Commodity Futures Trading Commission 2008 – Federal Register Recent Federal Regulation Documents
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Proposed Exemptive Order for ST Gold Futures Contracts
The Commodity Futures Trading Commission (Commission) is proposing to exempt certain transactions in physically delivered futures contracts based on streetTRACKS[reg] Gold Trust Shares (ST gold futures contracts) \1\ from those provisions of the Commodity Exchange Act (CEA or Act),\2\ and the Commission's regulations thereunder, that are inconsistent with the trading and clearing of ST gold futures contracts as security futures. The proposed exemption would be conditioned on the compliance of transactions in ST gold futures contracts with the requirements established for security futures. The authority for the issuance of this exemption is found in Section 4(c) of the Act.\3\
Amendments Pertinent to Registered Entities and Exempt Commercial Markets
The Commission is adopting final regulations that effectuate the following amendments to the Commission's regulations. The amendments delegate the Commission's authority to issue special calls to exempt commercial markets to the Director of the Division of Enforcement and that Director's designees. The amendments clarify the process for listing, clearing, or implementing products or rules, including dormant products and rules, and amend the definition of emergency to clarify that persons other than persons comprising a registered entity's full governing board may declare an emergency on behalf of the governing board. The amendments also amend the approval period for designated contract market rules that may change a material term or condition of an enumerated agricultural futures or options contract. Lastly, the amendments clarify how far in advance of implementation registered entities must submit self-certified contracts and rules to the Commission, and identify three additional categories of rules that may be implemented without certification or Commission approval.
Agency Information Collection Activities Under OMB Review; Activities; Notice of Intent To Renew Collection 3038-0026, Gross Collection of ExChange-Set Margins for Omnibus Accounts
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].
Exemption From Registration for Certain Firms With Regulation 30.10 Relief
The Commodity Futures Trading Commission (``Commission'') is proposing to amend the regulations regarding the registration of certain 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. derivative transaction execution facilities (``DTEFs'').\1\ The amended regulation would codify past actions of the Commission's staff permitting 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 U.S. DCM and DTEF listed futures and commodity options without having to register as an introducing broker pursuant to section 4d of the Commodity Exchange Act (``Act''). The Commission also is proposing to revoke the regulations regarding quarterly reporting requirements for foreign futures and foreign options transactions.
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0013, Exemptions From Speculative Limits
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 exemptions from speculative limits.
Requests Pursuant to Section 4(c) of the Commodity Exchange Act To Extend the Exemption Granted Under Part 35 of the Commission's Regulations to Certain Over-The-Counter Swaps and To Determine as Eligible Swap Participants Certain Floor Brokers and Traders
The Commodity Futures Trading Commission (``Commission'') published on December 6, 2007, a notice of request for comment on exemption requests.\1\ Specifically, the Commission requested comment on whether to extend the exemption granted under Part 35 of the Commission's regulations to certain over-the-counter (``OTC'') swaps that do not meet certain of the requirements otherwise imposed by Commission Regulation 35.2., as requested by ICE Clear U.S., Inc., a registered derivatives clearing organization, pursuant to section 4(c) of the Commodity Exchange Act (``Act''). The Commission also requested comment on a request from ICE Futures U.S., Inc. pursuant to section 4(c) of the Act that certain floor traders and floor brokers who are registered with the Commission, when trading for their own accounts, may be determined to be eligible swap participants and permitted to enter into certain specified OTC swap transactions.
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