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Public Comments

VIEW UPCOMING & RECENT EVENTS

Deadline
Comment Description
1/2/2015

Public Information Collection  79 FR 71400  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 12/2/2014
Closing Date: 1/2/2015
1/5/2015

Public Information Collection  79 FR 65643  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0066, Financial Resource Requirements for
Derivatives Clearing Organizations

Open Date: 11/5/2014
Closing Date: 1/5/2015
1/13/2015

Proposed Rule  79 FR 68148  //  Open PDF Version PDF Version

17 CFR Part 1 Residual Interest Deadline for Futures Commission Merchants

Open Date: 11/14/2014
Closing Date: 1/13/2015
See also:
80 FR 15507 ,  3/24/2015  //  Open PDF Version PDF Version

17 CFR Part 1 Residual Interest Deadline for Futures Commission Merchants

1/13/2015

Proposed Rule  79 FR 68140  //  Open PDF Version PDF Version

17 CFR Part 1 Records of Commodity Interest and Related Cash or Forward Transactions

Open Date: 11/14/2014
Closing Date: 1/13/2015
1/22/2015

Proposed Rule  79 FR 71973  //  Open PDF Version PDF Version

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

Open Date: 12/9/2014
Closing Date: 1/22/2015
See also:
78 FR 68946 ,  11/15/2013  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions

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

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

78 FR 76787 //  Open PDF Version PDF Version

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

79 FR 2394 ,  1/14/2014  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions

79 FR 3547 ,  1/22/2014  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions;  Correction

79 FR 30762 ,  5/29/2014  //  Open PDF Version 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  //  Open PDF Version 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  //  Open PDF Version 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  //  Open PDF Version 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 58365 ,  9/29/2015  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions

81 FR 38458 ,  6/13/2016  //  Open PDF Version PDF Version

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

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

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

1/22/2015

Public Information Collection  79 FR 76985  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 12/23/2014
Closing Date: 1/22/2015
1/22/2015

Proposed Rule  80 FR 200  //  Open PDF Version PDF Version

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

Open Date: 1/5/2015
Closing Date: 1/22/2015
See also:
78 FR 68946 ,  11/15/2013  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions

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

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

78 FR 76787 //  Open PDF Version PDF Version

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

79 FR 2394 ,  1/14/2014  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions

79 FR 3547 ,  1/22/2014  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions;  Correction

79 FR 30762 ,  5/29/2014  //  Open PDF Version 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  //  Open PDF Version 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  //  Open PDF Version 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 58365 ,  9/29/2015  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions

81 FR 38458 ,  6/13/2016  //  Open PDF Version PDF Version

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

81 FR 91454 ,  12/16/2016  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions

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

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

1/30/2015

Industry Filing  IF 14-006

Requesting Public Comment on Related Applications Submitted by LedgerX, LLC for Registration as a Derivatives Clearing Organization and Swap Execution Facility

The U.S. Commodity Futures Trading Commission (CFTC) is asking for public comment on related applications submitted by LedgerX, LLC (LedgerX), for registration as a derivatives clearing organization and registration as a swap execution facility.

Open Date: 12/15/2014
Closing Date: 1/30/2015
2/5/2015

Public Information Collection  80 FR 492  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 1/6/2015
Closing Date: 2/5/2015
2/17/2015

Public Information Collection  79 FR 74712  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0023, Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations

Open Date: 12/16/2014
Closing Date: 2/17/2015
2/20/2015

Industry Filing  IF 15-001

Extends Public Comment on Related Applications Submitted by LedgerX, LLC for Registration as a Derivatives Clearing Organization and Swap Execution Facility 

The U.S. Commodity Futures Trading Commission (CFTC) is extending the deadline for public comment on related applications submitted by LedgerX, LLC (LedgerX), for registration as a derivatives clearing organization and registration as a swap execution facility.  The original comment period ended on Jan. 30, 2015, but due to commenters requesting additional time, the CFTC is extending the deadline to Feb. 20, 2015.  LedgerX plans to list and clear fully collateralized, physically settled options on bitcoins.

Open Date: 2/4/2015
Closing Date: 2/20/2015
See also:
IF 14-006 ,  12/15/2014

Requesting Public Comment on Related Applications Submitted by LedgerX, LLC for Registration as a Derivatives Clearing Organization and Swap Execution Facility

The U.S. Commodity Futures Trading Commission (CFTC) is asking for public comment on related applications submitted by LedgerX, LLC (LedgerX), for registration as a derivatives clearing organization and registration as a swap execution facility.

