Commodity Futures Trading Commission – Federal Register Recent Federal Regulation Documents

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Definitions
Document Number: 2018-03590
Type: Rule
Date: 2018-02-23
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (the ``Commission'') is amending its primary definitions regulation to make it more user- friendly both to industry and the public. Specifically, the Commission is amending the primary definitions regulation to replace the complex and confusing lettering system with a simple alphabetical list; and replacing all existing cross references to any definition within the primary definitions regulation with a general reference to the revised alphabetical list, rather than to a specific lettered paragraph.
Privacy Act of 1974; System of Records
Document Number: 2018-02812
Type: Notice
Date: 2018-02-12
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC or Commission) is establishing a new system of records under the Privacy Act of 1974: CFTC-51, Contractors and Consultants. New CFTC-51 addresses information collected from individuals who serve as contractors and consultants to CFTC.
Agency Information Collection Activities Under Review
Document Number: 2018-02615
Type: Notice
Date: 2018-02-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
In compliance with the Paperwork Reduction Act (``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: Notice of Intent To Extend Collection 3038-0095; Large Trader Reporting for Physical Commodity Swaps
Document Number: 2018-02572
Type: Notice
Date: 2018-02-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) is announcing an opportunity for public comment on the proposed extension of a 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 each proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on the information collection requirements set out in part 20 of the Commission's regulations concerning large trader reporting for physical commodity swaps.
Agency Information Collection Activities Under OMB Review
Document Number: 2018-02300
Type: Notice
Date: 2018-02-06
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.
Technology Advisory Committee
Document Number: 2018-02026
Type: Notice
Date: 2018-02-01
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC or Commission) announces that on Wednesday, February 14, 2018, from 10:00 a.m. to 4:15 p.m., the CFTC's Technology Advisory Committee (TAC) will hold a rescheduled public meeting at the CFTC's Washington, DC headquarters. The TAC meeting, previously scheduled for January 23, 2018, from 10:00 a.m. to 4:00 p.m., was canceled and is now being rescheduled with less than fifteen days' notice due to the lapse in appropriations that closed the Federal Government. At the rescheduled meeting, the TAC will: (1) Discuss the scope, plan, and approach for the Committee's efforts in 2018; (2) explore timely topics and issues involving financial technology in CFTC regulated markets, potentially including blockchain/DLT, data standardization and analytics, algorithmic trading, virtual currencies, cybersecurity, and RegTech; and (3) identify work streams and/or subcommittee groups that can help generate actionable recommendations to the Commission on select issues.
Agency Information Collection Activities Under OMB Review
Document Number: 2018-01686
Type: Notice
Date: 2018-01-30
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: Notice of Intent To Revise Collection Numbers 3038-0052 and 3038-0074, Core Principles and Other Requirements for Designated Contract Markets, and Core Principles and Other Requirements for Swap Execution Facilities
Document Number: 2018-00469
Type: Notice
Date: 2018-01-12
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 revision of two collections 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 each proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments, as described below, on the proposed Information Collection Requests (``ICR'') titled: OMB Control Number 3038-0074 and Part 38, Relating to Core Principles and Other Requirements for Designated Contract Markets; and OMB Control Number 3038-0052 and Part 37, Relating to Core Principles and Other Requirements for Swap Execution Facilities. This notice also solicits comments on the collection of information mandated by the Commission regulation on Contents of Notice of Disciplinary or Access Denial Action. The collection of information burden associated with that regulation belongs to OMB Control Nos. 3038-0052 and 3038-0074.
Performance of Certain Functions by the National Futures Association With Respect to the Receipt and Processing of Exchange Disciplinary and Access Denial Action Information
Document Number: 2018-00468
Type: Rule
Date: 2018-01-12
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is updating the delegation it issued in 1999 to the National Futures Association (``NFA'') regarding the duty to receive and to process exchange disciplinary and access denial action information. The delegation is being updated to clarify, among other things, that designated contract market (``DCM'') and swap execution facility (``SEF'') disciplinary and access denial notices must be filed with the NFA instead of the Commission. The NFA will continue to serve as the official custodian of records for exchange disciplinary filings.
