Commodity Futures Trading Commission October 2009 – Federal Register Recent Federal Regulation Documents
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Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the PJM WH Real Time Peak Daily Contract; PJM WH Real Time Peak Contract; PJM WH Real Time Off-Peak Contract; PJM WH Day Ahead LMP Peak Daily Contract; and PJM WH Real Time Off-Peak Daily Contract, Offered for Trading on the IntercontinentalExchange, Inc., Perform Significant Price Discovery Functions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the PJM \1\ WH \2\ Real Time Peak Daily (``PDP'') contract; PJM WH Real Time Peak (``PJM'') contract; PJM WH Real Time Off-Peak (``OPJ'') contract; PJM WH Day Ahead LMP \3\ Peak Daily (``PDA'') contract; and PJM WH Real Time Off-Peak Daily (``ODP'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), perform significant price discovery functions. Authority for this action is found in Section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the NWP Rockies Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the NWP \1\ Rockies Financial Basis (``NWR'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Socal Border Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Socal Border Financial Basis (``SCL'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the (1) Phys, BS, LD1 (US/MM), AB-NIT Contract, et al., Offered for Trading on the Natural Gas Exchange, Inc., Perform Significant Price Discovery Functions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the (1) Phys,\1\ BS,\2\ LD1 \3\ (US/MM), AB-NIT \4\ (``Alberta Basis''); (2) Phys, BS, LD1 (US/ MM), Union-Dawn \5\ (``Union-Dawn Basis''); (3) Phys, FP,\6\ (CA/ GJ),\7\ AB-NIT (``Alberta Fixed-Price''); (4) Phys, FP, (US/MM), Union- Dawn (``Union-Dawn Fixed-Price''); and (5) Phys, ID,\8\ 7a \9\ (CA/GJ), AB-NIT (``Alberta Index'') contracts, offered for trading on the Natural Gas Exchange, Inc. (``NGX''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), perform significant price discovery functions. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Fuel Oil-180 Singapore Swap Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Fuel Oil180 Singapore Swap (``SZS'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), perform a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Henry Financial Swing Contract; Henry Financial Basis Contract; and Henry Financial Index Contract, Offered for Trading on the IntercontinentalExchange, Inc., Perform Significant Price Discovery Functions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Henry Financial Swing (``HHD'') contract; Henry Financial Basis (``HEN'') contract; and/or Henry Financial Index (``HIS'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), perform significant price discovery functions. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Electronic Filing of Financial Reports and Notices
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend certain of its regulations in connection with electronic filing of financial reports and other notices (``Proposal''). The Proposal would broaden the language in the Commission's regulations applicable to electronic filings of financial reports to clarify that, to the extent a futures commission merchant (``FCM'') submits a Form 1-FR to the Commission electronically, it may do so using any user authentication procedures established or approved by the Commission. The Proposal also would permit registrants to electronically submit filings in addition to financial reports, including an election to use a non-calendar fiscal year, requests for extensions of time to file uncertified financial reports and ``early warning'' notices required under Commission regulations. In connection with the filing of financial reports, the Commission also is proposing to specify, consistent with other requirements and existing practice, that a statement of income and loss is included as a required part of the non-certified 1-FR filings for FCMs and introducing brokers (``IBs''). The Commission also is proposing to require more immediate, but less prescriptive, documentation regarding a firm's capital condition when a firm falls below its required minimum adjusted net capital. Finally, the Commission is proposing several other minor amendments to correct certain outdated references and to make other clarifications to existing regulations.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the PG&E Citygate Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the PG&E Citygate Financial Basis (``PGE'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), to Undertake a Determination Whether the HSC Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the HSC \1\ Financial Basis (``HSC'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), perform a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the NGPL TXOK Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the NGPL \1\ TxOk \2\ Financial Basis (``NTO'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Waha Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Waha Financial Basis contract (``WAH''), offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Malin Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Malin Financial Basis (``MLN'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Permian Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Permian Financial Basis (``PER'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Dominion-South Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Dominion-South Financial Basis contract (``DOM''), offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the AECO Financial Basis Contract, Offered for Trading on the Intercontinental Exchange, Inc., Performs a Significant Price Discovery Function
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the AECO Financial Basis (``AEC'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), to Undertake a Determination Whether the San Juan Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the San Juan Financial Basis (``SNJ'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Chicago Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Chicago Financial Basis (``DGD'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the TETCO-M3 Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the TETCO- M3 Financial Basis (``TMT'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the TCO Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the TCO Financial Basis (``TCO'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Zone 6-NY Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Zone 6-NY Financial Basis (``TZS'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Mid-C Financial Peak Contract; Mid-C Financial Peak Daily Contract; Mid-C Financial Off-Peak Contract; and Mid-C Financial Off-Peak Daily Contract, Offered for Trading on the IntercontinentalExchange, Inc., Perform Significant Price Discovery Functions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Mid-C Financial Peak (``MDC'') contract; Mid-C Financial Peak Daily (``MPD'') contract; Mid-C Financial Off-Peak (``OMC'') contract; and Mid-C Financial Off-Peak Daily (``MXO'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), perform significant price discovery functions. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the SP-15 Financial Day-Ahead LMP Peak Contract; SP-15 Financial Day-Ahead LMP Peak Daily Contract; SP-15 Financial Day-Ahead LMP Off-Peak Daily Contract; SP-15 Financial Swap Real Time LMP-Peak Daily Contract; SP-15 Financial Day-Ahead LMP Off-Peak Contract; NP-15 Financial Day-Ahead LMP Peak Daily Contract; and NP-15 Financial Day-Ahead LMP Off-Peak Daily Contract, Offered for Trading on the IntercontinentalExchange, Inc., Perform Significant Price Discovery Functions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the SP-15 Financial Day-Ahead LMP \1\ Peak (``SPM'') contract; SP-15 Financial Day-Ahead LMP Peak Daily (``SDP'') contract; SP-15 Financial Day-Ahead LMP Off-Peak Daily (``SQP'') contract; SP-15 Financial Swap Real Time LMPPeak Daily (``SRP'') contract; SP-15 Financial Day-Ahead LMP Off- Peak Contract (``OFP''); NP-15 Financial Day-Ahead LMP Peak Daily (``DPN'') contract; and NP-15 Financial Day-Ahead LMP Off-Peak Daily (``UNP'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)-(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), perform significant price discovery functions. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0031, Procurement Contracts
The Commodity Futures Trading Commission (``the Commission'') 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 comment in response to the notice. This notice solicits comments on requirements relating to information collected to assist the Commission in soliciting and awarding contracts.
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