Commodity Futures Trading Commission – Federal Register Recent Federal Regulation Documents

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Meeting of Technology Advisory Committee
Document Number: 2013-09980
Type: Notice
Date: 2013-04-29
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) announces a public meeting of the CFTC Technology Advisory Committee (TAC) on Tuesday, April 30, 2013, at the CFTC's Washington, DC, headquarters from 10:00 a.m. to 4:00 p.m. The TAC will focus on issues related to swap data reporting, and will also receive updates on the industry-led technology effort to improve customer protections, as well as new requirements imposed by the Commission's regulations.
Sunshine Act Meetings
Document Number: 2013-09851
Type: Notice
Date: 2013-04-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2013-09850
Type: Notice
Date: 2013-04-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2013-09849
Type: Notice
Date: 2013-04-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2013-09848
Type: Notice
Date: 2013-04-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2013-09847
Type: Notice
Date: 2013-04-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Identity Theft Red Flags Rules
Document Number: 2013-08830
Type: Rule
Date: 2013-04-19
Agency: Commodity Futures Trading Commission, Agencies and Commissions, Securities and Exchange Commission
The Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission (``SEC'') (together, the ``Commissions'') are jointly issuing final rules and guidelines to require certain regulated entities to establish programs to address risks of identity theft. These rules and guidelines implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which amended the Fair Credit Reporting Act and directed the Commissions to adopt rules requiring entities that are subject to the Commissions' respective enforcement authorities to address identity theft. First, the rules require financial institutions and creditors to develop and implement a written identity theft prevention program designed to detect, prevent, and mitigate identity theft in connection with certain existing accounts or the opening of new accounts. The rules include guidelines to assist entities in the formulation and maintenance of programs that would satisfy the requirements of the rules. Second, the rules establish special requirements for any credit and debit card issuers that are subject to the Commissions' respective enforcement authorities, to assess the validity of notifications of changes of address under certain circumstances.
Reassignment of Commission Staff Responsibilities and Delegations of Authority
Document Number: 2013-08353
Type: Rule
Date: 2013-04-16
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commission is amending its regulations to reflect the reassignment of responsibilities, including delegations of authority, resulting from its recent reorganization of Commission staff. Effective October 9, 2011, the Commission abolished the Division of Clearing and Intermediary Oversight and reassigned its staff and responsibilities to the newly established Division of Swap Dealer and Intermediary Oversight and Division of Clearing and Risk.
Public Availability of Fiscal Year 2012 Service Contract Inventory
Document Number: 2013-08558
Type: Notice
Date: 2013-04-12
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) is publishing this notice to advise the public of the availability of CFTC's Fiscal Year (FY) 2012 Service Contract Inventory.
Delegation of Authority To Disclose Confidential Information to a Contract Market, Registered Futures Association or Self-Regulatory Organization
Document Number: 2013-08440
Type: Rule
Date: 2013-04-11
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commission is revising its regulations to add to its delegation of authority to staff respecting the disclosure of information to self-regulatory organizations newly established in the Wall Street Reform and Consumer Protection Act (the ``Dodd-Frank Act'') and not previously enumerated in the relevant regulations.
Clearing Exemption for Swaps Between Certain Affiliated Entities
Document Number: 2013-07970
Type: Rule
Date: 2013-04-11
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to exempt swaps between certain affiliated entities within a corporate group from the clearing requirement under the Commodity Exchange Act (CEA or Act), enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). The regulations include specific conditions, as well as reporting requirements, that affiliated entities must satisfy in order to elect the inter-affiliate exemption from required clearing.
Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants; Correction
Document Number: 2013-08197
Type: Rule
Date: 2013-04-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (CFTC) is correcting a final rule published in the Federal Register of September 11, 2012 (77 FR 55904). That rule, 17 CFR 23.505, took effect on November 13, 2012. Subsequently, the CFTC published final rules in the Federal Register of December 13, 2012 (77 FR 74284), that re-codified the Commission regulation at 17 CFR 39.6 as a new Commission regulation at 17 CFR 50.50. This correction amends cross-references in 17 CFR 23.505 to conform them with the final rules published on December 13, 2012.
Adaptation of Regulations to Incorporate Swaps-Records of Transactions; Correction
Document Number: 2013-07797
Type: Rule
Date: 2013-04-09
Agency: Commodity Futures Trading Commission, Agencies and Commissions
This document corrects a compliance date stated in the preamble to a notice of final rulemaking published in the Federal Register of December 21, 2012 (77 FR 75523), regarding Adaptation of Regulations to Incorporate SwapsRecords of Transactions.
