Commodity Futures Trading Commission – Federal Register Recent Federal Regulation Documents

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Sunshine Act Meetings
Document Number: 2022-06493
Type: Notice
Date: 2022-03-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Agency Information Collection Activities: Notice of Intent To Renew Collection Numbers 3038-0068, 3038-0083, and 3038-0088: Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants
Document Number: 2022-03829
Type: Notice
Date: 2022-02-23
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 three 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 on the collections of information mandated by certain Commission regulations (Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants).
Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0094: Clearing Member Risk Management
Document Number: 2022-03700
Type: Notice
Date: 2022-02-22
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 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 obligation to maintain records related to clearing documentation between a customer and the customer's clearing member, as required under Commission regulations.
Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0075: Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy
Document Number: 2022-03699
Type: Notice
Date: 2022-02-22
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 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 reporting requirements relating to uncleared swaps between certain affiliated entities electing the exemption under Commission regulation 50.52 (Exemption for swaps between affiliates).
Agency Information Collection Activities Under OMB Review
Document Number: 2022-01810
Type: Notice
Date: 2022-01-31
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 Information and Regulatory Affairs (``OIRA''), of 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 3038-0084: Regulations Establishing and Governing the Duties of Swap Dealers and Major Swap Participants
Document Number: 2022-01716
Type: Notice
Date: 2022-01-28
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 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 collection of information mandated by Commission regulations 23.600 (Risk Management Program), 23.601 (Monitoring of Position Limits), 23.602 (Diligent Supervision), 23.603 (Business Continuity and Disaster Recovery), 23.606 (General Information: Availability for Disclosure and Inspection), and 23.607 (Antitrust Considerations).
Agency Information Collection Activities Under OMB Review
Document Number: 2022-01715
Type: Notice
Date: 2022-01-28
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 Information and Regulatory Affairs (``OIRA''), of 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.
Annual Adjustment of Civil Monetary Penalties to Reflect Inflation-2022
Document Number: 2022-00595
Type: Rule
Date: 2022-01-13
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission) is amending Rule 143.8, its rule that governs the maximum amount of civil monetary penalties imposed under the Commodity Exchange Act (CEA), to adjust for inflation. This rule sets forth the maximum, inflation- adjusted dollar amount for civil monetary penalties (CMPs) assessable for violations of the CEA and Commission rules, regulations and orders thereunder. The rule, as amended, implements the Federal Civil Penalties Inflation Adjustment Act of 1990, as amended.
Agency Information Collection Activities Under OMB Review
Document Number: 2021-28293
Type: Notice
Date: 2021-12-29
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 Information and Regulatory Affairs (OIRA), of 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.
Privacy Act of 1974; System of Records
Document Number: 2021-26632
Type: Notice
Date: 2021-12-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC or Commission) is establishing a new system of records, CFTC-57, Reasonable Accommodations Records, to receive, track, process, and report on requests for reasonable accommodations.
Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0104: Clearing Exemption for Swaps Between Certain Affiliated Entities
Document Number: 2021-25483
Type: Notice
Date: 2021-11-23
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 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 reporting requirements relating to uncleared swaps between certain affiliated entities electing the exemption under Commission regulation 50.52 (Exemption for swaps between affiliates).
Swap Clearing Requirement To Account for the Transition From LIBOR and Other IBORs to Alternative Reference Rates
Document Number: 2021-25450
Type: Proposed Rule
Date: 2021-11-23
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission or CFTC) is seeking information and public comment on how the Commission could amend its swap clearing requirement to address the cessation of certain interbank offered rates (IBORs) (e.g., the London Interbank Offered Rate (LIBOR)) used as benchmark reference rates and the market adoption of alternative reference rates; namely, overnight, nearly risk-free reference rates (RFRs). The Commission is requesting input from market participants and all interested members of the public on aspects of the Commission's swap clearing requirement that may be affected by the transition from certain IBORs to alternative reference rates.
Changing Position Title of Judgment Officer to Administrative Judge
Document Number: 2021-24449
Type: Rule
Date: 2021-11-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission or CFTC) is adopting technical amendments to its Rules Relating to Reparations to change the position title of the Judgment Officer to Administrative Judge and to incorporate gender neutral language, where applicable.
