Public Comments

Proposed Rule  76 FR 71626  //   PDF Version

17 CFR Parts 1, 150 and 151 Position Limits for Futures and Swaps

76 FR 4752 ,  1/26/2011  //   PDF Version

17 CFR Parts 1, 150 and 151 Position Limits for Derivatives

Related Documents:

Illustrative Tables for Position Limits Notice of Proposed Rulemaking: Excel Version // PDF Version

Explanatory Notes on Setting Non-spot-Month Position Limits: PDF Version

Industry Filing  IF 12-003

90-day Review of NADEX’s Proposed Political Event Derivatives Contracts

The Commodity Futures Trading Commission (CFTC) on January 3, 2012, issued a letter informing the North American Derivatives Exchange (NADEX) that it has commenced a 90-day review of NADEX’s proposed political event derivatives contracts. The review is based on the possibility that these contracts may involve, among other issues, “gaming or an activity that is unlawful under any State or Federal law.”

Orders and Other Announcements  76 FR 77670  //   PDF Version

17 CFR Part 1 Retail Commodity Transactions Under Commodity Exchange Act

78 FR 52426 ,  8/23/2013  //   PDF Version

17 CFR Part 1 Retail Commodity Transactions Under Commodity Exchange Act

Proposed Rule  76 FR 77728  //   PDF Version

17 CFR Parts 37 and 38 Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available To Trade

Related Videos:

View Roundtable Video Part I

View Roundtable Video Part II

78 FR 36606 ,  6/4/2013  //   PDF Version

17 CFR Parts 37 and 38 Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available to Trade, Swap Transaction Compliance and Implementation Schedule, and Trade Execution Requirement Under the Commodity Exchange Act

Privacy Act Systems  77 FR 2048  //   PDF Version

Privacy Act of 1974 System of Records Notice

CFTC-46, Lost, Stolen, Damaged or Destroyed CFTC Property

CFTC-47, Internal Electronic Collaboration Tools

Public Information Collection  77 FR 477  //   PDF Version

Agency Information Collection Activities: Rules Relating to Regulation of Domestic Exchange-Traded Options

77 FR 5778 ,  2/6/2012  //   PDF Version

Agency Information Collection Activities: Rules Relating to Regulation of Domestic Exchange-Traded Options

Public Information Collection  77 FR 5778  //   PDF Version

Agency Information Collection Activities: Rules Relating to Regulation of Domestic Exchange-Traded Options

77 FR 477 ,  1/5/2012  //   PDF Version

Agency Information Collection Activities: Rules Relating to Regulation of Domestic Exchange-Traded Options

Public Information Collection  77 FR 8817  //   PDF Version

Agency Information Collection Activities; Proposed Collection, Comment Request

Public Information Collection  77 FR 12817  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  77 FR 12818  //   PDF Version

Agency Information Collection Activities Under OMB Review

Public Information Collection  77 FR 13101  //   PDF Version

Agency Information Collection Activities Under OMB Review

77 FR 14507 ,  3/12/2012  //   PDF Version

Privacy Act of 1974 System of Records Notice

Retiring CFTC-7, Formal Employment Discrimination Complaint and Reasonable Accommodation Files

Public Information Collection  77 FR 14004  //   PDF Version

Agency Information Collection Activities Under OMB Review

Proposed Rule  77 FR 8332  //   PDF Version

17 CFR Part 75 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Covered Funds

79 FR 5808 ,  1/31/2014  //   PDF Version

17 CFR Part 75 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds

Industry Filing  IF 12-004

30-day Review of ICE Clear Europe for Order Permitting Portfolio Margining of Cleared Swaps 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(f) of the Commodity Exchange Act (Act).  The petition requests an order that would permit ICE Clear Europe and its clearing members that are registered futures commission merchants to (1) commingle in an account subject to Section 4d(f) (a cleared swaps customer account) positions in swaps and foreign futures and options and related customer money, securities and property; and (2) portfolio margin swaps and foreign futures and options in the cleared swaps customer account.

General CFTC  Public Roundtable Discussion on Additional Customer Collateral Protections

The CFTC will hold a two-day public roundtable to discuss additional customer collateral protection. The roundtable is to gather public input on a variety of ideas to further protect customers.

