off-exchange agricultural trade options.
Alternative Market Risk and Credit Risk Capital Charges for Futures Commission Merchants and Specified Foreign Currency Forward and Inventory Capital Charges
Document Number: 05-20258
Type: Proposed Rule
Date: 2005-10-11
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is issuing this release to propose amendments to Commission rules that impose minimum financial and related reporting requirements upon each person registered as a futures commission merchant (``FCM''). Pursuant to rule amendments that became effective in August of 2004, the Securities and Exchange Commission (``SEC'') has established a method for securities brokers or dealers (``BDs'') that voluntarily elect SEC consolidated supervision for their ultimate holding companies and affiliates, and that also meet specified minimum capital and other requirements, to request approval to use internal mathematical models to determine their capital deductions for market risk and credit risk associated with their proprietary trading assets. Under the rule amendments that are proposed in this release, FCMs that are also BDs (``FCM/BDs'') would have the option, subject to the reporting and other requirements that are specified in the proposed rulemaking, of electing to compute their adjusted net capital using their SEC-approved alternative market risk and credit risk capital deductions in lieu of CFTC requirements. The Commission is also proposing other rule amendments that address confidential treatment for the reports and statements that would be required to be filed under the proposed amendments, and also to address the confidential treatment of certain other information that all FCM/BDs must file with both the Commission and the SEC. Finally, the Commission is also proposing rule amendments in this release that would amend the minimum financial requirements of FCMs and introducing brokers (``IBs'') by reducing the capital deductions for their uncovered inventory or forward contracts in specified foreign currencies. The proposed reduction is consistent with guidance currently provided by the Commission to FCMs and IBs.
Sunshine Act Meetings
Document Number: 05-20360
Type: Notice
Date: 2005-10-07
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 05-19822
Type: Notice
Date: 2005-10-03
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Fees for Reviews of the Rule Enforcement Programs of Contract Markets and Registered Futures Association
Document Number: 05-19461
Type: Rule
Date: 2005-09-29
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commission charges fees to designated contract markets and the National Futures Association (NFA) to recover the costs incurred by the Commission in the operation of a program which provides a service to these entities. The fees are charged for the Commission's conduct of its program of oversight of self-regulatory rule enforcement programs (NFA and the contract markets are referred to as SROs). The calculation of the fee amounts to be charged for FY 2005 is based on an average of actual program costs incurred during FY 2002, 2003, and 2004, as explained below. The FY 2005 fee schedule is set forth in the SUPPLEMENTARY INFORMATION. Electronic payment of fees is required.
Definition of “Client” of a Commodity Trading Advisor
Document Number: 05-19323
Type: Proposed Rule
Date: 2005-09-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission or CFTC) is proposing to amend Rule 1.3(bb) by adding to that rule a definition of the term ``client,'' as it relates to commodity trading advisors (CTAs) (Proposal). This would clarify inconsistencies in the Commission's regulations concerning the advisees of CTAs. The Proposal would also reflect the Commission's longstanding view that its antifraud authority extends to all CTAs, irrespective of whether they provide advice on a personalized or nonpersonalized basis.
Sunshine Act Meetings
Document Number: 05-18677
Type: Notice
Date: 2005-09-19
Agency: Commodity Futures Trading Commission, Agencies and Commissions
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.