Commodity Futures Trading Commission September 2008 – Federal Register Recent Federal Regulation Documents
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Execution of Transactions: Regulation 1.38 and Guidance on Core Principle 9
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is re-proposing a number of amendments to its rules, guidance and acceptable practices, initially proposed on July 1, 2004,\1\ concerning trading off the centralized market, including the addition of guidance on contract market block trading rules and exchanges of futures for commodities or derivatives positions. The Commission is re- proposing these amendments and requesting comment as part of its continuing efforts to update its regulations in light of the Commodity Futures Modernization Act of 2000 (``CFMA'').
Exemption From Registration for Certain Firms With Regulation 30.10 Relief
The Commodity Futures Trading Commission (``Commission'') has amended the regulation concerning the registration of firms located outside the U.S. that are engaged in commodity interest activities with respect to trading on U.S. designated contract markets (``DCMs'') and U.S. derivatives transaction execution facilities (``DTEFs'').\1\ The amended regulation codifies past actions of the Commission's staff to permit certain foreign firms that have confirmed relief from registration as futures commission merchants (``FCMs'') in accordance with the regulations to introduce to registered FCMs certain U.S. customers in connection with trading futures and commodity options listed on, or subject to the rules of, a U.S. DCM or DTEF without having to register as an introducing broker (``IB'') pursuant to Section 4d of the Commodity Exchange Act (``Act''). The Commission also has revoked the regulation regarding quarterly reporting requirements for foreign futures and foreign options transactions.
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0052, Establishing Procedures for Designated Contract Markets and Applicants Seeking Designation, Comment Request
The Commodity Futures Trading Commission (Commission or CFTC) is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act of 1995 (PRA), 44 U.S.C. 3501 et seq., Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information, and to allow 60 days for public comment in response to the notice. This notice solicits comments on requirements relating to Part 38 of the Commission's regulations (17 CFR 38) establishing submission and compliance procedures for designated contract markets and applicant exchanges seeking designation with the CFTC.
Privacy Act of 1974; System of Records
The CFTC proposes to adopt a new routine use that would permit disclosure of CFTC records governed by the Privacy Act when reasonably necessary to respond and prevent, minimize, or remedy harm that may result from an agency data breach or compromise.
Joint Audit Committee Operating Agreement
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is publishing for public comment an agreement submitted by the Joint Audit Committee (``JAC'') for approval pursuant to Commission Regulation 1.52.\1\ The JAC is a voluntary, cooperative organization comprised of representatives of the financial surveillance staff of designated contract markets (``DCMs'') and the National Futures Association (``NFA'') and was formed for the purpose of coordinating the monitoring and examination of common futures commission merchant (``FCM'') members of such entities. The agreement governs the operation of the JAC and the manner by which the JAC will coordinate and cooperate in examining and monitoring FCMs for compliance with Commission and self-regulatory organization (``SRO'') minimum financial and related reporting requirements. The JAC is submitting the agreement to replace the current operating agreement, which has been in effect since 1984.
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0021, Regulations Governing Bankruptcies of Commodity Brokers
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
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 crop and market information.
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0051, Part 39 Derivatives Clearing Organizations
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 Part 39 Derivatives Clearing Organizations.
Confidential Information and Commission Records and Information
On August 1, 2008, the Commission published in the Federal Register a notice of proposed rulemaking to amend the procedures under which designated contract markets, derivatives clearing organizations and derivatives transaction execution facilities (collectively, ``registered entities'') may request confidential treatment for products and rules submitted via certification procedures or for Commission review and approval pursuant to parts 40 and 41 of the Commission's regulations.\1\ Comments on the proposal originally were due on September 2, 2008. The Commission is extending the comment period in order to give interested persons additional time to comment on the proposed amendments.
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