All comments on the Day 1 discussions must be identified by RIN number 3038-AD70. All comments on the Day 2 discussions must be identified by RIN number 3038-AD71.

Day one discussions will focus on issues related to the advisability and practicality of implementing the legal segregation with operational commingling (LSOC) model as the segregation model for collateral posted by futures customers (the Commission has already approved this model for swaps); alternative models for the custody of customer collateral; enhancing futures commission merchant (FCM) controls over the disbursement of customer funds deposited for trading on U.S. futures markets; increasing transparency surrounding an FCM’s holding and investment of customer funds; and lessons learned from commodity brokerage bankruptcy proceedings.

Day two of the two-day session will focus primarily on the protection of customer funds deposited with FCMs for trading on foreign futures markets; particular issues associated with entities dually registered with the CFTC as FCMs and the U.S. Securities and Exchange Commission as broker-dealers (BDs); and enhancing the self-regulatory structure.

Industry Filing  IF 12-005

Request from NYPC for Order Permitting Cross Margining for Market Professionals

The Commodity Futures Trading Commission (Commission) is requesting public comment on a petition submitted by New York Portfolio Clearing, LLC (NYPC), a registered derivatives clearing organization, for an order pursuant to Section 4d(a)(2) of the Commodity Exchange Act (Act).  The petition requests an order that would permit NYPC to expand its existing one-pot cross-margining program with Fixed Income Clearing Corporation (FICC) to include positions and related money, securities and property held by NYPC clearing members and clearing members of FICC’s Government Securities Division for participating “market professionals.”

Proposed Rule  77 FR 11345  //   PDF Version

17 CFR Part 4 Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators

78 FR 52308 ,  8/22/2013  //   PDF Version

17 CFR Part 4 Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators

Proposed Rule  77 FR 13450  //   PDF Version

Commodity Futures Trading Commission 17 CFR Part 162 Securites and Exchange Commisison 17 CFR Part 248 Identity Theft Red Flags Rules

78 FR 23638 ,  4/19/2013  //   PDF Version

Commodity Futures Trading Commission 17 CFR Part 162 Securities and Exchange Commission 17 CFR Part 248 Identity Theft Red Flags Rules

Public Information Collection  77 FR 20613  //   PDF Version

Agency Information Collection Activities; Proposed Collection, Comment Request

Industry Filing  12-006

Request Comment on Application Submitted by Nadex Clearing, LLC for Registration as a Derivatives Clearing Organization

The Commodity Futures Trading Commission (Commission) is requesting public comment on an application submitted by Nadex Clearing, LLC for registration as a derivatives clearing organization.

Proposed Rule  77 FR 15460  //   PDF Version

17 CFR Part 43 Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades

75 FR 76139 ,  12/7/2010  //   PDF Version

17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data

75 FR 76930 ,  12/10/2010  //   PDF Version

17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data Correction

76 FR 25274 ,  5/4/2011  //   PDF Version

17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

77 FR 1182 ,  1/9/2012  //   PDF Version

17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data

77 FR 2909 ,  1/20/2012  //   PDF Version

17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data

78 FR 32866 ,  5/31/2013  //   PDF Version

17 CFR Part 43 Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades

78 FR 42436 ,  7/16/2013  //   PDF Version

17 CFR Part 43 Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Correction

Proposed Rule  77 FR 28819  //   PDF Version

17 CFR Chapter 1 Second Amendment to July 14, 2011 Order for Swap Regulation

77 FR 41260 ,  7/13/2012  //   PDF Version

17 CFR Chapter I Second Amendment to July 14, 2011 Order for Swap Regulation

Proposed Rule  77 FR 26709  //   PDF Version

17 CFR Part 49 Swap Data Repositories: Interpretative Statement Regarding the Confidentiality and Indemnification Provisions of Section 21(d) of the Commodity Exchange Act

General CFTC  CFTC Staff to Host a Public Roundtable to Discuss the Proposed Volcker Rule  //   PDF Version

Staff will hold a public roundtable on Thursday, May 31, 2012, from 9:30 a.m. to 4:30 p.m., to discuss the proposed regulations to implement Section 619 (commonly known as the Volcker Rule) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The roundtable will help the Commission by providing additional public input for the final rulemaking.