3/23/2015

Public Information Collection  80 FR 8850  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 2/19/2015
Closing Date: 3/23/2015
3/24/2015

Public Information Collection  80 FR 3567  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0072 Registration of Swap Dealers and Major Swap Participants

Open Date: 1/23/2015
Closing Date: 3/24/2015
3/27/2015

Public Information Collection  80 FR 3955  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0076, Risk Management Requirements for
Derivatives Clearing Organizations

Open Date: 1/26/2015
Closing Date: 3/27/2015
3/27/2015

Public Information Collection  80 FR 3956  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0086, Swap Data Repositories; Registration and Regulatory Requirements

Open Date: 1/26/2015
Closing Date: 3/27/2015
3/27/2015

Industry Filing  IF 15-002

Requesting Public Comment on Application Submitted by CME Clearing Europe Limited for Registration as a Derivatives Clearing Organization

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

Open Date: 2/26/2015
Closing Date: 3/27/2015
3/30/2015

Public Information Collection  80 FR 4549  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0069, Information Management Requirements for Derivatives Clearing Organizations

Open Date: 1/28/2015
Closing Date: 3/30/2015
3/30/2015

Proposed Rule  80 FR 10022  //  Open PDF Version PDF Version

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

Open Date: 2/25/2015
Closing Date: 3/30/2015
See also:
78 FR 68946 ,  11/15/2013  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions

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

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

78 FR 76787 //  Open PDF Version PDF Version

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

79 FR 2394 ,  1/14/2014  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions

79 FR 3547 ,  1/22/2014  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions;  Correction

79 FR 30762 ,  5/29/2014  //  Open PDF Version 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  //  Open PDF Version 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  //  Open PDF Version 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  //  Open PDF Version 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 15699 ,  2/25/2015  //  Open PDF Version PDF Version

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

80 FR 58365 ,  9/29/2015  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions

81 FR 38458 ,  6/13/2016  //  Open PDF Version PDF Version

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

81 FR 91454 ,  12/16/2016  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions

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

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

3/30/2015

Proposed Rule  80 FR 15699  //  Open PDF Version PDF Version

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

Open Date: 2/25/2015
Closing Date: 3/30/2015
See also:
78 FR 68946 ,  11/15/2013  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions

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

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

78 FR 76787 //  Open PDF Version PDF Version

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

79 FR 2394 ,  1/14/2014  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions

79 FR 3547 ,  1/22/2014  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions;  Correction

79 FR 30762 ,  5/29/2014  //  Open PDF Version 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  //  Open PDF Version 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  //  Open PDF Version 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  //  Open PDF Version 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  //  Open PDF Version 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 58365 ,  9/29/2015  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions

81 FR 91454 ,  12/16/2016  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions

4/6/2015

General CFTC  CFTC Staff to Host Public Roundtable on Recovery and Orderly Wind-Down of Derivatives Clearing Organ

Staff of the U.S. Commodity Futures Trading Commission (CFTC) will hold a public roundtable on March 5, 2015, from 9:00 a.m. to 5:00 p.m., to discuss issues related to recovery and orderly wind-down of Derivatives Clearing Organizations (DCOs).  The goal of this roundtable is to gather views from a variety of stakeholders, including DCOs, their clearing members (futures commission merchants), and the customers of their clearing members (including money managers, end-users, and others).

Open Date: 2/20/2015
Closing Date: 4/6/2015
4/9/2015

Orders and Other Announcements  80 FR 13352  //  Open PDF Version PDF Version

Market Risk Advisory Committee

Open Date: 3/13/2015
Closing Date: 4/9/2015
4/20/2015

General CFTC  CFTC Staff Reschedules Public Roundtable on Recovery of Derivatives Clearing Organizations

The U.S. Commodity Futures Trading Commission (CFTC) staff is rescheduling the public roundtable to discuss issues related to the recovery and orderly wind-down of Derivatives Clearing Organizations (DCOs) for March 19, 2015, from 9:00 a.m. to 5:00 p.m. The goal of this roundtable is to gather views from a variety of stakeholders, including DCOs, their clearing members (futures commission merchants), and the customers of their clearing members (including money managers, end-users, and others).

