Commodity Futures Trading Commission September 2019 – Federal Register Recent Federal Regulation Documents

Agency Information Collection Activities Under OMB Review
Document Number: 2019-21077
Type: Notice
Date: 2019-09-30
Agency: Commodity Futures Trading Commission, Agencies and Commissions
In compliance with the Paperwork Reduction Act of 1995 (``PRA''), 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.
Agency Information Collection Activities Under OMB Review
Document Number: 2019-20957
Type: Notice
Date: 2019-09-27
Agency: Commodity Futures Trading Commission, Agencies and Commissions
In compliance with the Paperwork Reduction Act of 1995 (PRA), 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.
Agency Information Collection Activities Under OMB Review
Document Number: 2019-20956
Type: Notice
Date: 2019-09-27
Agency: Commodity Futures Trading Commission, Agencies and Commissions
In compliance with the Paperwork Reduction Act of 1995 (PRA), 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.
Position Limits and Position Accountability for Security Futures Products
Document Number: 2019-20476
Type: Rule
Date: 2019-09-27
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is issuing a final rule to amend the position limit rules applicable to security futures products (``SFP'') by increasing the default maximum level of equity SFP position limits that designated contract markets (``DCMs'') may set; modifying the criteria for setting a higher position limit and position accountability level by relying primarily on estimated deliverable supply; and adjusting the time during which position limits or position accountability must be in effect. In addition, the final rule will provide DCMs discretion to apply limits to either a person's net position or a person's position on the same side of the market. The rule also includes position limit requirements and related guidance and acceptable practices for DCMs to apply in adopting position limits for SFPs based on products other than an equity security.
Agency Information Collection Activities Under OMB Review
Document Number: 2019-20888
Type: Notice
Date: 2019-09-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
In compliance with the Paperwork Reduction Act of 1995 (PRA), 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.
Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0096, Swap Data Recordkeeping and Reporting Requirements
Document Number: 2019-20749
Type: Notice
Date: 2019-09-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is announcing an opportunity for public comment on the proposed renewal of an information collection by the agency. Under the Paperwork Reduction Act (``PRA''), 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. This notice solicits comments on the swap data recordkeeping and reporting requirements on the following entities: Swap Dealers (``SDs''), Major Swap Participants (``MSPs''), and swap counterparties that are neither swap dealers nor major swap participants (``non-SD/MSP counterparties'').
Sunshine Act Meetings
Document Number: 2019-20509
Type: Notice
Date: 2019-09-20
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Public Rulemaking Procedures
Document Number: 2019-20361
Type: Proposed Rule
Date: 2019-09-20
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (the ``Commission'') is proposing to amend part 13 of its regulations to eliminate the provisions that set forth the procedure for the formulation, amendment, or repeal of rules or regulations. Because the Administrative Procedure Act (``APA'') governs the Commission's rulemaking process, the Commission believes that it is unnecessary to codify the rulemaking process in a Commission regulation. Part 13, as amended, will be comprised solely of the procedure for filing petitions for rulemakings as the APA does not address this process.
Exemption From Derivatives Clearing Organization Registration
Document Number: 2019-20189
Type: Proposed Rule
Date: 2019-09-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
On July 23, 2019, the Commodity Futures Trading Commission (Commission) published in the Federal Register a supplemental notice of proposed rulemaking (NPRM) titled Exemption from Derivatives Clearing Organization Registration. The comment period for the supplemental NPRM closes on September 23, 2019. The Commission is extending the comment period for this supplemental NPRM by an additional 60 days.
Registration With Alternative Compliance for Non-U.S. Derivatives Clearing Organizations
Document Number: 2019-20188
Type: Proposed Rule
Date: 2019-09-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
On July 19, 2019, the Commodity Futures Trading Commission (Commission) published in the Federal Register a notice of proposed rulemaking (NPRM) titled Registration With Alternative Compliance for Non-U.S. Derivatives Clearing Organizations. The comment period for the NPRM closes on September 17, 2019. The Commission is extending the comment period for this NPRM by an additional 60 days.
Technology Advisory Committee
Document Number: 2019-20177
Type: Notice
Date: 2019-09-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) announces that on October 3, 2019, from 10:00 a.m. to 3:30 p.m., the Technology Advisory Committee (TAC) will hold a public meeting in the Conference Center at the Commodity Futures Trading Commission's headquarters in Washington, DC. At this meeting, the TAC will hear presentations and actionable recommendations from the TAC subcommittees on Automated and Modern Trading Markets, Distributed Ledger Technology and Market Infrastructure, Virtual Currencies, and Cyber Security.
Sunshine Act Meetings
Document Number: 2019-19714
Type: Notice
Date: 2019-09-11
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Fees for Reviews of the Rule Enforcement Programs of Designated Contract Markets and Registered Futures Associations
Document Number: 2019-19438
Type: Notice
Date: 2019-09-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') charges fees to designated contract markets and registered futures associations to recover the costs incurred by the Commission in the operation of its program of oversight of self- regulatory organization rule enforcement programs, specifically National Futures Association (``NFA''), a registered futures association, and the designated contract markets. Fees collected from each self-regulatory organization are deposited in the Treasury of the United States as miscellaneous receipts. The calculation of the fee amounts charged for 2019 by this notice is based upon an average of actual program costs incurred during fiscal year (``FY'') 2016, FY 2017, and FY 2018.
Global Markets Advisory Committee; Meeting
Document Number: 2019-19388
Type: Notice
Date: 2019-09-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) announces that on September 24, 2019, from 9:30 a.m. to 3:00 p.m., the Global Markets Advisory Committee (GMAC) will hold a public meeting in the Conference Center at the Commodity Futures Trading Commission's headquarters in Washington, DC. At this meeting, the GMAC will hear presentations on developments regarding the implementation of margin requirements for non-centrally cleared derivatives, and on EMIR 2.2 and responses to the consultation by the European Securities and Markets Authority on various aspects of EMIR 2.2 affecting third-country central counterparties.
Sunshine Act Meetings
Document Number: 2019-19155
Type: Notice
Date: 2019-09-04
Agency: Commodity Futures Trading Commission, Agencies and Commissions