Public Comments

Proposed Rule  78 FR 67078  //   PDF Version

17 CFR Part 170 Membership in a Registered Futures Association

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Industry Filing  IF 13-010

Requesting Public Comment on Certification from Bloomberg 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 Bloomberg SEF LLC (Bloomberg) to implement available-to-trade determinations for certain interest rate and credit default swap contracts.  Bloomberg submitted its available-to-trade determinations to the Commission on a self-certified basis pursuant to Commission regulations 37.10 and 40.6.  If Bloomberg’s submission is deemed certified by operation of Commission regulation 40.6, such swap contracts, whether listed or offered by Bloomberg 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).

Orders and Other Announcements  79 FR 646  //   PDF Version

Meeting of Technology Advisory Committee

Orders and Other Announcements  79 FR 4884  //   PDF Version

Technology Advisory Committee

Orders and Other Announcements  79 FR 4454  //   PDF Version

Global Markets Advisory Committee

Proposed Rule  78 FR 68946  //   PDF Version

17 CFR Part 150 Aggregation of Positions

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Public Information Collection  78 FR 75333  //   PDF Version

Agency Information Collection Activities Under OMB Review

Proposed Rule  78 FR 75680  //   PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives

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Proposed Rule  79 FR 2394  //   PDF Version

17 CFR Part 150 Aggregation of Positions

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Proposed Rule  79 FR 3547  //   PDF Version

17 CFR Part 150 Aggregation of Positions;  Correction

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Orders and Other Announcements  79 FR 4104  //   PDF Version

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

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Public Information Collection  78 FR 77439  //   PDF Version

Agency Information Collection Activities; Proposed Collection; Comment Request: Part 41, Relating to Security Futures Products

Industry Filing  IF 14-001

Requesting Public Comment on a Petition Submitted by LCH.Clearnet Ltd for an Amendment to its Orders of Registration as a Derivatives Clearing Organization

The U.S. Commodity Futures Trading Commission (Commission or CFTC) is requesting public comment on a petition from LCH.Clearnet Ltd (LCH) for an amendment to and consolidation of its orders of registration as a derivatives clearing organization (DCO).  Specifically, the amendment would permit LCH to provide clearing services for “swaps,” as defined in the Commodity Exchange Act and Commission regulations, as well as all futures and options on futures.

Public Information Collection  78 FR 79408  //   PDF Version

Agency Information Collection Activities; Notice of Intent To Renew Collection: Procedural Requirements for Requests for Interpretative, No-Action, and Exemptive Letters

General CFTC  Division of Market Oversight to Host Public Roundtable Regarding the Trade Execution Requirement

The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (Division) will hold a public roundtable on February 12, 2014, from 9:00 a.m. to 12:30 p.m., to discuss the application of the Commodity Exchange Act’s (CEA) trade execution requirement to so-called “package transactions.”

Proposed Rule  79 FR 5223  //   PDF Version

Department of the Treasury Office of the Comptroller of the Currency 12 CFR Part 44; Board of Governors of the Federal Reserve System 12 CFR Part 248; Federal Deposit Insurance Corporation 12 CFR Part 351; Securities and Exchange Commission 17 CFR Part 255; Commodity Futures Trading Commission 17 CFR Part 75; Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities With Regard to Prohibitions and Restrictions on Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

Industry Filing  IF 14-002

Request for comment on CME request for Commission approval to amend Rule 704 (Approved Stockyards and Slaughter Plants for Live Cattle) and add an Appendix to CME Rule Book Chapter 7 (Delivery Facilities and Procedures). The rule change will establish a methodology for determining daily delivery limits at stockyards that have been approved by the Exchange for delivery in the CME Live Cattle futures contract.

Proposed Rule  79 FR 1347  //   PDF Version

17 CFR Chapter I Request for Comment on Application of Commission Regulations to Swaps Between Non-U.S. Swap Dealers and Non-U.S. Counterparties Involving Personnel or Agents of the Non-U.S. Swap Dealers Located in the United States

Public Information Collection  79 FR 8441  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  79 FR 10126  //   PDF Version

Agency Information Collection Activities Under OMB Review

General CFTC  CFTC Staff Public Roundtable to Discuss Risk Management Practices by Commodity Pool Operat

The Commodity Futures Trading Commission (CFTC) today announced that staff will hold a public roundtable on Tuesday, March 18, 2014, from 9:30 a.m. to 3:00 p.m., to discuss risk management practices by Commodity Pool Operators.

Public Information Collection  79 FR 12689  //   PDF Version

Agency Information Collection Activities Under OMB Review--Notice of Intent To Renew Collection 3038-0049; Procedural Requirements for Requests for Interpretative, No-Action, and Exemptive Letters

General CFTC  CFTC Staff Public Roundtable to Discuss Dodd-Frank End-User Issues

The U.S. Commodity Futures Trading Commission (CFTC) announced that CFTC staff will hold a public roundtable on April 3, 2014 to discuss issues concerning end-users and the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank). The CFTC has received a number of comments and requests for clarification from commercial end-users that have been impacted by Dodd-Frank.

