Public Comments

Public Information Collection  77 FR 66819  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0098: Exemptive Order Regarding Compliance With Certain Swap Regulations

Proposed Rule  77 FR 67866  //   PDF Version

17 CFR Parts 1, 3, 22, 30, and 140 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

78 FR 4093 ,  1/18/2013  //   PDF Version

17 CFR Parts 1, 3, 22, 30 and 140 Extension of Comment Period for the Rulemaking Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

78 FR 68506 ,  11/14/2013  //   PDF Version

17 CFR Parts 1, 3, 22, 30, and 140 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

79 FR 14174 ,  3/13/2014  //   PDF Version

17 CFR Part 30 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

79 FR 26831 ,  5/12/2014  //   PDF Version

17 CFR Part 1 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

79 FR 44125 ,  7/30/2014  //   PDF Version

17 CFR Parts 1, 30, and 140 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

Industry Filing  IF 12-014

Request from the Chicago Mercantile Exchange Inc. to Adopt New Chapter 10 (“Regulatory Reporting of Swap Data”) and New Rule 1001 (“Regulatory Reporting of Swap Data”) of CME’s Rulebook

The Commodity Futures Trading Commission (Commission) is accepting public comment on an amended request from the Chicago Mercantile Exchange Inc. (CME) for approval of a rule (Rule 1001) submitted pursuant to section 40.5 of the Commission’s regulations.

Public Information Collection  77 FR 69806  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection, Procurement Contracts

General CFTC  CFTC Staff to Host Public Roundtable to Discuss the "Futurization of Swaps"

The Commodity Futures Trading Commission (CFTC) today announced that staff will hold a public roundtable on January 31, 2013, from 9:30 a.m. to 3:15 p.m., to discuss the “futurization” of the swaps market. The roundtable will consist of four panels, discussing 1) general industry views and concerns regarding the conversion of swaps to futures in each asset class; 2) clearing and different margin requirements for swaps and futures; 3) transaction-related matters including appropriate block rules for swaps and futures; and 4) the effect of the conversion of swaps to futures on end-users.

Related Videos:

View Roundtable Video Part I

View Roundtable Video Part II

Proposed Rule  78 FR 17  //   PDF Version

17 CFR Part 23 Business Conduct and Documentation Requirements for Swap Dealers and Major Swap Participants; Extension of Compliance Date

Proposed Rule  78 FR 909  //   PDF Version

17 CFR Chapter I Further Proposed Guidance Regarding Compliance With Certain Swap Regulations

78 FR 43785 ,  7/22/2013  //   PDF Version

17 CFR Chapter I Exemptive Order Regarding Compliance With Certain Swap Regulations

Public Information Collection  78 FR 2661  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  77 FR 74647  //   PDF Version

Agency Information Collection Activities: Proposed Collection, Comment Request: Form TO, Annual Notice Filing for Counterparties to Unreported Trade Options

Public Information Collection  78 FR 3403  //   PDF Version

Agency Information Collection Activities: Financial Education Content Needs Survey

Proposed Rule  78 FR 4093  //   PDF Version

17 CFR Parts 1, 3, 22, 30 and 140 Extension of Comment Period for the Rulemaking Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

77 FR 67866 ,  11/14/2012  //   PDF Version

17 CFR Parts 1, 3, 22, 30, and 140 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

78 FR 68506 ,  11/14/2013  //   PDF Version

17 CFR Parts 1, 3, 22, 30, and 140 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

79 FR 14174 ,  3/13/2014  //   PDF Version

17 CFR Part 30 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

79 FR 26831 ,  5/12/2014  //   PDF Version

17 CFR Part 1 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

79 FR 44125 ,  7/30/2014  //   PDF Version

17 CFR Parts 1, 30, and 140 Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction

General CFTC  CFTC Staff to Host a Public Roundtable to Discuss Proposed Rulemaking Enhancing Protections Afforded

The Commodity Futures Trading Commission (CFTC) today announced that staff will hold a public roundtable on Tuesday, February 5, 2013, from 9:30 a.m. to 5:00 p.m., to discuss the Commission’s proposed rulemaking, “Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations,” which was published for public comment on November 14, 2012.

All comments must be identified by RIN number: 3038-AD88.

