Public Comments

Public Information Collection  80 FR 69947  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection Number 3038-0080, Annual Report for Chief Compliance Officer of Registrants

Public Information Collection  80 FR 69948  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0089, Swap Data Recordkeeping and Reporting Requirements: Pre-Enactment and Transition Swaps

General CFTC  CFTC Requesting Comment Period on Swap Dealer De Minimis Exception Preliminary Report

Staff from the Division of Swap Dealer and Intermediary Oversight and the Office of the Chief Economist of the U.S. Commodity Futures Trading Commission (CFTC or Commission) issued a Preliminary Report regarding the swap dealer de minimis exception. Under CFTC rules, market participants who exceed $8 billion in gross notional swap dealing activity over a twelve-month period are required to register with the Commission as swap dealers during the phase-in period currently in effect. This phase-in period is scheduled to end, and the threshold will fall, to $3 billion in December 2017, unless the Commission takes action to amend the de minimis exception.

In the interest of ensuring that the Commission has as much information and data as practicable for purposes of its consideration with respect to the de minimis exception, the Preliminary Report will be open for public comment for 60 days after publication on the Commission’s website. Comments on the Preliminary Report may be submitted electronically through the Commission’s Comments Online process.

Public Information Collection  80 FR 79865  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  80 FR 73731  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection Numbers 3038-0068, 3038-0083, and 3038-0088, Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants

Public Information Collection  80 FR 73732  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection Number 3038-0078, Conflicts of Interest Policies and Procedures by Futures Commission Merchants and Introducing Brokers

Orders and Other Announcements  81 FR 1174  //   PDF Version

Technology Advisory Committee; Notice of Meeting

Public Information Collection  80 FR 74766  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection Number 3038-0084, Regulations Establishing and
Governing the Duties of Swap Dealers and Major Swap Participants

Public Information Collection  80 FR 74768  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection Number 3038-0087, Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants

Public Information Collection  80 FR 75663  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0061, Daily Trade and Supporting Data Reports

General CFTC  81 FR 636  //   PDF Version

Invitation for Comment on Interim Final Rule - 17 CFR 23.150(b) - Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

81 FR 34818 ,  5/31/2016  //   PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements

Public Information Collection  81 FR 758  //   PDF Version

Agency Information Collection Activities Under OMB Review

Proposed Rule  81 FR 1359  //   PDF Version

17 CFR Part 3 Alternative to Fingerprinting Requirement for Foreign Natural Persons

81 FR 18743 ,  4/1/2016  //   PDF Version

17 CFR Part 3 Alternative to Fingerprinting Requirement for Foreign Natural Persons

Public Information Collection  80 FR 77615  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0031, Procurement Contracts

Proposed Rule  80 FR 80113  //   PDF Version

17 CFR Part 39 System Safeguards Testing Requirements for Derivatives Clearing Organizations

81 FR 64322 ,  9/19/2016  //   PDF Version

17 CFR Part 39 System Safeguards Testing Requirements for Derivatives Clearing Organizations

Proposed Rule  80 FR 80139  //   PDF Version

17 CFR Parts 37, 38, and 49 System Safeguards Testing Requirements

81 FR 64272 ,  9/19/2016  //   PDF Version

17 CFR Parts 37, 38, and 49 System Safeguards Testing Requirements

Public Information Collection  80 FR 80327  //   PDF Version

Agency Information Collection Activities: Proposed Collection Revision, Comment Request: Final Rule for Records of Commodity Interest and Related Cash or Forward Transactions

Public Information Collection  81 FR 3391  //   PDF Version

Agency Information Collection Activities Under OMB Review

Orders and Other Announcements  81 FR 6509  //   PDF Version

Technology Advisory Committee Meeting Notice

Public Information Collection  81 FR 5105  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  81 FR 5106  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  81 FR 5107  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  81 FR 5421  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  81 FR 5422  //   PDF Version

Agency Information Collection Activities Under OMB Review

General CFTC  CFTC Requesting Comments On Draft Technical Specifications for Certain Swap Data Elements

The U.S. Commodity Futures Trading Commission’s (CFTC or Commission) Division of Market Oversight and the Office of Data and Technology staff issued a request for comment on the draft technical specifications for certain prioritized swap data elements and associated questions.  The request for comment seeks public input on 80 enumerated questions addressing 120 data elements for several swap data reporting topics.

The comment period will be open for 60 days after publication on the Commission’s website. Comments may be submitted electronically through the CFTC’s Comments Online process.

Public Information Collection  81 FR 6241  //   PDF Version

Agency Information Collection Activities Under OMB Review

Industry Filing  IF 16-001

Requesting Public Comment on Request from LCH.Clearnet Ltd for Order Permitting Portfolio Margining of Futures and Foreign Futures Contracts and Cleared Swaps Contracts

The U.S. Commodity Futures Trading Commission (CFTC) is requesting public comment on a petition submitted by LCH.Clearnet Ltd for an order pursuant to Section 4d(f) of the Commodity Exchange Act (Act).