Agency Information Collection Activities Under OMB Review
Document Number: 2013-08123
Type: Notice
Date: 2013-04-08
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Office of Consumer Outreach (OCO), Commodity Futures Trading Commission (CFTC), invites public comment on its proposed Information Collection Request (ICR), in compliance with the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), for the Generic Clearance for the Collection of Qualitative Feedback on Agency Service Delivery. The ICR has been submitted to the Office of Management and Budget (OMB) for approval, and describes the nature of the information collection and its expected costs and burden.
Agency Information Collection Activities; Notice of Intent to Renew Collection: Market Surveys
Document Number: 2013-08084
Type: Notice
Date: 2013-04-08
Agency: Commodity Futures Trading Commission, Agencies and Commissions
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 requirements relating to information collected to assist the Commission in the prevention of market manipulation.
Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants
Document Number: 2013-07755
Type: Rule
Date: 2013-04-08
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to make clear that each swap dealer (SD), major swap participant (MSP), and other Commission registrant with whom an associated person (AP) is associated is required to supervise the AP and is jointly and severally responsible for the activities of the AP with respect to customers common to it and any other SD, MSP or other Commission registrant.
Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees
Document Number: 2013-07538
Type: Proposed Rule
Date: 2013-04-08
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (Commission or CFTC) is proposing to amend its regulations (Proposal) to clarify certain responsibilities of a swap dealer (SD) or major swap participant (MSP) regarding its employees who solicit, accept or effect swaps in a clerical or ministerial capacity.
Final Order in Response to a Petition From Certain Independent System Operators and Regional Transmission Organizations To Exempt Specified Transactions Authorized by a Tariff or Protocol Approved by the Federal Energy Regulatory Commission or the Public Utility Commission of Texas From Certain Provisions of the Commodity Exchange Act Pursuant to the Authority Provided in the Act
Document Number: 2013-07634
Type: Notice
Date: 2013-04-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is issuing a final order (``Final Order'') in response to a consolidated petition (``Petition'') \1\ from certain regional transmission organizations (``RTOs'') and independent system operators (``ISOs'') (collectively, ``Requesting Parties'') to exempt specified transactions (``Covered Transactions'') from the provisions of the Commodity Exchange Act (``CEA'' or ``Act''),\2\ and Commission regulations. The Final Order exempts contracts, agreements, and transactions for the purchase or sale of the limited electric energy- related products that are specifically described within the Final Order from the provisions of the CEA and Commission regulations, with the exception of the Commission's general anti-fraud and anti-manipulation authority, and scienter-based prohibitions, under CEA sections 2(a)(1)(B), 4(d), 4b, 4c(b), 4o, 4s(h)(1)(A), 4s(h)(4)(A), 6(c), 6(d), 6(e), 6c, 6d, 8, 9, and 13 of the Act and any implementing regulations promulgated under these sections including, but not limited to Commission regulations 23.410(a) and (b), 32.4, and part 180. To be eligible for the exemption contained in the Final Order, the contract, agreement, or transaction must be offered or entered into in a market administered by a Requesting Party pursuant to that Requesting Party's tariff, rate schedule, or protocol (collectively, ``Tariff''), and the relevant Tariff must have been approved or permitted to have taken effect by either the Federal Energy Regulatory Commission (``FERC'') or the Public Utility Commission of Texas (``PUCT''), as applicable. In addition, the contract, agreement, or transaction must be entered into by persons who are ``appropriate persons,'' as defined in sections 4(c)(3)(A) through (J) of the Act,\3\ ``eligible contract participants,'' as defined in section 1a(18) of the Act and Commission regulations,\4\ or persons who are in the business of: (i) Generating, transmitting, or distributing electric energy, or (ii) providing electric energy services that are necessary to support the reliable operation of the transmission system. The Final Order also extends to any person or class of persons offering, entering into, rendering advice, or rendering other services with respect to the Covered Transactions. Finally, the Final Order is subject to other conditions set forth therein. Authority for issuing the exemption is found in section 4(c)(6) of the Act.\5\
Order Exempting, Pursuant to Authority of the Commodity Exchange Act, Certain Transactions Between Entities Described in the Federal Power Act, and Other Electric Cooperatives
Document Number: 2013-07633
Type: Notice
Date: 2013-04-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is exempting certain transactions between entities described in section 201(f) of the Federal Power Act (``FPA''), and/or other electric utility cooperatives, from the provisions of the Commodity Exchange Act (``CEA'' or ``Act'') and the Commission's regulations, subject to certain anti-fraud, anti-manipulation, and record inspection conditions. Authority for this exemption is found in section 4(c) of the CEA.