Agency Information Collection Activities: Proposed Revised Collection, Comment Request: Swap Execution Facilities Final Rule; Notice of Intent To Revise Collection 3038-0074: Core Principles and Other Requirements for Swap Execution Facilities
Document Number: 2021-23856
Type: Notice
Date: 2021-11-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) is announcing an opportunity for public comment on the revision 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 proposed extension of an existing collection of information, and to allow 60 days for public comment. The Commission recently adopted a final rule amending requirements for swap execution facilities. This notice republishes the burden in the final rule, and solicits any additional comments on the burden associated with the previously published final rule.
Agency Information Collection Activities Under OMB Review
Document Number: 2021-23443
Type: Notice
Date: 2021-10-28
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 Information and Regulatory Affairs (OIRA), of 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, Rules Relating to Review of National Futures Association Decisions in Disciplinary, Membership Denial, Registration, and Member Responsibility Actions
Document Number: 2021-23442
Type: Notice
Date: 2021-10-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is announcing an opportunity for public comments 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 rules relating to review of National Futures Association decisions in disciplinary, membership denial, registration, and member responsibility actions.
Agency Information Collection Activities Under OMB Review
Document Number: 2021-23441
Type: Notice
Date: 2021-10-28
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 Information and Regulatory Affairs (OIRA), of 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: 2021-22038
Type: Notice
Date: 2021-10-07
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2021-21162
Type: Notice
Date: 2021-09-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2021-21160
Type: Notice
Date: 2021-09-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Global Markets Advisory Committee
Document Number: 2021-20790
Type: Notice
Date: 2021-09-24
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) announces that on October 25, 2021, from 8:45 a.m. to 12:30 p.m. (Eastern Daylight Time), the Global Markets Advisory Committee (GMAC) will hold a public meeting via teleconference. At this meeting, the GMAC will discuss various issues related to the U.S. Treasury market which, given market interconnections, is vitally important to the proper functioning of the derivatives markets overseen by the CFTC. In that regard, the GMAC will hear presentations regarding the recent stresses in the U.S. Treasury market and proposals for Treasury market reforms to mitigate against future stresses. The GMAC will also hear presentations related to the implementation of recent Dodd-Frank Act reforms, including issues related to (1) swap data reporting; (2) uncleared margin; and (3) swap dealer capital substituted compliance.
Sunshine Act Meetings
Document Number: 2021-20417
Type: Notice
Date: 2021-09-20
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2021-20416
Type: Notice
Date: 2021-09-20
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0033, Notification of Pending Legal Proceedings
Document Number: 2021-18079
Type: Notice
Date: 2021-08-23
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is announcing an opportunity for public comments 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 concerning notification of pending legal proceedings.
Agency Information Collection Activities: Notice of Intent To Renew Collection Number 3038-0007, Regulation of Domestic Exchange-Traded Options
Document Number: 2021-17719
Type: Notice
Date: 2021-08-18
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 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 comments on rules related to risk disclosure concerning exchange-traded commodity options.
Public Availability of Fiscal Year 2019 Service Contract Inventory
Document Number: 2021-15166
Type: Notice
Date: 2021-07-16
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 2019 Service Contract Inventory.
Agency Information Collection Activities Under OMB Review
Document Number: 2021-14960
Type: Notice
Date: 2021-07-14
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 Information and Regulatory Affairs (OIRA), of 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.
Market Risk Advisory Committee
Document Number: 2021-13692
Type: Notice
Date: 2021-06-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) announces that on July 13, 2021, from 9:30 a.m. to 12:00 p.m. (Eastern Daylight Time), the Market Risk Advisory Committee (MRAC) will hold a public meeting via teleconference. At this meeting, the MRAC will receive reports from its CCP Risk and Governance and Interest Rate Benchmark Reform Subcommittees. In addition, the MRAC will vote on recommendations from the Interest Rate Benchmark Reform Subcommittee regarding a market best practice for switching interdealer trading conventions from LIBOR to the Secured Overnight Financing Rate for U.S. Dollar linear interest rate swaps.
