Commodity Futures Trading Commission February 2007 – Federal Register Recent Federal Regulation Documents

Agency Information Collection Activities Under OMB Review
Document Number: 07-879
Type: Notice
Date: 2007-02-27
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].
Advertising by Commodity Pool Operators, Commodity Trading Advisors, and the Principals Thereof
Document Number: E7-3122
Type: Rule
Date: 2007-02-23
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission or CFTC) has amended Regulation 4.41, which governs advertising by commodity pool operators (CPOs), commodity trading advisors (CTAs), and the principals thereof, (1) To restrict the use of testimonials, (2) to clarify the required placement of the prescribed simulated or hypothetical performance disclaimer, and (3) to include within the regulation's coverage advertisement through electronic media (Amendments). This action is in furtherance of the Commission's longstanding view that all advertisements by CPOs, CTAs, and their principals must not be fraudulent, deceptive or misleading.
Sunshine Act Meetings
Document Number: 07-824
Type: Notice
Date: 2007-02-22
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 07-823
Type: Notice
Date: 2007-02-22
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 07-822
Type: Notice
Date: 2007-02-22
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 07-821
Type: Notice
Date: 2007-02-22
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 07-820
Type: Notice
Date: 2007-02-22
Agency: Commodity Futures Trading, Commodity Futures Trading Commission, Agencies and Commissions
Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (“SROs”)
Document Number: E7-2528
Type: Rule
Date: 2007-02-14
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commission hereby adopts final acceptable practices for minimizing conflicts of interest in decision making by designated contract markets (``DCMs'' or ``exchanges''),\1\ pursuant to Section 5(d)(15) (``Core Principle 15'') \2\ of the Commodity Exchange Act (``CEA'' or ``Act'').\3\ The final acceptable practices are the first issued for Core Principle 15 and are applicable to all DCMs.\4\ They focus upon structural conflicts of interest within modern self- regulation, and offer DCMs a ``safe harbor'' by which they may minimize such conflicts and comply with Core Principle 15. To receive safe harbor treatment, DCMs must implement the final acceptable practices in their entirety, including instituting boards of directors that are at least 35% public and establishing oversight of all regulatory functions through Regulatory Oversight Committees (``ROCs') consisting exclusively of public directors.