Proposed Rule  80 FR 78824  //   PDF Version

17 CFR Parts 1, 38, 40, and 170 Regulation Automated Trading

81 FR 85334 ,  11/25/2016  //   PDF Version

17 CFR Parts 1, 38, 40, and 170 Regulation Automated Trading

82 FR 8502 ,  1/26/2017  //   PDF Version

17 CFR Parts 1, 38, 40, and 170 Regulation Automated Trading

85 FR 42755 ,  7/15/2020  //   PDF Version

17 CFR Parts 1, 38, 40, and 170 Regulation Automated Trading; Withdrawal

General CFTC  CFTC Staff to Host a Public Roundtable March 3 Regarding the Residual Interest Deadline

CFTC Requesting Comments Regarding the Residual Interest Deadline

The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight and the Office of the Chief Economist will host a public roundtable on March 3, 2016 at 10:00 am to discuss a report on the Residual Interest Deadline.

All comments must be received by March 31, 2016. All submissions provided to the CFTC in any electronic form may be published on the CFTC’s website without review and without removal of personally identifying information.

Public Information Collection  81 FR 11520  //   PDF Version

Agency Information Collection Activities:  Notice of Intent To Renew Collection 3038-0107, Generic Clearance for the Collection of Qualitative Feedback on Agency Service Delivery

Public Information Collection  81 FR 19581  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  81 FR 11762  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0104, Exemption for Swaps Between Affiliates

Orders and Other Announcements  81 FR 20583  //   PDF Version

Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Part 241 Certain Natural Gas and Electric Power Contracts

Orders and Other Announcements  81 FR 17682  //   PDF Version

Market Risk Advisory Committee

General CFTC  Energy and Environmental Markets Advisory Committee Meeting on February 25, 2016

Energy and Environmental Markets Advisory Committee Requesting Comments Regarding February 25, 2016 Meeting

The U.S. Commodity Futures Trading Commission (Commission) held an Energy and Environmental Markets Advisory Committee (EEMAC) public meeting at the Commission’s Washington, D.C. headquarters on February 25, 2016 at 10:00 am.

All comments must be received by May 30, 2016. All submissions provided to the CFTC in any form may be published on the CFTC’s website without review and without removal of personally identifying information.

Public Information Collection  81 FR 17447  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0012, Futures Volume, Open Interest, Price, Deliveries and Purchases/Sales of Futures for Commodities or for Derivatives Positions

Public Information Collection  81 FR 28830  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  81 FR 28831  //   PDF Version

Agency Information Collection Activities Under OMB Review

General CFTC  CFTC Staff Issues Residual Interest Deadline Report

CFTC Requests Comments on Residual Interest Deadline Report

The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight issued a report on the “Residual Interest Deadline,” as required under CFTC regulations.

Members of the public wishing to comment on the report may do so following the instructions in the report or on the CFTC’s Comments Online process.  All comments must be received by June 13, 2016.

Orders and Other Announcements  81 FR 30245  //   PDF Version

Notice of Proposed Amendment to and Request for Comment on the 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

Proposed Rule  81 FR 36484  //   PDF Version

17 CFR Parts 1, 38, 40, and 170 Public Staff Roundtable on Elements of Regulation Automated Trading; Reopening of Comment Period

Orders and Other Announcements  81 FR 37187  //   PDF Version

Market Risk Advisory Committee

Orders and Other Announcements  81 FR 35337  //   PDF Version

Notice of Proposed Order and Request for Comment on a Proposal To Exempt, Pursuant to the Authority in Section 4(c) of the Commodity Exchange Act, the Federal Reserve Banks From Sections 4d and 22 of the Commodity Exchange Act

81 FR 53266 ,  8/12/2016  //   PDF Version

17 CFR Part 1 Written Acknowledgment of Customer Funds From Federal Reserve Banks

81 FR 53467 ,  8/12/2016  //   PDF Version

Order Exempting the Federal Reserve Banks From Sections 4d and 22 of the Commodity Exchange Act

Proposed Rule  81 FR 38458  //   PDF Version

17 CFR Parts 37, 38, and 150 Position Limits for Derivatives: Certain Exemptions and Guidance

78 FR 75680 ,  12/12/2013  //   PDF Version

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

78 FR 76787 ,  12/19/2013  //   PDF Version

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

79 FR 30762 ,  5/29/2014  //   PDF Version

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

79 FR 37973 ,  7/3/2014  //   PDF Version

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

79 FR 71973 ,  12/9/2014  //   PDF Version

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

80 FR 200 ,  1/5/2015  //   PDF Version

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

80 FR 10022 ,  2/25/2015  //   PDF Version

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

81 FR 96704 ,  12/30/2016  //   PDF Version

17 CFR Parts 1, 15, 17, 19, 37, 38, 140, 150 and 151 Position Limits for Derivatives

Proposed Rule  81 FR 39506  //   PDF Version

17 CFR Part 50 Clearing Requirement Determination Under Section 2(h) of the CEA for Interest Rate Swaps

81 FR 71202 ,  10/14/2016  //   PDF Version

17 CFR Part 50 Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps

Industry Filing  IF 16-003

The U.S. Commodity Futures Trading Commission (CFTC) is requesting public comments on regulation 39.5(b) swap submissions from registered derivatives clearing organizations, identified with “Public Comment Requested.”   Comments may pertain specifically to a single submission or generally to several or all submissions.  The Commission is particularly interested in comments that provide data and analysis and that discuss the swaps in terms of the five factors that the Commission is required to consider in determining whether to issue a clearing requirement determination under regulation 39.5(b)(3)(ii).