Open Date: 3/10/2015
Closing Date: 4/20/2015
See also:
CFTC Staff to Host Public Roundtable on Recovery and Orderly Wind-Down of Derivatives Clearing Organ

Staff of the U.S. Commodity Futures Trading Commission (CFTC) will hold a public roundtable on March 5, 2015, from 9:00 a.m. to 5:00 p.m., to discuss issues related to recovery and orderly wind-down of Derivatives Clearing Organizations (DCOs).  The goal of this roundtable is to gather views from a variety of stakeholders, including DCOs, their clearing members (futures commission merchants), and the customers of their clearing members (including money managers, end-users, and others).

4/24/2015

Public Information Collection  80 FR 15755  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 3/25/2015
Closing Date: 4/24/2015
4/29/2015

Public Information Collection  80 FR 16643  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 3/30/2015
Closing Date: 4/29/2015
4/30/2015

Public Information Collection  80 FR 17036  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 3/31/2015
Closing Date: 4/30/2015
5/1/2015

Public Information Collection  80 FR 17413  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 4/1/2015
Closing Date: 5/1/2015
5/7/2015

Orders and Other Announcements  80 FR 23506  //  Open PDF Version PDF Version

Global Markets Advisory Committee

Open Date: 4/28/2015
Closing Date: 5/7/2015
5/11/2015

Proposed Rule  80 FR 12555  //  Open PDF Version PDF Version

17 CFR Parts 1, 3, 23, 37, 43, 45, 46, and 170 Initial Response to District Court Remand Order in Securities Industry and Financial Markets Association, et al. v. United States Commodity Futures Trading Commission

Open Date: 3/10/2015
Closing Date: 5/11/2015
See also:
81 FR 54478 //  Open PDF Version PDF Version

17 CFR Parts 1, 3, 23, 37, 43, 45, 46, and 170 Final Response to District Court Remand Order in Securities Industry and Financial Markets Association, et al. v. United States Commodity Futures Trading Commission

6/8/2015

Industry Filing  IF 15-003

Requesting Public Comment on an Application by Nodal Clear, LLC for Registration as a Derivatives Clearing Organization

The U.S. Commodity Futures Trading Commission (CFTC) is asking for public comment on an application by Nodal Clear, LLC for registration as a derivatives clearing organization.

Open Date: 5/7/2015
Closing Date: 6/8/2015
6/15/2015

Public Information Collection  80 FR 20474  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0013, Exemptions From Speculative Limits

Open Date: 4/16/2015
Closing Date: 6/15/2015
6/16/2015

Orders and Other Announcements  80 FR 25674  //  Open PDF Version PDF Version

Market Risk Advisory Committee

Open Date: 5/5/2015
Closing Date: 6/16/2015
6/17/2015

Industry Filing  IF 15-004

Requesting Public Comment on a Petition by ASX Clear (Futures) Pty Limited for Exemption from Registration as a Derivatives Clearing Organization

The U.S. Commodity Futures Trading Commission (Commission) is asking for public comment on a petition by ASX Clear (Futures) Pty Limited for exemption from registration as a derivatives clearing organization (DCO).

Open Date: 6/3/2015
Closing Date: 6/17/2015
6/22/2015

Proposed Rule  80 FR 26200  //  Open PDF Version PDF Version

17 CFR Part 32 Trade Options

Open Date: 5/7/2015
Closing Date: 6/8/2015
Extended Date: 6/22/2015
See also:
80 FR 31326 ,  6/2/2015  //  Open PDF Version PDF Version

17 CFR Part 32 Trade Options

6/22/2015

Orders and Other Announcements  80 FR 29490  //  Open PDF Version PDF Version

Notice of Proposed Order and Request for Comment on an Application for an Exemptive Order From Southwest Power Pool, Inc. From Certain Provisions of the Commodity Exchange Act Pursuant to the Authority Provided in Section 4(c)(6) of the Act

Open Date: 5/21/2015
Closing Date: 6/22/2015
See also:
81 FR 73062 //  Open PDF Version PDF Version

Final Order Regarding Southwest Power Pool, Inc. Application To Exempt Specified Transactions; Amendment to the Final Order Exempting Specified Transactions of Certain Independent System Operators and Regional Transmission Organizations

6/22/2015

Proposed Rule  80 FR 31326  //  Open PDF Version PDF Version

17 CFR Part 32 Trade Options

Open Date: 6/2/2015
Closing Date: 6/22/2015
See also:
80 FR 26200 ,  5/7/2015  //  Open PDF Version PDF Version

17 CFR Part 32 Trade Options

6/29/2015

Public Information Collection  80 FR 23788  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0097, Process for Review of Swaps for Mandatory Clearing

Open Date: 4/29/2015
Closing Date: 6/29/2015
7/6/2015

Public Information Collection  80 FR 25280  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0009, Large Trader Reports

