Commodity Futures Trading Commission 2005 – Federal Register Recent Federal Regulation Documents

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Agency Information Collection Activities Under OMB Review
Document Number: 05-14063
Type: Notice
Date: 2005-07-18
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).
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: 05-13467
Type: Proposed Rule
Date: 2005-07-11
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\ The amendments proposed herein 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 proposed amendments also would make various technical corrections and conforming amendments to the rules.
Agency Information Collection Activities: Rules Relating to Regulation of Domestic Exchange-Traded Options
Document Number: 05-12622
Type: Notice
Date: 2005-06-27
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 related to risk disclosure concerning exchanged traded commodity options.
Agency Information Collection Activities: Notification of Pending Legal Proceedings
Document Number: 05-12216
Type: Notice
Date: 2005-06-21
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 the rule requiring notification of pending legal proceedings pursuant to 17 C.F.R. 1.60.
Sunshine Act Meetings Notice
Document Number: 05-12054
Type: Notice
Date: 2005-06-17
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 05-12053
Type: Notice
Date: 2005-06-17
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 05-12052
Type: Notice
Date: 2005-06-17
Agency: Department of Commodity Futures Trading Commission, Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings Notice
Document Number: 05-12051
Type: Notice
Date: 2005-06-17
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings Notice
Document Number: 05-12050
Type: Notice
Date: 2005-06-17
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Investment of Customer Funds and Record of Investments
Document Number: C5-9794
Type: Rule
Date: 2005-06-06
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 05-10037
Type: Notice
Date: 2005-05-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 05-10036
Type: Notice
Date: 2005-05-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 05-10035
Type: Notice
Date: 2005-05-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 05-10034
Type: Notice
Date: 2005-05-18
Agency: Commodity Futures Trading, Commodity Futures Trading Commission, Agencies and Commissions
Investment of Customer Funds and Record of Investments
Document Number: 05-9794
Type: Rule
Date: 2005-05-17
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'') is amending its regulations regarding investment of customer funds and related recordkeeping requirements. The amendments address standards for investing in instruments with certain features, requirements for adjustable rate securities, concentration limits on reverse repurchase agreements (``reverse repos''), transactions by futures commission merchants (``FCMs'') that are also registered as securities broker- dealers (``FCM/BDs''), rating standards and registration requirement for money market mutual funds (``MMMFs''), the auditability standard for investment records, and certain technical changes. Among those technical changes is an amendment to the Commission's recordkeeping rules in connection with repurchase agreements (``repos'') and proposed transactions by FCM/BDs.
Amendment of Interpretation
Document Number: 05-9386
Type: Notice
Date: 2005-05-11
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Section 4d(a)(2) of the Commodity Exchange Act (``CEA'') and related Commission regulations (hereinafter collectively referred to as ``segregation requirements'') require that all funds received by a futures commission merchant (``FCM'') from a customer to margin, guarantee, or secure futures or commodity options transactions and all accruals thereon be accounted for separately, and not be commingled with the FCM's own funds or used to margin the trades of or two extend credit to any other person.\1\ Further, Section 4d(a)(2) has been construed to require that customer funds, when deposited with any bank, trust company, clearing organization or another FCM, be available to the FCM carrying the customer account upon demand.\2\
Revision of Federal Speculative Position Limits
Document Number: 05-9383
Type: Rule
Date: 2005-05-11
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission) is amending Commission regulation 150.2 to increase the speculative position limit levels for all single-month and all-months-combined positions subject to such limits. In addition, the Commission is making other clarifying amendments concerning the aggregation of positions when a Designated Contract Market (DCM) trades two or more contracts with substantially identical terms, and is deleting several obsolete provisions in part 150 that relate to contracts that are no longer listed for trading or to DCMs that no longer exist.
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0021, Regulations Governing Bankruptcies of Commodity Brokers
Document Number: 05-8758
Type: Notice
Date: 2005-05-03
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 Regulations Governing Bankruptcies of Commodity Brokers.