Related Videos:

View Roundtable Video Part I

View Roundtable Video Part II

Public Information Collection  78 FR 6074  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  77 FR 77038  //   PDF Version

Agency Information Collection Activities: Notice of Intent to Renew Collection, Futures Volume, Open Interest, Price, Deliveries and Exchange of Futures for Physicals

Industry Filing  IF 13-001

Request on trueEX LLC for an Amended DCM Order to Allow Intermediated Trading on its Platform

The Commodity Futures Trading Commission (CFTC) is requesting public comment on the request submitted by trueEX LLC (trueEX) to amend its order of designation, dated September 25, 2012.  trueEX seeks to amend its designation order to allow intermediated trading on its platform.

Public Information Collection  78 FR 11856  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  78 FR 5780  //   PDF Version

Agency Information Collection Activities: Proposed Collection, Comment Request: Generic Clearance for the Collection of Qualitative
Feedback on Agency Service Delivery

Public Information Collection  78 FR 16663  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  78 FR 20897  //   PDF Version

Agency Information Collection Activities Under OMB Review

Proposed Rule  78 FR 20848  //   PDF Version

17 CFR Part 23 Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees

78 FR 64173 ,  10/28/2013  //   PDF Version

17 CFR Part 23 Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees

Public Information Collection  78 FR 20898  //   PDF Version

Agency Information Collection Activities; Notice of Intent to Renew Collection: Market Surveys

Public Information Collection  78 FR 35261  //   PDF Version

Agency Information Collection Activities; Notice of Intent To Renew Collection: Market Surveys

Orders and Other Announcements  78 FR 41384  //   PDF Version

Agricultural Advisory Committee Meeting

Industry Filing  IF 13-002

Request from CME Group to Issue Market Regulation Advisory Notice Regarding CME Rule 534 ("Wash Trades Prohibited")

The Commodity Futures Trading Commission (CFTC) is requesting public comment on a request from the Chicago Mercantile Exchange Inc., The Board of Trade of the City of Chicago, Inc., New York Mercantile Exchange, Inc., Commodity Exchange, Inc., and Kansas City Board of Trade, Inc., for approval of CME Group Market Regulation Advisory Notice RA1308-5 submitted pursuant to section 40.5 of the CFTC’s regulations.

Orders and Other Announcements  78 FR 43785  //   PDF Version

17 CFR Chapter I Exemptive Order Regarding Compliance With Certain Swap Regulations

78 FR 909 ,  1/7/2013  //   PDF Version

17 CFR Chapter I Further Proposed Guidance Regarding Compliance With Certain Swap Regulations

Orders and Other Announcements  78 FR 50040  //   PDF Version

Technology Advisory Committee

Proposed Rule  78 FR 50260  //   PDF Version

17 CFR Parts 39, 140, and 190 Derivatives Clearing Organizations and International Standards

78 FR 72476 ,  12/2/2013  //   PDF Version

17 CFR Parts 39, 140, and 190 Derivatives Clearing Organizations and International Standards

Industry Filing  IF 13-003

Request from CME Group to Amend Rule 538 (Exchange for Related Positions)

The Commodity Futures Trading Commission (CFTC) is requesting public comment on a request from the Chicago Mercantile Exchange Inc., the Board of Trade of the City of Chicago, Inc., New York Mercantile Exchange, Inc., Commodity Exchange, Inc., and the Board of Trade of Kansas City, Missouri, Inc. (collectively, the Exchanges), for approval of amendments to existing Rule 538 of the Exchanges’ rulebooks and the issuance of CME Group Market Regulation Advisory Notice RA1311-5.

Orders and Other Announcements  78 FR 52166  //   PDF Version

Quantitative Messaging Research

Industry Filing  IF 13-006

Requesting Public Comment on an Application by Singapore Exchange Derivatives Clearing Limited for Registration as a Derivatives Clearing Organization

The U.S. Commodity Futures Trading Commission (CFTC) is asking for public comment on an application by Singapore Exchange Derivatives Clearing Limited for registration as a derivatives clearing organization.

Industry Filing  IF 13-005

Request Public Comment on Certification from trueEX, LLC to Implement Available-to-Trade Determinations for Certain Interest Rate Swaps

The Commodity Futures Trading Commission (CFTC or Commission) is requesting public comment on a certification from trueEX, LLC (trueEX) to implement available-to-trade determinations for certain interest rate swap contracts.  trueEX submitted its available-to-trade determinations to the Commission on a self-certified basis pursuant to Commission regulations 37.10 and 40.6.  If trueEX’s submission is deemed certified by operation of Commission regulation 40.6, such swap contracts, whether listed or offered by trueEX or any other designated contract market (DCM) or swap execution facility (SEF), will be subject to the trade execution requirement under section 2(h)(8) of the Commodity Exchange Act (CEA).  All transactions involving swaps that are subject to the trade execution requirement generally must be executed on either a DCM or a SEF.  In addition, to the extent that such transactions are executed on a SEF, they must be executed in accordance with the execution methods prescribed by Commission regulation 37.9(a)(2).