Open Date: 5/4/2015
Closing Date: 7/6/2015
7/13/2015

Public Information Collection  80 FR 27152  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0021, Regulations Governing Bankruptcies of Commodity Brokers

Open Date: 5/12/2015
Closing Date: 7/13/2015
7/13/2015

Public Information Collection  80 FR 27293  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent to Renew Collection 3038-0033, Notification of Pending Legal Proceedings

Open Date: 5/13/2015
Closing Date: 7/13/2015
7/14/2015

Public Information Collection  80 FR 27930  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0092, Customer Clearing Documentation and Timing of Acceptance for Clearing

Open Date: 5/15/2015
Closing Date: 7/14/2015
7/23/2015

Public Information Collection  80 FR 35938  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 6/23/2015
Closing Date: 7/23/2015
7/23/2015

Industry Filing  IF 15-006

Requesting Public Comment on a Petition by OTC Clearing Hong Kong Limited for Exemption from DCO Registration

The U.S. Commodity Futures Trading Commission (Commission) is asking for public comment on a petition by OTC Clearing Hong Kong Limited for exemption from registration as a derivatives clearing organization (DCO).

Open Date: 7/9/2015
Closing Date: 7/23/2015
8/6/2015

Public Information Collection  80 FR 38670  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 7/7/2015
Closing Date: 8/6/2015
8/6/2015

Industry Filing  IF 15-005

The U.S. Commodity Futures Trading Commission is requesting public comment on a rule amendment certification filing by ICE Futures U.S.

Open Date: 7/7/2015
Closing Date: 8/6/2015
8/11/2015

Public Information Collection  80 FR 33490  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection Number 3038-0007, Regulation of Domestic Exchange-Traded Options

Open Date: 6/12/2015
Closing Date: 8/11/2015
8/11/2015

Public Information Collection  80 FR 33491  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection

Open Date: 6/12/2015
Closing Date: 8/11/2015
8/17/2015

General CFTC  CFTC to Host Public Roundtable Regarding the Made Available to Trade

The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (Division) will hold a public roundtable on July 15, 2015, from 10:00 a.m. to 2:00 p.m. to discuss the Commodity Exchange Act’s trade execution requirement and the process of making Made Available to Trade (MAT) determinations. The roundtable will discuss: (1) approaches to mandatory exchange trading in various jurisdictions; (2) academic perspectives on, and data-based assessment of, MAT; and (3) industry analysis of the MAT process.

Open Date: 6/22/2015
Closing Date: 8/17/2015
8/17/2015

Public Information Collection  80 FR 42091  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 7/16/2015
Closing Date: 8/17/2015
8/28/2015

Public Information Collection  80 FR 45204  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 7/29/2015
Closing Date: 8/28/2015
8/28/2015

Public Information Collection  80 FR 45205  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 7/29/2015
Closing Date: 8/28/2015
9/1/2015

Industry Filing  IF 15-008

Requesting Public Comment on a Petition by Korea Exchange, Inc. for Exemption from DCO Registration

The U.S. Commodity Futures Trading Commission (Commission) is asking for public comment on a petition by Korea Exchange, Inc. for exemption from registration as a derivatives clearing organization (DCO).

Open Date: 8/18/2015
Closing Date: 9/1/2015
9/8/2015

Public Information Collection  80 FR 47479  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 8/7/2015
Closing Date: 9/8/2015
9/10/2015

Orders and Other Announcements  80 FR 53138  //  Open PDF Version PDF Version

Agricultural Advisory Committee; Notice of Meeting

Open Date: 9/2/2015
Closing Date: 9/10/2015
9/14/2015

Proposed Rule  80 FR 41376  //  Open PDF Version 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

Open Date: 7/14/2015
Closing Date: 9/14/2015
See also:
76 FR 23732 ,  4/28/2011  //  Open PDF Version PDF Version

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

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

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

77 FR 41109 ,  7/12/2012  //  Open PDF Version PDF Version

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

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

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

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

9/21/2015

Industry Filing  IF 15-007

Public Comment Extension for Certification Filing to Amend the Position Limits on NYISO Zone G Futures Contracts

The U.S. Commodity Futures Trading Commission’s has granted ICE Futures U.S. a 45-day extension of the public comment period and a 60-day extension of the stay period for Submission No. 15-101, dated May 11, 2015.