Sunshine Act Meetings
Document Number: 2013-07020
Type: Notice
Date: 2013-03-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2013-07019
Type: Notice
Date: 2013-03-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2013-07018
Type: Notice
Date: 2013-03-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2013-07017
Type: Notice
Date: 2013-03-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Agency Information Collection Activities Under OMB Review
Document Number: 2013-06148
Type: Notice
Date: 2013-03-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
In compliance with the Paperwork Reduction Act, 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 also includes the actual data collection instruments, if any.
Sunshine Act Meeting
Document Number: 2013-04568
Type: Notice
Date: 2013-02-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-04567
Type: Notice
Date: 2013-02-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-04566
Type: Notice
Date: 2013-02-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-04565
Type: Notice
Date: 2013-02-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-04563
Type: Notice
Date: 2013-02-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Proceedings Before the Commodity Futures Trading Commission
Document Number: 2013-04252
Type: Rule
Date: 2013-02-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'') is amending its Rules of Practice, Rules Relating to Reparation Proceedings, and its Rules Relating to Review of National Futures Association (``NFA'') Decisions in Disciplinary, Membership Denial, Registration and Membership Responsibility Actions, to simplify and clarify service, filing and formatting requirements, particularly those requirements applicable to electronic service and filing. The Commission is also amending its Rules Relating to Reparations Proceedings to clarify the authority of its Judgment Officers.
Agency Information Collection Activities Under OMB Review
Document Number: 2013-03792
Type: Notice
Date: 2013-02-20
Agency: Commodity Futures Trading Commission, Agencies and Commissions
In compliance with the Paperwork Reduction Act, 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.
Sunshine Act Meeting-Closed Meeting
Document Number: 2013-02096
Type: Notice
Date: 2013-01-30
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Agency Information Collection Activities Under OMB Review
Document Number: 2013-01724
Type: Notice
Date: 2013-01-29
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.
Sunshine Act Meetings
Document Number: 2013-01758
Type: Notice
Date: 2013-01-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Agency Information Collection Activities: Proposed Collection, Comment Request: Generic Clearance for the Collection of Qualitative Feedback on Agency Service Delivery
Document Number: 2013-01607
Type: Notice
Date: 2013-01-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is announcing an opportunity for public comment on a proposed collection of certain information by the Commission's Office of Consumer Outreach (``OCO''). Under the Paperwork Reduction Act (``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 public comment. The Commission is soliciting comments for a proposed generic information collection that will help the CFTC satisfy responsibilities under the Dodd-Frank Wall Street Reform and Consumer Protection Act, Public Law 111-2-3 (``Dodd-Frank Act''), found in Section 748 of the Dodd-Frank Act. The proposed generic information collection will provide the OCO a means to gather qualitative consumer and stakeholder feedback in an efficient, timely manner to facilitate service delivery.
Sunshine Act Meetings
Document Number: 2013-01734
Type: Notice
Date: 2013-01-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2013-01731
Type: Notice
Date: 2013-01-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2013-01730
Type: Notice
Date: 2013-01-25
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Extension of Comment Period for the Rulemaking Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations
Document Number: 2013-00820
Type: Proposed Rule
Date: 2013-01-18
Agency: Commodity Futures Trading Commission, Agencies and Commissions
On November 14, 2012, the Commodity Futures Trading Commission (``Commission'') published in the Federal Register a notice of proposed rulemaking (the ``Customer Protection Proposal'') \1\ to adopt new regulations and amend existing regulations to require enhanced customer protections, risk management programs, internal monitoring and controls, capital and liquidity standards, customer disclosures, and auditing and examination programs for futures commission merchants (``FCMs''). The Customer Protection Proposal also addressed certain related issues concerning derivatives clearing organizations (``DCOs'') and chief compliance officers (``CCOs''). In order to provide interested parties with an additional opportunity to comment on the Customer Protection Proposal, the Commission is extending the comment period for the Customer Protection Proposal.
Agency Information Collection Activities: Financial Education Content Needs Survey
Document Number: 2013-00802
Type: Notice
Date: 2013-01-16
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.