Technical Amendments to Rules on Registration and Review of Exchange Disciplinary, Access Denial, or Other Adverse Actions
Document Number: 2018-00467
Type: Rule
Date: 2018-01-12
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is adopting certain amendments to its rules that, respectively, govern registration of intermediaries and relate to the Commission's review of exchange disciplinary, access denial, or other adverse actions. Generally speaking, these amendments are technical in nature. The amendments to both areas of the rules integrate existing advisory guidance. The amendments to the rules on review of exchange disciplinary, access denial, or other adverse actions also incorporate swap execution facilities (``SEFs'') and update provisions currently applicable to designated contract markets (``DCMs''). These final rules also remove numerous outdated cross-references, and add citations to applicable parallel provisions contained in other Commission regulations pertaining to SEFs and DCMs. Additionally, the final rules address the publication of final disciplinary and access denial actions taken by the SEFs and DCMs on their exchange websites.
Regulatory Flexibility Agenda
Document Number: 2017-28240
Type: Unknown
Date: 2018-01-12
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission''), in accordance with the requirements of the Regulatory Flexibility Act, is publishing a semiannual agenda of rulemakings that the Commission expects to propose or promulgate over the next year. The Commission welcomes comments from small entities and others on the agenda.
Market Risk Advisory Committee
Document Number: 2018-00111
Type: Notice
Date: 2018-01-08
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) announces that on January 31, 2018, from 10:00 a.m. to 4:00 p.m., the Market Risk Advisory Committee (MRAC) will hold a public meeting in the Conference Center at the CFTC's Washington, DC, headquarters. At this meeting, the MRAC will: (1) Discuss the self-certification process for listing new products on CFTC-regulated Designated Contract Markets and Swap Execution Facilities and (2) explore how new and novel products are considered and analyzed by CFTC staff from a risk perspective.
Privacy Act of 1974; System of Records
Document Number: 2017-28297
Type: Notice
Date: 2018-01-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC or Commission) is establishing a new system of records under the Privacy Act of 1974: CFTC-50, LabCFTC. LabCFTC is the focal point for the CFTC's efforts to promote responsible Financial Technology (FinTech) innovation and fair competition for the benefit of the American public. LabCFTC is designed to make the CFTC more accessible to FinTech innovators and serves as a platform to inform the Commission's understanding of new technologies. LabCFTC allows FinTech innovators to engage with the CFTC, learn about the CFTC's regulatory framework, and obtain feedback and information on the implementation of innovative technology ideas for the market. Further, LabCFTC functions as an information source for the Commission and the CFTC staff on responsible FinTech innovation that may influence policy development. LabCFTC allows FinTech innovators to engage with the CFTC, learn about the CFTC's regulatory framework, and obtain feedback and information on the implementation of innovative technology ideas for the market. New CFTC-50 addresses information collected from individuals who submit requests and other information to CFTC through LabCFTC.
Retail Commodity Transactions Involving Virtual Currency
Document Number: 2017-27421
Type: Proposed Rule
Date: 2017-12-20
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (the ``Commission'' or ``CFTC'') is issuing this proposed interpretation of the term ``actual delivery'' as set forth in a certain provision of the Commodity Exchange Act (``CEA'') pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Dodd-Frank Act''). Specifically, this proposed interpretation is being issued to inform the public of the Commission's views as to the meaning of actual delivery within the specific context of retail commodity transactions in virtual currency. The Commission requests comment on this proposed interpretation and further invites comment on specific questions related to the Commission's treatment of virtual currency transactions.