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0015, Copies of Crop and Market Information Reports
Document Number: 05-8757
Type: Notice
Date: 2005-05-03
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 large trade reports.
Sunshine Act Meetings
Document Number: 05-8043
Type: Notice
Date: 2005-04-20
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 05-8042
Type: Notice
Date: 2005-04-20
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 05-8041
Type: Notice
Date: 2005-04-20
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 05-8040
Type: Notice
Date: 2005-04-20
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Technology Advisory Committee Meeting
Document Number: 05-7296
Type: Notice
Date: 2005-04-12
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Agricultural Advisory Committee; Eleventh Renewal
Document Number: 05-6779
Type: Notice
Date: 2005-04-06
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Commodity Pool Operators and Commodity Pool Industry Issues; Meeting
Document Number: 05-6084
Type: Notice
Date: 2005-03-29
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 issues concerning commodity pool operators and the commodity pool industry. An agenda and list of participants will be available on the Commission's Web site, http:// www.cftc.gov.
Sunshine Act Meeting
Document Number: 05-5489
Type: Notice
Date: 2005-03-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 05-5488
Type: Notice
Date: 2005-03-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 05-5487
Type: Notice
Date: 2005-03-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 05-5486
Type: Notice
Date: 2005-03-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 05-5485
Type: Notice
Date: 2005-03-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Revision of Federal Speculative Position Limits
Document Number: 05-5088
Type: Proposed Rule
Date: 2005-03-15
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission) periodically reviews its policies and rules pertaining to the regulatory framework for speculative position limits, including the speculative position limits set out in Commission regulation 150.2 (Federal speculative position limits). In this regard, the Commission has reviewed the existing levels for Federal speculative position limits and is now proposing to increase these limits for all single- month and all-months-combined positions. In addition, the Commission is proposing to delete several obsolete provisions that relate to contracts that are no longer listed for trading or to DCMs that no longer exist. The Commission is requesting comment on these rule amendments.
Sunshine Act Meetings
Document Number: 05-3285
Type: Notice
Date: 2005-02-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 05-3284
Type: Notice
Date: 2005-02-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 05-3283
Type: Notice
Date: 2005-02-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 05-3282
Type: Notice
Date: 2005-02-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Distribution of “Risk Disclosure Statement” by Futures Commission Merchants and Introducing Brokers
Document Number: C5-1906
Type: Rule
Date: 2005-02-14
Agency: Securities and Exchange Commission, Agencies and Commissions, Commodity Futures Trading Commission
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: 05-2368
Type: Notice
Date: 2005-02-08
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 provides 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'') is effective for a two-year period and thus will expire on February 4, 2005.
Distribution of “Risk Disclosure Statement” by Futures Commission Merchants and Introducing Brokers
Document Number: 05-1906
Type: Rule
Date: 2005-02-04
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is amending Rule 1.55 to provide that non-institutional customers may indicate with a single signature, in addition to the acknowledgment of receipt of various disclosures and the making of certain elections, the consent referenced in Rules 155.3(b)(2) and 155.4(b)(2) and 155.4(b)(2) concerning customer permission for futures commission merchants (``FCMs'') and introducing brokers (``IBs'') to take the opposite side of an order. The Commission is also amending Rule 1.55(f) to specify that the acknowledgments required by Rules 155.3(b)(2) and 155.4(b)(2) are not required of institutional customers when they open an account.
Investment of Customer Funds and Record of Investments
Document Number: 05-2000
Type: Proposed Rule
Date: 2005-02-03
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'') is proposing to amend its regulations regarding investment of customer funds and related recordkeeping requirements. The proposed amendments address standards for investing in instruments with embedded derivatives, requirements for adjustable rate securities (including auction rate securities), concentration limits on reverse repurchase agreements (``reverse repos''), transactions by futures commission merchants (``FCMs'') that are also registered as securities broker- dealers (``FCM/BDs''), rating standards and registration requirement for money market mutual funds (``MMMFs''), auditability standard for investment records, and certain technical changes. Among those technical changes is an amendment to the Commission's recordkeeping rules in connection with repurchase agreements (``repos'') and proposed transactions by FCM/BDs.