If the Commission decides to propose a clearing requirement determination for any of the swaps covered by the submissions, then the Commission will invite further public comment in response to a notice of proposed rulemaking.

Industry Filing  16-002

Requesting Public Comment on a Rule Amendment Certification Filing by ICE Futures U.S.

The U.S. Commodity Futures Trading Commission (CFTC) is requesting public comments on a rule amendment certification filing by ICE Futures U.S. which would clarify that parties to a block trade may engage in pre-hedging or anticipatory hedging of the position that they believe in good faith will result from the consummation of the block trade, except for an intermediary that takes the opposite side of its own customer order.

Public Information Collection  81 FR 42332  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  81 FR 34314  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0017, Market Surveys

Public Information Collection  81 FR 34855  //   PDF Version

Agency Information Collection Activities: Proposed Collection, Comment Request: Final Rule, Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements

Public Information Collection  81 FR 35001  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0067, Part 162 Subpart C--Identify Theft Red Flags

Public Information Collection  81 FR 37188  //   PDF Version

Agency Information Collection Activities: Notice Requesting Approval of New Collection, CFTC SmartCheck Annual Campaign Impact Tracking Survey, 3038--NEW

Public Information Collection  81 FR 38689  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0099, Process for a Swap Execution Facility or Designated Contract Market To Make a Swap Available To Trade

Public Information Collection  81 FR 42667  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0102, Clearing Exemption for Certain Swaps Entered into by Cooperatives

Public Information Collection  81 FR 42668  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0005, Rules Relating to the Operations and Activities of Commodity Pool Operators and Commodity Trading Advisors and to Monthly Reporting by Futures Commission Merchants

Public Information Collection  81 FR 50690  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  81 FR 50692  //   PDF Version

Agency Information Collection Activities Under OMB Review

Proposed Rule  81 FR 51824  //   PDF Version

17 CFR Part 3 Exemption From Registration for Certain Foreign Persons

83 FR 52902 ,  10/18/2018  //   PDF Version

17 CFR Part 4 Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors

85 FR 35820 ,  6/12/2020  //   PDF Version

17 CFR Part 3 Exemption From Registration for Certain Foreign Persons Acting as Commodity Pool Operators of Offshore Commodity Pools

85 FR 78718 ,  12/7/2020  //   PDF Version

17 CFR Part 3 Exemption From Registration for Certain Foreign Intermediaries

Public Information Collection  81 FR 52666  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  81 FR 53125  //   PDF Version

Agency Information Collection Activities Under OMB Review

Proposed Rule  81 FR 53343  //   PDF Version

17 CFR Part 3 Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates

81 FR 80563 ,  11/16/2016  //   PDF Version

17 CFR Part 3 Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates

Public Information Collection  81 FR 47362  //   PDF Version

Agency Information Collection Activities: Revised Collection, Comment Request: Amendments To Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps, Final Rule

Public Information Collection  81 FR 47779  //   PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0074, Core Principles and Other Requirements for Swap Execution Facilities

Proposed Rule  81 FR 51828  //   PDF Version

17 CFR Part 4 Commodity Pool Operator Annual Report

81 FR 61147 ,  9/6/2016  //   PDF Version

17 CFR Part 4 Commodity Pool Operator Annual Report

81 FR 85147 ,  11/25/2016  //   PDF Version

17 CFR Part 4 Commodity Pool Operator Financial Reports

Public Information Collection  81 FR 57890  //   PDF Version

Agency Information Collection Activities Under OMB Review

Proposed Rule  81 FR 59551  //   PDF Version

17 CFR Part 165 Whistleblower Awards Process

82 FR 24487 ,  5/30/2017  //   PDF Version

17 CFR Part 165 Whistleblower Awards Process

Public Information Collection  81 FR 63471  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  81 FR 64141  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  81 FR 65630  //   PDF Version

Agency Information Collection Activities Under OMB Review

Privacy Act Systems  81 FR 67327  //   PDF Version

Privacy Act of 1974 System of Records Notice

CFTC-4, Employee Leave, Time, and Attendance

CFTC-5, Employee Personnel/Payroll Records

Orders and Other Announcements  81 FR 76333  //   PDF Version

Market Risk Advisory Committee

Public Information Collection  81 FR 74408  //   PDF Version

Agency Information Collection Activities Under OMB Review

Proposed Rule  81 FR 71946  //   PDF Version

17 CFR Parts 1 and 23 Cross-Border Application of the Registration Thresholds and External Business Conduct Standards Applicable to Swap Dealers and Major Swap Participants