Proposed Order and Request for Comment on Application for Exemption From Certain Provisions of the Commodity Exchange Act Regarding Investment of Customer Funds and From Certain Related Commission Regulations
Document Number: 2017-27060
Type: Notice
Date: 2017-12-15
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is requesting comment on a proposed exemption issued in response to an application from ICE Clear Credit LLC, ICE Clear US, Inc., and ICE Clear Europe Limited (collectively, ``the ICE DCOs'' or ``the Petitioners'') to grant an exemption to permit the investment of futures and swap customer funds in certain categories of euro- denominated sovereign debt. The ICE DCOs are also requesting exemptive relief to expand the universe of counterparties and depositories they may use in connection with these investments given the structure of the market for repurchase agreements in euro-denominated sovereign debt.
Technology Advisory Committee
Document Number: 2017-26869
Type: Notice
Date: 2017-12-13
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) announces that on January 23, 2018, from 10:00 a.m. to 4:00 p.m., the Technology Advisory Committee (TAC) will hold a public meeting in the Conference Center at the CFTC's Washington, DC, headquarters. At this meeting, the TAC will: (1) Discuss the scope, plan, and approach for the Committee's efforts in 2018; (2) explore timely topics and issues involving financial technology in CFTC regulated markets, potentially including blockchain/DLT, data standardization and analytics, algorithmic trading, virtual currencies, cybersecurity, and RegTech; and (3) identify work streams and/or subcommittee groups that can help generate actionable recommendations to the Commission on select issues.
Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0066: Financial Resource Requirements for Derivatives Clearing Organizations
Document Number: 2017-26141
Type: Notice
Date: 2017-12-05
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) is announcing an opportunity for public comment on the proposed extension of a 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 each proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on certain financial resource reporting requirements applicable to derivatives clearing organizations.
Agency Information Collection Activities: Notice of Intent To Renew Collection Number 3038-0062, Off-Exchange Foreign Currency Transactions; Correction
Document Number: 2017-26026
Type: Notice
Date: 2017-12-04
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission published a document in the Federal Register of November 28, 2017, concerning a request for comments on a Paperwork Reduction Act Notice related to off-exchange foreign currency transactions. The document contained a reference to an incorrect Office of Management and Budget control number. This document corrects that error.
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0082, Whistleblower Provision
Document Number: 2017-25704
Type: Notice
Date: 2017-11-28
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 extension of a 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 each proposed extension of an existing collection of information, and to allow 60 days for public comment. In August 2011, the Commission adopted a final rule, as required by Wall Street Reform and Consumer Protection Act (``Dodd- Frank Act''), requiring the submission of whistleblower information to the Commission on the Forms TCR and WB-APP. This notice solicits comments on the proposed Information Collection Request (``ICR'') titled: Renewal for Whistleblower Provision; OMB Control Number 3038- 0082.
Agency Information Collection Activities Under OMB Review
Document Number: 2017-25698
Type: Notice
Date: 2017-11-28
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.
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants; Correction
Document Number: 2017-25627
Type: Rule
Date: 2017-11-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC or Commission) is correcting a final rule published in the Federal Register on January 6, 2016. The rule, concerning margin requirements for uncleared swaps for swap dealers and major swap participants, took effect on April 1, 2016. This correction rectifies errors in cross-references in a particular section of the final rule.
Agency Information Collection Activities: Copies of Crop and Market Information Reports
Document Number: 2017-25307
Type: Notice
Date: 2017-11-22
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 extension of a proposed collection of certain information by the agency. In compliance with the Paperwork Reduction Act of 1995, 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, as described below, on the proposed Information Collection Request (``ICR'') titled: Copies of Crop and Market Information Reports.
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0026, Gross Collection of Exchange-Set Margins for Omnibus Accounts
Document Number: 2017-25304
Type: Notice
Date: 2017-11-22
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) is announcing an opportunity for public comment on the proposed renewal of a collection of certain information by the agency. Under the Paperwork Reduction Act of 1995 (PRA), 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. This notice solicits comments on requirements relating to Gross Collection of Exchange-Set Margins for Omnibus Accounts.
Agency Information Collection Activities Under OMB Review
Document Number: 2017-24683
Type: Notice
Date: 2017-11-15
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.