Industry Filing  IF 14-004

Requesting Public Comment on Request from ICE Clear Europe for Order Permitting Portfolio Margining of Futures and Foreign Futures Contracts

The Commodity Futures Trading Commission (Commission) is requesting public comment on a petition submitted by ICE Clear Europe Limited (ICE Clear Europe) for an order pursuant to Section 4d(a) of the Commodity Exchange Act (Act).

Industry Filing  IF 14-003

Requesting Public Comment on ICE Swap Trade, LLC’s Self-Certification of Package Trade Rule

The Commodity Futures Trading Commission (Commission) is accepting public comment, pursuant to § 40.6(c)(2) of the Commission’s regulations, on certain rule amendments self-certified by ICE Swap Trade, LLC (ICE Swap Trade) concerning the treatment of “package transactions.”

Proposed Rule  79 FR 16672  //   PDF Version

17 CFR Part 49 Swap Data Repositories--Access to SDR Data by Market Participants

Orders and Other Announcements  79 FR 26210  //   PDF Version

Global Markets Advisory Committee

Proposed Rule  79 FR 16689  //   PDF Version

17 CFR Chapter I Review of Swap Data Recordkeeping and Reporting Requirements

Orders and Other Announcements  79 FR 28491  //   PDF Version

Technology Advisory Committee

Proposed Rule  79 FR 31238  //   PDF Version

17 CFR Part 1 Exclusion of Utility Operations-Related Swaps With Utility Special Entities From De Minimis Threshold for Swaps With Special Entities

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Proposed Rule  79 FR 30762  //   PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

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Public Information Collection  79 FR 29173  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0026--Gross Collection of Exchange-Set Margins for Omnibus Accounts

Industry Filing  IF 14-005

Requesting Public Comment from ICE Clear Europe Limited for Order Permitting Portfolio Margining of Futures and Foreign Futures Contracts

The U.S. Commodity Futures Trading Commission (Commission) is requesting public comment on a petition submitted by ICE Clear Europe Limited (ICE Clear Europe) for an order regarding Section 4d(a) of the Commodity Exchange Act (Act)

General CFTC  Requesting Public Comment on Commission's Surveillance Program

The U.S. Commodity Futures Trading Commission’s (Commission) Technology Advisory Committee (TAC) held a meeting on June 3, 2014 to discuss various issues regarding high-frequency trading, the Commission’s surveillance program, and swap execution facilities.  Panel II focused on the Commission developing a 21st-century surveillance program.  To gain further input on this topic, the TAC is requesting public comment from interested parties about their specific proposals or ideas for how the Commission should develop a 21st-century surveillance system.

Proposed Rule  79 FR 37973  //   PDF Version

17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives and Aggregation of Positions

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Public Information Collection  79 FR 42764  //   PDF Version

Agency Information Collection Activities Under OMB Review--Notice of Intent To Renew Collection 3038-0026; Gross Collection of Exchange-Set Margins for Omnibus Accounts

Public Information Collection  79 FR 38283  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0082--Whistleblower Provision and Updated Form TCR for Whistleblower Submissions

Orders and Other Announcements  79 FR 57891  //   PDF Version

Global Markets Advisory Committee

Public Information Collection  79 FR 53697  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  79 FR 50631  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0015--Copies of Crop and Market Information Reports

Privacy Act Systems  79 FR 58752  //   PDF Version

Privacy Act of 1974 System of Records Notice

CFTC-12, Fitness Investigations, and renaming the system ``National Futures Association (NFA) Applications Suite System (Exempted)''

Public Information Collection  79 FR 55759  //   PDF Version

Agency Information Collection Activities: Notice of Intent to Renew Collection 3038-0095, Large Trader Reporting for Physical
Commodity Swaps

Proposed Rule  79 FR 63343  //   PDF Version

17 CFR Part 14 Proceedings Before the Commodity Futures Trading Commission; Rules Relating to Suspension or Disbarment From Appearance and Practice

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Public Information Collection  79 FR 63905  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  79 FR 58751  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0062, Regulation Pertaining to Financial
Integrity of the Forex Market Place

Orders and Other Announcements  79 FR 69838  //   PDF Version

Agricultural Advisory Committee Meeting

Proposed Rule  79 FR 59898  //   PDF Version

17 CFR Parts 23 and 140 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

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Orders and Other Announcements  79 FR 68870  //   PDF Version

Market Risk Advisory Committee

Public Information Collection  79 FR 68869  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  79 FR 63384  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0055, Privacy of Consumer Financial Information

Proposed Rule  79 FR 69073  //   PDF Version

Commodity Futures Trading Commission 17 CFR Part 1 Contracts With Embedded Volumetric Optionality and Securities and Exchange Commission 17 CFR Parts 230, 240 and 241

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