Open Date: 8/5/2015
Closing Date: 9/21/2015
See also:
IF 15-005 ,  7/7/2015

The U.S. Commodity Futures Trading Commission is requesting public comment on a rule amendment certification filing by ICE Futures U.S.

9/28/2015

Public Information Collection  80 FR 52035  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 8/27/2015
Closing Date: 9/28/2015
9/28/2015

Public Information Collection  80 FR 52036  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 8/27/2015
Closing Date: 9/28/2015
10/2/2015

Industry Filing  IF 15-008

Requesting public comment on a Petition by Japan Securities Clearing Corporation for Exemption from DCO Registration

The U.S. Commodity Futures Trading Commission (Commission) is asking for public comment on a petition by Japan Securities Clearing Corporation (JSCC) for exemption from registration as a derivatives clearing organization (DCO).

Open Date: 9/21/2015
Closing Date: 10/2/2015
10/6/2015

Public Information Collection  80 FR 47475  //  Open PDF Version PDF Version

Agency Information Collection Activities: Proposed Collection, Comment Request, Foreign Board of Trade Registration

Open Date: 8/7/2015
Closing Date: 10/6/2015
10/6/2015

Public Information Collection  80 FR 47476  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0085, Rule 50.50 End-User Notification of Non-Cleared Swaps

Open Date: 8/7/2015
Closing Date: 10/6/2015
10/6/2015

Public Information Collection  80 FR 47477  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0096, Swap Data Recordkeeping and Reporting Requirements

Open Date: 8/7/2015
Closing Date: 10/6/2015
10/6/2015

Public Information Collection  80 FR 47478  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent to Renew Collection Number 3038-0079, Conflict of Interest Policies and Procedures by Swap Dealers and Major Swap Participants

Open Date: 8/7/2015
Closing Date: 10/6/2015
10/14/2015

Orders and Other Announcements  80 FR 55098  //  Open PDF Version PDF Version

Public Alert--Registration Deficient List

Open Date: 9/14/2015
Closing Date: 10/14/2015
10/30/2015

Proposed Rule  80 FR 52544  //  Open PDF Version PDF Version

17 CFR Part 45 Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps

Open Date: 8/31/2015
Closing Date: 10/30/2015
See also:
81 FR 41736 ,  6/27/2016  //  Open PDF Version PDF Version

17 CFR Part 45 Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps

11/13/2015

Proposed Rule  80 FR 58365  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions

Open Date: 9/29/2015
Closing Date: 11/13/2015
See also:
78 FR 68946 ,  11/15/2013  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions

79 FR 2394 ,  1/14/2014  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions

79 FR 3547 ,  1/22/2014  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions;  Correction

79 FR 30762 ,  5/29/2014  //  Open PDF Version 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  //  Open PDF Version 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  //  Open PDF Version 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  //  Open PDF Version 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  //  Open PDF Version 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 15699 ,  2/25/2015  //  Open PDF Version PDF Version

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

81 FR 91454 ,  12/16/2016  //  Open PDF Version PDF Version

17 CFR Part 150 Aggregation of Positions

11/16/2015

Orders and Other Announcements  80 FR 60134  //  Open PDF Version PDF Version

Market Risk Advisory Committee

Open Date: 10/5/2015
Closing Date: 11/16/2015
11/18/2015

Public Information Collection  80 FR 63202  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 10/19/2015
Closing Date: 11/18/2015
11/18/2015

Public Information Collection  80 FR 63202  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 10/19/2015
Closing Date: 11/18/2015
11/19/2015

Public Information Collection  80 FR 63544  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 10/20/2015
Closing Date: 11/19/2015
11/23/2015

Proposed Rule  80 FR 57129  //  Open PDF Version PDF Version

17 CFR Part 23 Proposal To Amend the Definition of ``Material Terms'' for Purposes of Swap Portfolio Reconciliation

Open Date: 9/22/2015
Closing Date: 11/23/2015
See also:
81 FR 27309 ,  5/6/2016  //  Open PDF Version PDF Version

17 CFR Part 23 Definitions of ``Portfolio Reconciliation'' and ``Material Terms'' for Purposes of Swap Portfolio Reconciliation

11/23/2015

Public Information Collection  80 FR 63971  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 10/22/2015
Closing Date: 11/23/2015
12/14/2015

Public Information Collection  80 FR 62045  //  Open PDF Version 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

Open Date: 10/15/2015
Closing Date: 12/14/2015
12/28/2015

Public Information Collection  80 FR 65217  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection: Clearing Member Risk Management

Open Date: 10/26/2015
Closing Date: 12/28/2015