Order Establishing a New De Minimis Threshold Phase-In Termination Date
Document Number: 2017-23660
Type: Rule
Date: 2017-10-31
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is issuing an order (``Order''), pursuant to the Commission regulation establishing the de minimis exception to the swap dealer definition, to establish December 31, 2019 as the new de minimis threshold phase-in termination date.
Comparability Determination for the European Union: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Document Number: 2017-22616
Type: Rule
Date: 2017-10-18
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 European Commission (``EC'') that the Commission determine that laws and regulations applicable in the European Union (``EU'') 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, the Commission has found the margin requirements for uncleared swaps under the laws and regulations of the EU comparable in outcome to those under the Commodity Exchange Act (``CEA'') and Commission regulations.
Agency Information Collection Activities Under OMB Review
Document Number: 2017-22608
Type: Notice
Date: 2017-10-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
In compliance with the Paperwork Reduction Act (``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.
Public Availability of Fiscal Year 2016 Service Contract Inventory
Document Number: 2017-21334
Type: Notice
Date: 2017-10-04
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 2016 Service Contract Inventory.
Commission Delegated Authority Provisions for Designated Contract Markets' System Safeguards Requirements
Document Number: 2017-20924
Type: Rule
Date: 2017-09-29
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is adopting final rules to establish a new delegation of authority to Commission staff under the Commission's system safeguards rules to notify each designated contract market (``DCM'') of its percentage of the total annual trading volume among all DCMs regulated by the Commission for purposes of whether it is a covered DCM under the system safeguards rules.
Agency Information Collection Activities Under OMB Review
Document Number: 2017-20025
Type: Notice
Date: 2017-09-20
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: Notice of Intent To Renew Collection Number 3038-0062, Off-Exchange Foreign Currency Transactions
Document Number: 2017-19749
Type: Notice
Date: 2017-09-18
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 renewal of a 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 each proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on the collections of information provided for by part 5 of the Commission's regulations under the Commodity Exchange Act (``CEA'') relating to off-exchange foreign currency transactions.
Agency Information Collection Activities: Notice of Proposed Collection (3038-XXXX), Reparations Complaint, CFTC Form 30
Document Number: 2017-18511
Type: Notice
Date: 2017-09-01
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, including proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on the proposed collection of information required to apply for a Reparations award pursuant to the Commission's regulations.
Regulatory Flexibility Agenda
Document Number: 2017-16987
Type: Proposed Rule
Date: 2017-08-24
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission), in accordance with the requirements of the Regulatory Flexibility Act, is publishing a semiannual agenda of rulemakings that the Commission expects to propose or promulgate over the next year. The Commission welcomes comments from small entities and others on the agenda.
Agency Information Collection Activities Relating to Security Futures Products
Document Number: 2017-16459
Type: Notice
Date: 2017-08-04
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 extension of a proposed collection of certain information by the agency. In compliance with the Paperwork Reduction Act of 1995, 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, as described below, on the proposed Information Collection Request (``ICR'') relating to security futures products.
Sunshine Act Meeting
Document Number: 2017-16432
Type: Notice
Date: 2017-08-03
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Agency Information Collection Activities Under OMB Review
Document Number: 2017-16019
Type: Notice
Date: 2017-08-01
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: 2017-15857
Type: Notice
Date: 2017-07-27
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: 2017-15767
Type: Notice
Date: 2017-07-27
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: 2017-15091
Type: Notice
Date: 2017-07-19
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.
Agency Information Collection Activities Under OMB Review
Document Number: 2017-14647
Type: Notice
Date: 2017-07-13
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.
Commission Delegated Authority Provisions and Technical Amendments
Document Number: 2017-13243
Type: Rule
Date: 2017-06-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (the ``Commission'' or ``CFTC'') is adopting final rules to establish new and amend certain existing delegations of authority to Commission staff. The Commission is also adopting amendments to update statutory authority citations and correct limited typographical and technical errors in certain rules.