Public Information Collection  78 FR 64202  //   PDF Version

Quantitative Messaging Research

Industry Filing  IF 13-007

Requesting Public Comment on Certification from TW SEF LLC to Implement Available-to-Trade Determinations for Certain Interest Rate and Credit Default Swaps

The Commodity Futures Trading Commission (CFTC or Commission) is requesting public comment on a certification from TW SEF LLC (TW SEF) to implement available-to-trade determinations for certain interest rate and credit default swap contracts.  TW SEF submitted its available-to-trade determinations to the Commission on a self-certified basis pursuant to Commission regulations 37.10 and 40.6.  If TW SEF’s submission is deemed certified by operation of Commission regulation 40.6, such swap contracts, whether listed or offered by TW SEF or any other designated contract market (DCM) or swap execution facility (SEF), will be subject to the trade execution requirement under section 2(h)(8) of the Commodity Exchange Act (CEA).  All transactions involving swaps that are subject to the trade execution requirement generally must be executed on either a DCM or a SEF.  In addition, to the extent that such transactions are executed on a SEF, they must be executed in accordance with the execution methods prescribed by Commission regulation 37.9(a)(2).

Industry Filing  IF 13-004

Requesting Public Comment on Certification from Javelin SEF, LLC to Implement Available-to-Trade Determinations for Certain Interest Rate Swaps

The Commodity Futures Trading Commission (CFTC or Commission) is requesting public comment on a certification from Javelin SEF, LLC (Javelin) to implement available-to-trade determinations for certain interest rate swap contracts.  Javelin submitted its available-to-trade determinations to the Commission on a self-certified basis pursuant to Commission regulations 37.10 and 40.6.  If Javelin’s submission is deemed certified by operation of Commission regulation 40.6, such swap contracts, whether listed or offered by Javelin or any other designated contract market (DCM) or swap execution facility (SEF), will be subject to the trade execution requirement under section 2(h)(8) of the Commodity Exchange Act (CEA).  All transactions involving swaps that are subject to the trade execution requirement generally must be executed on either a DCM or a SEF.  In addition, to the extent that such transactions are executed on a SEF, they must be executed in accordance with the execution methods prescribed by Commission regulation 37.9(a)(2).

Industry Filing  IF 13-008

Reguesting Public Comment on Certification from MarketAxess SEF Corporation to Implement Available-to-Trade Determinations for Certain Credit Default Swaps

The U.S. Commodity Futures Trading Commission (CFTC) is requesting public comment on a certification from MarketAxess SEF Corporation (MarketAxess) to implement available-to-trade determinations for certain credit default swap contracts.  MarketAxess submitted its available-to-trade determinations to the CFTC on a self-certified basis pursuant to CFTC regulations 37.10 and 40.6.  If MarketAxess’s submission is deemed certified by operation of CFTC regulation 40.6, such swap contracts, whether listed or offered by MarketAxess or any other designated contract market (DCM) or swap execution facility (SEF), will be subject to the trade execution requirement under section 2(h)(8) of the Commodity Exchange Act (CEA).  All transactions involving swaps that are subject to the trade execution requirement generally must be executed on either a DCM or a SEF.  In addition, to the extent that such transactions are executed on a SEF, they must be executed in accordance with the execution methods prescribed by CFTC regulation 37.9(a)(2).

Industry Filing  IF 13-009

Requesting Public Comment on Amended Request from CME Group to Amend Rule 538 (Exchange for Related Positions)

The Commodity Futures Trading Commission (CFTC) is requesting public comment on an amended request from the Chicago Mercantile Exchange Inc., the Board of Trade of the City of Chicago, Inc., New York Mercantile Exchange, Inc., Commodity Exchange, Inc., and the Board of Trade of Kansas City, Missouri, Inc. (collectively, the Exchanges), for approval of amendments to existing Rule 538 of the Exchanges’ rulebooks and the issuance of CME Group Market Regulation Advisory Notice RA1311-5.

Orders and Other Announcements  78 FR 56542  //   PDF Version

17 CFR Chapter I Concept Release on Risk Controls and System Safeguards for Automated Trading Environments

79 FR 4104 ,  1/24/2014  //   PDF Version

17 CFR Chapter I Concept Release on Risk Controls and System Safeguards for Automated Trading Environments