Industry Filing  12-007

CBOT Rough Rice Storage Rate Increase

Proposed Rule  77 FR 23520  //   PDF Version

17 CFR Parts 3, 32, and 33 Commodity Options

76 FR 6095 ,  2/3/2011  //   PDF Version

17 CFR Parts 3, 32, 33, and 35 Commodity Options and Agricultural Swaps

Proposed Rule  77 FR 31767  //   PDF Version

17 CFR Part 151 Aggregation, Position Limits for Futures and Swaps

Orders and Other Announcements  77 FR 38776  //   PDF Version

Reestablishment of the Agricultural Advisory Committee

Proposed Rule  77 FR 30596  //   PDF Version

Commodity Futures Trading Commission 17 CFR Part 1; Securities and Exchange Commission 17 CFR Part 240 Further Definition of ``Swap Dealer,'' ``Security-Based Swap Dealer,'' ``Major Swap Participant,'' ``Major Security-Based Swap Participant'' and ``Eligible Contract Participant''

Proposed Rule  77 FR 38229  //   PDF Version

17 CFR Part 43 Rules Prohibiting the Aggregation of Orders To Satisfy Minimum Block Sizes or Cap Size Requirements, and Establishing Eligibility Requirements for Parties to Block Trades

Public Information Collection  77 FR 32593  //   PDF Version

Agency Information Collection Activities; Notice of Intent To Renew Collection: Rules Relating To Review of National Futures
Association Decisions in Disciplinary, Membership Denial, Registration, and Member Responsibility Actions

General CFTC  Public Roundtable Discussion on Additional Customer Protections

CFTC to hold a public roundtable on Thursday, August 9, 2012, from 9:30 a.m. to 5:00 p.m., to discuss customer protection requirements for futures commission merchants (FCMs). The objective of the roundtable is to gather public input on a variety of ideas to further protect customers. 

Proposed Rule  77 FR 41110  //   PDF Version

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

78 FR 858 ,  1/7/2013  //   PDF Version

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

78 FR 45292 ,  7/26/2013  //   PDF Version

17 CFR Chapter I Interpretive Guidance and Policy Statement Regarding Compliance With Certain Swap Regulations

Proposed Rule  77 FR 35892  //   PDF Version

17 CFR Parts 3 and 23 Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants

78 FR 20788 ,  4/8/2013  //   PDF Version

Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants17 CFR Parts 3 and 23

Proposed Rule  77 FR 41940  //   PDF Version

17 CFR Part 39 Clearing Exemption for Certain Swaps Entered Into by Cooperatives

78 FR 52286 ,  8/22/2013  //   PDF Version

17 CFR Part 50 Clearing Exemption for Certain Swaps Entered Into by Cooperatives

Privacy Act Systems  77 FR 41378  //   PDF Version

Privacy Act of 1974 System of Records Notice

CFTC-44, Personnel Security Files, to be renamed CFTC-44, Personnel Clearance System

CFTC-48, Personal Property Claim

CFTC-49, Whistleblower Records (Exempted)

Public Information Collection  77 FR 43271  //   PDF Version

Agency Information Collection Activities: Submission for OMB Emergency Review; Comment Request: Exemptive Order Regarding Compliance With Certain Swap Regulations

Proposed Rule  77 FR 41213  //   PDF Version

17 CFR Chapter I Cross-Border Application of Certain Swaps Provisions of the Commodity Exchange Act

Industry Filing  IF 12-008

30-day Review on an Application by LCH.Clearnet SA for Registration as a Derivatives Clearing Organization
 

The Commodity Futures Trading Commission (CFTC) is asking for public comment on an application by LCH.Clearnet SA for registration as a derivatives clearing organization.

Public Information Collection  77 FR 46411  //   PDF Version

Agency Information Collection Activities Under OMB Review

Proposed Rule  77 FR 47169  //   PDF Version

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

77 FR 74284 ,  12/13/2012  //   PDF Version

17 CFR Parts 39 and 50 Clearing Requirement Determination Under Section 2(h) of the CEA

Industry Filing  IF 12-009

30-day Review on Clearinghouse, LP Petition to Amend its Order of Registration as a Derivatives Clearing Organization

The Commodity Futures Trading Commission (CFTC) is asking for public comment on a petition submitted by Cantor Clearinghouse LP (Cantor), for an amendment to its order of registration as a derivatives clearing organization.  Specifically, Cantor is requesting that the Commission’s Order of Registration which restricts Cantor’s clearing activities to media-related contracts only, be amended to permit it to clear Foreign Exchange Spot Index Binary Flex Options.