Sunshine Act Meeting-Closed Meeting
Document Number: 2013-00787
Type: Notice
Date: 2013-01-15
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Agency Information Collection Activities Under OMB Review
Document Number: 2013-00521
Type: Notice
Date: 2013-01-14
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.
Rules of Practice; Amendments to Delegations of Authority to the Office of General Counsel
Document Number: 2012-31721
Type: Rule
Date: 2013-01-08
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is amending its regulations delegating authority to the Commission's Office of General Counsel, so that all delegations thereto will be to the General Counsel, with authority to sub-delegate to any Commission employee under the supervision of the General Counsel.
Final Exemptive Order Regarding Compliance With Certain Swap Regulations
Document Number: 2012-31736
Type: Rule
Date: 2013-01-07
Agency: Commodity Futures Trading Commission, Agencies and Commissions
On July 12, 2012, the Commodity Futures Trading Commission (``Commission'' or ``CFTC'') published for public comment, pursuant to section 4(c) of the Commodity Exchange Act (``CEA''), a proposed order (``Proposed Order'') that would grant market participants temporary conditional relief from certain provisions of the CEA, as amended by Title VII of the Dodd- Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'' or ``Dodd-Frank''), and the Commission also published its proposed interpretive guidance and policy statement (``Proposed Guidance'') regarding the cross-border application of the swap provisions of the CEA as added by Title VII of the Dodd-Frank Act. The Commission has determined to finalize the Proposed Order, with certain modifications and clarifications to address public comments. Under this final order (``Final Order''), a non-U.S. person that registers as a swap dealer (``SD'') or major swap participant (``MSP'') may delay compliance with certain entity-level requirements of the CEA (and Commission regulations promulgated thereunder), and non-U.S. SDs and MSPs and foreign branches of U.S. SDs and MSPs may delay compliance with certain transaction-level requirements of the CEA (and Commission regulations promulgated thereunder), subject to specified conditions. In addition, the Commission is separately proposing further guidance on certain specific aspects of the Proposed Guidance (``Further Proposed Guidance'').
Further Proposed Guidance Regarding Compliance With Certain Swap Regulations
Document Number: 2012-31734
Type: Proposed Rule
Date: 2013-01-07
Agency: Commodity Futures Trading Commission, Agencies and Commissions
On July 12, 2012, the Commodity Futures Trading Commission (``Commission'' or ``CFTC'') published for public comment, pursuant to section 4(c) of the Commodity Exchange Act (``CEA''), a proposed order (``Proposed Order'') that would grant market participants temporary conditional relief from certain provisions of the CEA, as amended by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'' or ``Dodd-Frank''), and the Commission also published its proposed interpretive guidance and policy statement (``Proposed Guidance'') regarding the cross-border application of the swap provisions of the CEA as added by Title VII of the Dodd-Frank Act. The Commission is proposing further guidance on certain specific aspects of the Proposed Guidance (``Further Proposed Guidance''). The Commission has separately determined to finalize the Proposed Order.
Business Conduct and Documentation Requirements for Swap Dealers and Major Swap Participants; Extension of Compliance Date
Document Number: 2012-30885
Type: Rule
Date: 2013-01-02
Agency: Commodity Futures Trading Commission, Agencies and Commissions
The Commodity Futures Trading Commission (``Commission'') is changing the compliance dates for certain rules in the Commission's regulations governing business conduct standards for swap dealers (``SDs'') and major swap participants (``MSPs''), and certain rules requiring SDs and MSPs to engage in portfolio reconciliation and to have certain documentation with their swap counterparties. The Commission is extending the compliance date for certain rules by four months, and up to six months for others. The extended compliance dates are intended to provide SDs and MSPs with additional time to achieve compliance with certain regulations.
Agency Information Collection Activities: Notice of Intent to Renew Collection, Futures Volume, Open Interest, Price, Deliveries and Exchange of Futures for Physicals
Document Number: 2012-31252
Type: Notice
Date: 2012-12-31
Agency: Commodity Futures Trading Commission, Agencies and Commissions
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 futures volume, open interest, price, deliveries, and exchange of futures for physicals.
Privacy of Consumer Financial Information Under Title V of the Gramm-Leach-Bliley Act
Document Number: 2012-31273
Type: Rule
Date: 2012-12-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2012-31251
Type: Notice
Date: 2012-12-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2012-31250
Type: Notice
Date: 2012-12-28
Agency: Commodity Futures Trading Commission, Agencies and Commissions
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