Sunshine Act Meetings
Document Number: 2021-12975
Type: Notice
Date: 2021-06-17
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Agricultural Advisory Committee
Document Number: 2021-11031
Type: Notice
Date: 2021-05-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) announces that on June 9, 2021 from 10:00 a.m. to 12:00 p.m. (Eastern Daylight Time), the Agricultural Advisory Committee (AAC) will hold a public meeting via teleconference. At this meeting, the AAC will receive a report from the Subcommittee to Evaluate Commission Policy with Respect to Implementation of Amendments to Enumerated Agricultural Futures Contracts with Open Interest (Ag-OI). The meeting will also include a discussion on global agricultural commodity derivatives contracts and other agricultural risk management issues.
Agency Information Collection Activities Under OMB Review
Document Number: 2021-10558
Type: Notice
Date: 2021-05-19
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 Information and Regulatory Affairs (OIRA), of 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 Information Collection 3038-0115, Reparations Complaint, CFTC Form 30
Document Number: 2021-09894
Type: Notice
Date: 2021-05-11
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 collection of information relating to the CFTC Reparations Complaint Process, pursuant to the Commission's regulations under the Commodity Exchange Act (``CEA'').
Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0074: Core Principles and Other Requirements for Swap Execution Facilities
Document Number: 2021-07870
Type: Notice
Date: 2021-04-16
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 Information and Regulatory Affairs (OIRA), of 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.
Bankruptcy Regulations
Document Number: 2020-28300
Type: Rule
Date: 2021-04-13
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (the ``Commission'') is amending its regulations governing bankruptcy proceedings of commodity brokers. The amendments are meant comprehensively to update those regulations to reflect current market practices and lessons learned from past commodity broker bankruptcies.
Regulatory Flexibility Agenda
Document Number: 2021-04339
Type: Proposed Rule
Date: 2021-03-31
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 Under OMB Review
Document Number: 2021-04667
Type: Notice
Date: 2021-03-08
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 Information and Regulatory Affairs (``OIRA''), of 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: 2021-04666
Type: Notice
Date: 2021-03-08
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 Information and Regulatory Affairs (``OIRA''), of 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 3038-0095; Large Trader Reporting for Physical Commodity Swaps
Document Number: 2021-03817
Type: Notice
Date: 2021-02-24
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 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 the Commission's regulations concerning large trader reporting for physical commodity swaps.
Global Markets Advisory Committee
Document Number: 2021-03405
Type: Notice
Date: 2021-02-19
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) announces that on March 11, 2021, from 9:00 a.m. to 1:00 p.m. (Eastern Standard Time), the Global Markets Advisory Committee (GMAC) will hold a public meeting via teleconference. At this meeting, the GMAC will continue discussions on the impact of market volatility related to the coronavirus pandemic and recent effects on international central counterparties and the global clearing ecosystem; and hear presentations and provide dialogue on matters related to retail participation in the derivatives markets.
Swap Execution Facilities and Trade Execution Requirement
Document Number: 2020-28945
Type: Proposed Rule
Date: 2021-02-12
Agency: Commodity Futures Trading Commission, Agencies and Commissions
On November 30, 2018, the Commodity Futures Trading Commission (``CFTC'' or the ``Commission'') published a ``Swap Execution Facilities and Trade Execution Requirement'' notice of proposed rulemaking (``NPRM'') in the Federal Register. While the Commission has adopted certain proposals from the NPRM, in light of feedback the Commission received in response to the remaining proposals in the NPRM, the Commission has determined to not proceed with those unadopted proposals relating to the regulation of swap execution facilities (``SEFs'') and the trade execution requirement (``Determination''). In separate final rules, the Commission adopted the following portions of the NPRM: Two exemptions, pursuant to Commodity Exchange Act (``CEA'') section 4(c), from the trade execution requirement in CEA section 2(h)(8); and final rules related to audit trail requirements for post- trade allocations, SEF financial resource requirements, and SEF chief compliance officer requirements (collectively, the ``Final Rules''). As such, this withdrawal does not impact or alter any of those sections of the NPRM that are being adopted in the Final Rules. In light of the Determination, the Commission has decided to withdraw the unadopted portions of the NPRM.