Agency Information Collection Activities: Comment Request-Notice of Intent To Amend Collection 3038-0079: Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants
Document Number: 2017-12790
Type: Notice
Date: 2017-06-20
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC or Commission) is announcing an opportunity for public comment on a proposed amendment to the collection of certain information by the agency. Under the Paperwork Reduction Act of 1995 (PRA), 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 comment on an amendment to the collection of information under OMB Control No. 3038- 0079 (Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants).
Revisions to Freedom of Information Act Regulations
Document Number: 2017-12775
Type: Rule
Date: 2017-06-20
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (the ``Commission'') is revising certain provisions of its regulations for disclosing records under the Freedom of Information Act (``FOIA'') to comply with the FOIA Improvement Act of 2016. In addition, the regulations would streamline the language of procedural provisions concerning initial determinations and administrative appeals. The regulations have also been updated to incorporate changes in the Commission's administrative structure, remove superfluous verbiage, and correct inaccurate text.
Commission Statement Concerning a Request for an Interpretation as to Whether a Particular Agreement Is a Swap, Security-Based Swap, or Mixed Swap
Document Number: 2017-12141
Type: Notice
Date: 2017-06-13
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (the ``Commission'') is publishing this statement concerning a request for an interpretation as to whether a particular agreement is a swap, security-based swap, or mixed swap.
Market Risk Advisory Committee
Document Number: 2017-11312
Type: Notice
Date: 2017-06-01
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) announces that on June 20, 2017, from 10:00 a.m. to 12:30 p.m., the Market Risk Advisory Committee (MRAC) will hold a public meeting at the CFTC's Washington, DC, headquarters. At this meeting, the MRAC will: (1) Respond to a presentation by the CFTC's Division of Clearing and Risk on how it conducts risk surveillance of central counterparties (CCPs); (2) discuss how to better inform the CCP regulatory framework through academic research and economic analysis; and (3) advise the Commission of the potential effects of Brexit on financial markets.
Agency Information Collection Activities Under OMB Review
Document Number: 2017-11114
Type: Notice
Date: 2017-05-31
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: Extension of Information Collections Under the Dodd-Frank Act
Document Number: 2017-11105
Type: Notice
Date: 2017-05-30
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 extension of two information collections (ICs), one concerning the filing of an annual report provided for in the Derivatives Clearing Organization General Provisions and Core Principles regulations and the other concerning the filing of a Subpart C Election Form and other reporting and recordkeeping requirements provided for in subpart C, part 39 of the Commission Regulations. Under the Paperwork Reduction Act (``PRA''), 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, and to allow 60 days for public comment.
Recordkeeping
Document Number: 2017-11014
Type: Rule
Date: 2017-05-30
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (the ``Commission'') is amending the recordkeeping obligations set forth in Commission regulations along with corresponding technical changes to certain provisions regarding retention of oral communications and record retention requirements applicable to swap dealers and major swap participants, respectively. The amendments modernize and make technology neutral the form and manner in which regulatory records must be kept, as well as rationalize the rule text for ease of understanding for those persons required to keep records pursuant to the Commodity Exchange Act (the ``CEA'' or ``Act'') and regulations promulgated by the Commission thereunder. The amendments do not alter any existing requirements regarding the types of regulatory records to be inspected, produced, and maintained set forth in other Commission regulations.
Whistleblower Awards Process
Document Number: 2017-10801
Type: Rule
Date: 2017-05-30
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'') is amending its regulations and forms 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 making appropriate rule amendments to implement its reinterpretation of the Commission's anti-retaliation authority.
Project KISS
Document Number: 2017-10622
Type: Proposed Rule
Date: 2017-05-24
Agency: Commodity Futures Trading Commission, Agencies and Commissions
This is a correction to a Request for Information published by the Commodity Futures Trading Commission (``Commission'' or ``CFTC'') in the Federal Register of May 9, 2017 regarding the submission by the public of suggestions about how the Commission's existing rules, regulations, or practices could be applied in a simpler, less burdensome, and less costly manner. This correction changes the web address to which suggestions may be submitted. The incorrect web address appeared in two places in the original document. To avoid any confusion and to ensure the public has all necessary information in one place, the Request for Information is being republished in full with the corrected web address.