Proposed Rule  77 FR 41109  //   PDF Version

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

76 FR 23732 ,  4/28/2011  //   PDF Version

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

76 FR 27621 ,  5/12/2011  //   PDF Version

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

76 FR 58176 ,  9/20/2011  //   PDF Version

17 CFR Part 23 Swap Transaction Compliance and Implementation Schedule: Trading Documentation and Margining Requirements Under Section 4s of the CEA

79 FR 59898 ,  10/3/2014  //   PDF Version

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

80 FR 41376 ,  7/14/2015  //   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

81 FR 636 ,  1/6/2016  //   PDF Version

17 CFR Parts 23 and 140 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

Proposed Rule  77 FR 50425  //   PDF Version

17 CFR Part 39 Clearing Exemption for Swaps Between Certain Affiliated Entities

78 FR 21749 ,  4/11/2013  //   PDF Version

17 CFR Part 50 Clearing Exemption for Swaps Between Certain Affiliated Entities

Proposed Rule  77 FR 43968  //   PDF Version

17 CFR Parts 15, 17, 18, and 20 Ownership and Control Reports, Forms 102/102S, 40/40S, and 71

78 FR 69178 ,  11/18/2013  //   PDF Version

17 CFR Parts 15, 17, 18, and 20 Ownership and Control Reports, Forms 102/102S, 40/40S, and 71

Proposed Rule  77 FR 50998  //   PDF Version

Proposal To Exempt Certain Transactions Involving Not-for-Profit Electric Utilities; Request for Comments

Industry Filing  IF 12-010

Request Comment 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).

Proposed Rule  77 FR 52137  //   PDF Version

Proposed Order and Request for Comment on 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 Commission or the Public Utility Commission of Texas From Certain Provisions of the Commodity Exchange Act

Proposed Rule  77 FR 48207  //   PDF Version

Commodity Futures Trading Commission 17 CFR Part 1 Securities and Exchange Commission 17 CFR Parts 230, 240 and 241 Further Definition of ``Swap,'' ``Security-Based Swap,'' and ``Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap Agreement Recordkeeping

Public Information Collection  77 FR 49428  //   PDF Version

Agency Information Collection Activities; Proposed Collection, Comment Request: Further Definition of ``Swap,'' ``Security-Based Swap,'' and ``Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap Agreement Recordkeeping: Book-out Agreement Confirmation

Privacy Act Systems  77 FR 58814  //   PDF Version

Privacy Act of 1974 System of Records Notice

CFTC-15, Integrated Surveillance System, to be renamed CFTC-15, Enterprise Surveillance, Oversight & Risk Monitoring System

Orders and Other Announcements  77 FR 65539  //   PDF Version

Meeting of Global Markets Advisory Committee

Proposed Rule  77 FR 60113  //   PDF Version

Commodity Futures Trading Commission and Securities and Exchange Commission Acceptance of Public Submissions Regarding the Study of Stable Value Contracts

76 FR 53162 ,  8/25/2011  //   PDF Version

Commodity Futures Trading Commission and Securities and Exchange Commission Acceptance of Public Submissions Regarding the Study of Stable Value Contracts

Industry Filing  IF 12-012

Request Comment from Natural Gas Exchange Inc. for an Amendment to its Order of Registration as a Derivatives Clearing Organization

The Commodity Futures Trading Commission (CFTC) is asking for public comment on a petition submitted by the Natural Gas Exchange Inc. (NGX), for an amendment to its order of registration as a derivatives clearing organization.

Public Information Collection  77 FR 60114  //   PDF Version

Agency Information Collection Activities Under OMB Review

Industry Filing  IF 12-013

Request Comment 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 requesting public comment on a 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.

Industry Filing  IF 12-011

Request Comment from ICE Clear Europe Limited for Order Permitting Portfolio Margining of Swaps and Security-Based Swaps in a Customer Account

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(f) of the Commodity Exchange Act (Act).

Orders and Other Announcements  77 FR 65675  //   PDF Version

Commodity Futures Trading Commission, Office of Consumer Outreach