05-1907
Document Number: 05-1907
Type: Notice
Date: 2005-02-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Section 4d(a)(2) of the Commodity Exchange Act (``CEA'') and related Commission regulations (hereinafter collectively referred to as ``segregation requirements'') require that, among other things, all funds deposited with a futures commission merchant (``FCM'') to purchase, margin, guarantee, or secure futures or commodity options transactions and all accruals thereon (``customer funds'' or ``customer margin'') be accounted for separately, be held for the benefit of customers and deposited under an account name that clearly identifies them as such, and not be commingled with the FCM's own funds,\1\ Further, the Division of Clearing and Intermediary Oversight (``Division'') has construed these provisions to prohibit any impediments or restrictions upon an FCM's ability to obtain immediate access to customer funds.
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0013, Exemptions From Speculative Limits
Document Number: 05-1386
Type: Notice
Date: 2005-01-26
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, and to allow 60 days for public comment in response to the notice. This notice solicits comments on exemptions from speculative limits.
Sunshine Act Meeting
Document Number: 05-1117
Type: Notice
Date: 2005-01-19
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act; Meeting
Document Number: 05-1116
Type: Notice
Date: 2005-01-19
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 05-1115
Type: Notice
Date: 2005-01-19
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 05-1114
Type: Notice
Date: 2005-01-19
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Agency Information Collection Activities Under OMB Review
Document Number: 05-910
Type: Notice
Date: 2005-01-18
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).
Delegation of Authority to Director of the Division of Clearing and Intermediary Oversight; Correction
Document Number: 05-817
Type: Rule
Date: 2005-01-14
Agency: Commodity Futures Trading Commission, Agencies and Commissions
This document contains technical amendments to the final rule amendments that were published on October 7, 2002 (67 FR 62350). This rule relates to delegations of authority from the Commodity Futures Trading Commission (Commission) to its staff.
Performance of Certain Functions by National Futures Association With Respect to Those Foreign Firms Acting in the Capacity of a Futures Commission Merchant
Document Number: 05-814
Type: Notice
Date: 2005-01-14
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'') is authorizing the National Futures Association (``NFA'') to confirm exemptive relief to certain firms acting in the capacity of a futures commission merchant (``FCM'') that are subject to regulation by a foreign futures authority or that are members of a foreign self- regulatory organization (``SRO'') in a particular jurisdiction to which an order under Commission Rule 30.10 has been issued, notwithstanding that such firms may be subject, in part, to joint regulation by a second regulator or SRO in another jurisdiction. The Commission previously authorized NFA to confirm exemptive relief solely to firms subject to regulation by a single foreign futures authority or that are members of a foreign SRO. This Order extends the scope of that authority. The Commission also is authorizing NFA to maintain records pertaining to the functions described in this Order and to serve as the official custodian of those Commission records.
Rules Relating to Review of National Futures Association Decisions in Disciplinary, Membership Denial, Registration and Member Responsibility Actions
Document Number: 05-709
Type: Rule
Date: 2005-01-13
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') hereby amends its rules relating to the scope of Commission review of National Futures Association (``NFA'') decisions in disciplinary, membership denial, registration and member responsibility actions. First, the Commission makes a technical amendment to add the NFA's Hearing Committee to the list of committees covered by that section. This change conforms Rule 171.1(b)(4) to changes in NFA's committee structure since part 171 was first adopted in October 1990. Secondly, the Commission adds a new provision to exclude from Commission review any appeal concerning NFA suspension of a member for failing to pay settlement or arbitration award (``award suspension cases'') unless there are extraordinary circumstances that would otherwise warrant Commission review.