Sunshine Act Announcements

85 FR 78314  //   PDF Version

Open Commission Meeting December 8, 2020; Matters to be Considered: Final Rule: Electronic Trading Risk Principles; Final Rule: Swap Execution Facilities (Audit Trail, Financial Resources, and CCO Requirements); Final Rule: Exemptions from Swap Trade Execution Requirement; Withdrawal of Unadopted Proposals in the 2018 SEF Proposed Rule: Swap Execution Facilities and Trade Execution Requirement; Final Rule: Part 190 Bankruptcy Regulations; Final Rule: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants (Minimum Transfer Amount); Final Rule: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants (Material Swap Exposure Definition and Initial Margin Calculation); and Final Rule: Revision of Certain Regulatory Provisions to Incorporate Changes in the Commission's Administrative Structure.

Sunshine Act Meetings: November 2, 2020  //   PDF Version

CHANGES IN THE MEETING:  The time of the meeting has changed. This meeting will now start at 10:00 a.m. EST.

Sunshine Act Meetings: November 2, 2020 ,  10/29/2020  //   PDF Version

Open Commission Meeting November 2, 2020; Matters to be Considered:  Final Rule: Amendments to Part 50 Clearing Requirement Exemptions for Central Banks, Sovereigns, IFIs, Bank Holding Companies, and CDFIs.

Sunshine Act Meetings: November 2, 2020  //   PDF Version

Open Commission Meeting November 2, 2020; Matters to be Considered:  Final Rule: Amendments to Part 50 Clearing Requirement Exemptions for Central Banks, Sovereigns, IFIs, Bank Holding Companies, and CDFIs.

Sunshine Act Meetings: November 2, 2020 ,  11/2/2020  //   PDF Version

CHANGES IN THE MEETING:  The time of the meeting has changed. This meeting will now start at 10:00 a.m. EST.

Sunshine Act Meetings: October 22, 2020  //   PDF Version

Open Commission Meeting October 22, 2020; Matters to be Considered:  The Commodity Futures Trading Commission (CFTC) will hold this meeting jointly with the Securities and Exchange Commission to consider the following matters: Joint Final Rule: Customer Margin Rules Relating to Security Futures--The Commissions will consider whether to adopt rule amendments to align the minimum margin required on security futures with other similar financial products.  Request for comment: Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps--The Commissions also will consider whether to issue a request for comment on the portfolio
margining of uncleared swaps and non-cleared security-based swaps. The request for comment would solicit comment on all aspects of the portfolio margining of uncleared swaps, non-cleared security-based swaps, and related positions, including on the merits, benefits, and risks of portfolio margining these types of positions, and on any regulatory, legal, and operational issues associated with portfolio margining them.

Sunshine Act Meetings: October 15, 2020  //   PDF Version

Open Commission Meeting October 15, 2020; Matters to be Considered:  Final Rule: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants (Phase VI Compliance Date Extension);
Final Rule: Exemption from Registration for Certain Foreign Intermediaries; and Final Rule: Position Limits for Derivatives.

Sunshine Act Meetings: October 6, 2020  //   PDF Version

Open Commission Meeting October 6, 2020; Matters to be Considered: Final Rule: Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR; and Memorandum of Understanding: MOU Between the CFTC and the Office of Financial Research Regarding the Sharing of Data and Information Collected on Form CPO-PQR.

Sunshine Act Meetings: September 30, 2020  //   PDF Version

Closed Commission Meeting September 30, 2020; Enforcement matters

Sunshine Act Meetings: September 17, 2020  //   PDF Version

Open Commission Meeting September 17, 2020; Matters to be Considered: Final Rule: Registration with Alternative Compliance for Non-U.S. Derivatives Clearing Organizations; Final Rule: Amendments to Real-Time Public Reporting Requirements (Part 43); Final Rule: Amendments to Swap Data Recordkeeping and Reporting Requirements (Part 45); Final Rule: Amendments to the CFTC's Regulations Relating to Certain Swap Data Repository and Data Reporting Requirements (43, 45, and 49 Verification); and Supplemental Notice of Proposed Rulemaking: Part 190 Bankruptcy Regulations.

Sunshine Act Meeting: September 15, 2020  //   PDF Version

Closed Commission Meeting September 15, 2020; Enforcement matters.

Sunshine Act Meetings: July 22, 2020 and July 23, 2020  //   PDF Version

Open Commission Meeting July 22, 2020 and July 23, 2020; Matters To be considered at the July 22, 2020 meeting:  Final Rule: Capital Requirements of Swap Dealers and Major Swap Participants; and Proposed Rules: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants.  To be considered at the July 23, 2020 meeting:  Amendment Order: Exempting Certain Multilateral Trading Facilities and Organised Trading Facilities Authorized Within the European Union from the Requirement to Register with the Commodity Futures Trading Commission as Swap Execution Facilities; and Final Rule: Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants.

Sunshine Act Meetings: June 25, 2020  //   PDF Version

Open Commission Meeting June 25, 2020; Matters to be Considered: Final Rule: Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds (Volcker Rule); Final Rule: Exemption from the Swap Clearing Requirement for Certain Affiliated Entities--Alternative Compliance Frameworks for Anti-Evasionary Measures (Inter-Affiliate Exemption 50.52); Final Rule: Post-Trade Name Give-Up on Swap Execution Facilities; Proposed Rule: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants (Phase VI Compliance Date Extension); Proposed Rule: Electronic Trading Risk Principles; and Withdrawal of Regulation AT.