Swap Execution Facilities
Document Number: 2020-28944
Type: Rule
Date: 2021-02-11
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting final rules (``Final Rules'') addressing operational issues facing swap execution facilities (``SEF'') and their market participants in connection with the Commission's regulatory requirements for a SEF's audit trail data, financial resources, and chief compliance officer (``CCO'').
Exemptions From Swap Trade Execution Requirement
Document Number: 2020-28943
Type: Rule
Date: 2021-02-11
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting a final rule (``Final Rule'') that establishes two exemptions from the statutory requirement to execute certain types of swaps on a swap execution facility (``SEF'') or a designated contract market (``DCM'') (this requirement, the ``trade execution requirement'').
Market Risk Advisory Committee
Document Number: 2021-02440
Type: Notice
Date: 2021-02-05
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) announces that on February 23, 2021, from 9:30 a.m. to 2:00 p.m. (Eastern Standard Time), the Market Risk Advisory Committee (MRAC) will hold a public meeting via teleconference. At this meeting, the MRAC will receive reports from its subcommittees: Climate-related Market Risk, CCP Risk and Governance, Market Structure, and Interest Rate Benchmark Reform. The meeting will also include a discussion regarding diversity, equity, and inclusion in the derivatives markets as well as other related financial markets.
Annual Adjustment of Civil Monetary Penalties To Reflect Inflation-2021
Document Number: 2021-00897
Type: Rule
Date: 2021-02-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission) is amending its rule that governs the maximum amount of civil monetary penalties imposed under the Commodity Exchange Act (CEA), to adjust for inflation. This rule sets forth the maximum, inflation-adjusted dollar amount for civil monetary penalties (CMPs) assessable for violations of the CEA and Commission rules, regulations and orders thereunder. The rule, as amended, implements the Federal Civil Penalties Inflation Adjustment Act of 1990, as amended.
Agency Information Collection Activities Under OMB Review
Document Number: 2021-01911
Type: Notice
Date: 2021-01-28
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 Information and Regulatory Affairs (OIRA), of 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: 2021-01841
Type: Notice
Date: 2021-01-28
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 Information and Regulatory Affairs (OIRA), of 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 3038-0082, Whistleblower Provision
Document Number: 2021-01839
Type: Notice
Date: 2021-01-28
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 Information and Regulatory Affairs (OIRA), of 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
Document Number: 2020-27508
Type: Rule
Date: 2021-01-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is amending the margin requirements for uncleared swaps (``Final Rule'') for swap dealers (``SD'') and major swap participants (``MSP'') for which there is not a prudential regulator (``CFTC Margin Rule''). The Final Rule amends the CFTC Margin Rule to permit the application of a minimum transfer amount (``MTA'') of up to $50,000 for each separately managed account (``SMA'') of a legal entity that is a counterparty to an SD or MSP in an uncleared swap transaction and to permit the application of separate MTAs for initial margin (``IM'') and variation margin (``VM'').
Fees for Reviews of the Rule Enforcement Programs of Designated Contract Markets and Registered Futures Associations
Document Number: 2021-01145
Type: Notice
Date: 2021-01-21
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') charges fees to designated contract markets and registered futures associations to recover the costs incurred by the Commission in the operation of its program of oversight of self- regulatory organization rule enforcement programs, specifically National Futures Association (``NFA''), a registered futures association, and the designated contract markets. Fees collected from each self-regulatory organization are deposited in the Treasury of the United States as miscellaneous receipts. The calculation of the fee amounts charged for 2020 by this notice is based upon an average of actual program costs incurred during fiscal year (``FY'') 2017, FY 2018, and FY 2019.
Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0074: Core Principles and Other Requirements for Swap Execution Facilities
Document Number: 2021-01081
Type: Notice
Date: 2021-01-19
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 (``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, as described below, on the proposed Information Collection Requests (``ICR'') titled: OMB Control Number 3038-0074 and Part 37, Relating to Core Principles and Other Requirements for Swap Execution Facilities.