Sunshine Act Meetings: June 4, 2020  //   PDF Version

Open Commission Meeting June 4, 2020; Matters to be Considered:  Final Rule: Amendments to Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors: Prohibiting Exemptions under Regulation 4.13 on Behalf of Persons Subject to Certain Statutory Disqualifications.

Sunshine Act Meetings: June 4, 2020  //   PDF Version

Closed Commission Meeting June 4, 2020; Enforcement and adjudicatory matters.

Sunshine Act Meetings: May 28, 2020  //   PDF Version

Open Commission Meeting May 28, 2020; Matters to be Considered:  The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') will hold this meeting to consider the following matters: Proposed Rule: Amendments to Regulation 3.10(c)(3)-- Providing an Exemption from Registration for Foreign Persons Acting as Commodity Pool Operators on Behalf of Offshore Commodity Pools; and Interim Final Rule: Amendments to Regulation 23.161-- Extending the Compliance Schedule for Initial Margin Requirements for Uncleared Swaps in Response to the COVID-19 Pandemic.

Sunshine Act Meetings: May 4, 2020  //   PDF Version

Closed Commission Meeting May 4, 2020; Enforcement matters.

Sunshine Act Meetings: April 14, 2020  //   PDF Version

Open Commission Meeting April 14, 2020; Matters to be Considered:  The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') will hold this meeting to consider the following matters:  Proposed Rule: Amendments to Part 190 Bankruptcy Regulations; Proposed Rule: Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR; Proposed Rule: Amendments to Part 50 Clearing Requirements for Central Banks, Sovereigns, IFIs, Bank Holding Companies, and CDFIs; Final Rule: Amendments to Part 23 Margin Requirements for the European Stability Mechanism; Final Rule: Amendments to Part 160 Consumer Financial Information Privacy Regulation; and Administration of Commission Rulemaking Comment Periods.

Sunshine Act Meetngs: April 14, 2020 ,  4/10/2020  //   PDF Version

CHANGES IN THE MEETING: The time of the meeting has changed. This meeting will now start at 2:00 p.m. EDT.

Sunshine Act Meetngs: April 14, 2020  //   PDF Version

CHANGES IN THE MEETING: The time of the meeting has changed. This meeting will now start at 2:00 p.m. EDT.

Sunshine Act Meetings: April 14, 2020 ,  4/10/2020  //   PDF Version

Open Commission Meeting April 14, 2020; Matters to be Considered:  The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') will hold this meeting to consider the following matters:  Proposed Rule: Amendments to Part 190 Bankruptcy Regulations; Proposed Rule: Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR; Proposed Rule: Amendments to Part 50 Clearing Requirements for Central Banks, Sovereigns, IFIs, Bank Holding Companies, and CDFIs; Final Rule: Amendments to Part 23 Margin Requirements for the European Stability Mechanism; Final Rule: Amendments to Part 160 Consumer Financial Information Privacy Regulation; and Administration of Commission Rulemaking Comment Periods.

Sunshine Act Meeting: April 14, 2020  //   PDF Version

Closed Commission Meeting April 14, 2020; Enforcement matters.

Sunshine Act Meeting: March 19, 2020  //   PDF Version

CHANGES IN THE MEETING: The meeting has been canceled

Sunshine Act Meeting: March 19, 2020 ,  3/17/2020  //   PDF Version

Open Commission Meeting March 19, 2020; Matters to be Considered:  Final Rule: Amendment to Regulation 23.161--Compliance Schedule Extension for Initial Margin Requirements for Uncleared Swaps; Proposed Rule: Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR; Final Interpretive Guidance: Retail Commodity Transactions Involving Certain Digital Assets; and  Other Commission business.

Sunshine Act Meeting: March 19, 2020  //   PDF Version

Open Commission Meeting March 19, 2020; Matters to be Considered:  Final Rule: Amendment to Regulation 23.161--Compliance Schedule Extension for Initial Margin Requirements for Uncleared Swaps; Proposed Rule: Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR; Final Interpretive Guidance: Retail Commodity Transactions Involving Certain Digital Assets; and  Other Commission business.

Sunshine Act Meeting: March 19, 2020 ,  3/19/2020  //   PDF Version

CHANGES IN THE MEETING: The meeting has been canceled

Sunshine Act Meeting: March 19, 2020  //   PDF Version

Closed Commission Meeting March 19, 2020; Examinations and enforcement matters.

Sunshine Act Meeting: February 20, 2020  //   PDF Version

Open Commission Meeting February 20, 2020; Matters to be Considered:  Proposed Rule: Amendments to the Real-Time Public Reporting Requirements (Part 43); Proposed Rule: Amendments to the Swap Data Recordkeeping and Reporting Requirements (Part 45); and Reopening of Comment Period: Certain Swap Data Repository and Data Reporting Requirements (Part 49 Verification).

Sunshine Act Meeting: February 12, 2020  //   PDF Version

Closed Commission Meeting February 12, 2020;  Matters to be Considered: Enforcement matters.

Sunshine Act Meeting: January 30, 2020  //   PDF Version

Open Commission Meeting January 30, 2020; Matters to be Considered: Proposed Rule: Position Limits for Derivatives; and Proposed Rule: Amendments to Codify No-Action Relief in Swap Execution Facility and Real-Time Reporting Requirements.