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1/3/2022

Public Information Collection  86 FR 60448  //  Open PDF Version PDF Version

Agency Information Collection Activities: Proposed Revised Collection, Comment Request: Swap Execution Facilities Final Rule; Notice of Intent To Revise Collection 3038-0074: Core Principles and Other Requirements for Swap Execution Facilities

Open Date: 11/2/2021
Closing Date: 1/3/2022
1/10/2022

Privacy Act Systems  86 FR 70116  //  Open PDF Version PDF Version

Privacy Act of 1974; System of Records

Reasonable Accommodations Records--CFTC-57

Open Date: 12/9/2021
Closing Date: 1/10/2022
1/24/2022

Public Information Collection  86 FR 66537  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0104: Clearing Exemption for Swaps Between Certain Affiliated Entities

Open Date: 11/23/2021
Closing Date: 1/24/2022
1/24/2022

Proposed Rule  Request for Information and Comment 86 FR 88476  //  Open PDF Version PDF Version

17 CFR Part 50 Swap Clearing Requirement To Account for the Transition From LIBOR and Other IBORs to Alternative Reference Rates

Open Date: 11/23/2021
Closing Date: 1/24/2022
See also:
87 FR 32898 ,  5/31/2022  //  Open PDF Version PDF Version

17 CFR Part 50 Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps To Account for the Transition From LIBOR and Other IBORs to Alternative Reference Rates

SUMMARY: The Commodity Futures Trading Commission (Commission or CFTC) is proposing to amend its interest rate swap clearing requirement regulations adopted under applicable provisions of the Commodity Exchange Act (CEA) in light of the global transition from reliance on certain interbank offered rates (IBORs) (e.g., the London Interbank Offered Rate (LIBOR)) that have been, or will be, discontinued as benchmark reference rates to alternative reference rates, which are predominantly overnight, nearly risk-free reference rates (RFRs). The proposed amendments would revise the set of interest rate swaps that are required to be submitted for clearing pursuant to the CEA and the Commission's regulations to a derivatives clearing organization (DCO) that is registered under the CEA (registered DCO) or a DCO that has been exempted from registration under the CEA (exempt DCO).

87 FR 52182 ,  8/24/2022  //  Open PDF Version PDF Version

17 CFR Part 50 Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps To Account for the Transition From LIBOR and Other IBORs to Alternative Reference Rates

1/28/2022

Public Information Collection  86 FR 74074  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 12/29/2021
Closing Date: 1/28/2022
2/28/2022

Public Information Collection  87 FR 4568  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 1/28/2022
Closing Date: 2/28/2022
3/2/2022

Public Information Collection  87 FR 4870  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 1/31/2022
Closing Date: 3/2/2022
3/29/2022

Public Information Collection  87 FR 4567  //  Open PDF Version PDF Version

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

Open Date: 1/28/2022
Closing Date: 3/29/2022
4/25/2022

Public Information Collection  87 FR 9582  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0094: Clearing Member Risk Management

Open Date: 2/22/2022
Closing Date: 4/25/2022
4/25/2022

Public Information Collection  87 FR 9583  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0075: Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy

Open Date: 2/22/2022
Closing Date: 4/25/2022
4/25/2022

Public Information Collection  87 FR 10175  //  Open PDF Version 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

Open Date: 2/23/2022
Closing Date: 4/25/2022
5/2/2022

Public Information Collection  87 FR 18771  //  Open PDF Version PDF Version

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

Open Date: 3/31/2022
Closing Date: 5/2/2022
5/2/2022

Orders and Other Announcements  87 FR 19081  //  Open PDF Version PDF Version

CFTC 2022-2026 Strategic Plan

Open Date: 4/1/2022
Closing Date: 5/2/2022
5/11/2022

Industry Filing  22-001  //  Open PDF Version PDF Version

Request for Comment on FTX Request for Amended DCO Registration Order

The Commodity Futures Trading Commission (Commission) has received inquiries from derivatives clearing organizations (DCO) or potential DCO applicants seeking to offer clearing of margined products directly to participants, such that participants would not clear through a futures commission merchant (FCM) intermediary (non-intermediated model).  LedgerX, LLC d.b.a. FTX US Derivatives (FTX), has submitted a request to amend its order of registration as a DCO to allow it to modify its existing non-intermediated model.  FTX currently clears futures and options on futures contracts on a fully collateralized basis.  FTX proposes to clear margined products while continuing with a non-intermediated model. 

Open Date: 3/10/2022
Closing Date: 4/11/2022
Extended Date: 5/11/2022
5/27/2022

Public Information Collection  87 FR 24972  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 4/27/2022
Closing Date: 5/27/2022
5/27/2022

Public Information Collection  87 FR 24973  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 4/27/2022
Closing Date: 5/27/2022
5/27/2022

Public Information Collection  87 FR 24974  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 4/27/2022
Closing Date: 5/27/2022
6/9/2022

General CFTC  CFTC Staff Roundtable on Non-Intermediation on May 25, 2022

The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Clearing and Risk will hold a roundtable on non-intermediation on May 25 at 9:30 a.m. EDT at the CFTC's headquarters in Washington, D.C. for participants only.  All comments must be received by June 9, 2022.

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.

Open Date: 5/25/2022
Closing Date: 6/9/2022
6/15/2022

General CFTC  CFTC Voluntary Carbon Markets Convening on June 2, 2022

The U.S. Commodity Futures Trading Commission’s (CFTC) Climate Risk Unit will hold a convening on voluntary carbon markets on June 2 at 9:00 a.m. EDT at the CFTC's headquarters in Washington, D.C. for participants only. 

All comments must be received by June 15, 2022.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.

Open Date: 6/2/2022
Closing Date: 6/15/2022
6/27/2022

Public Information Collection  87 FR 24533  //  Open PDF Version PDF Version

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

Open Date: 4/26/2022
Closing Date: 6/27/2022
6/27/2022

Public Information Collection  87 FR 24534  //  Open PDF Version PDF Version

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

Open Date: 4/26/2022
Closing Date: 6/27/2022
6/27/2022

Public Information Collection  87 FR 24535  //  Open PDF Version PDF Version

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

Open Date: 4/26/2022
Closing Date: 6/27/2022
6/27/2022

Public Information Collection  87 FR 25228  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0052: Core Principles & Other Requirements for DCMs

Open Date: 4/28/2022
Closing Date: 6/27/2022
6/28/2022

Public Information Collection  87 FR 25468  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0024: Regulations and Forms Pertaining to the Financial Integrity of the Marketplace

Open Date: 4/29/2022
Closing Date: 6/28/2022
6/30/2022

Proposed Rule  87 FR 32898  //  Open PDF Version PDF Version

17 CFR Part 50 Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps To Account for the Transition From LIBOR and Other IBORs to Alternative Reference Rates

SUMMARY: The Commodity Futures Trading Commission (Commission or CFTC) is proposing to amend its interest rate swap clearing requirement regulations adopted under applicable provisions of the Commodity Exchange Act (CEA) in light of the global transition from reliance on certain interbank offered rates (IBORs) (e.g., the London Interbank Offered Rate (LIBOR)) that have been, or will be, discontinued as benchmark reference rates to alternative reference rates, which are predominantly overnight, nearly risk-free reference rates (RFRs). The proposed amendments would revise the set of interest rate swaps that are required to be submitted for clearing pursuant to the CEA and the Commission's regulations to a derivatives clearing organization (DCO) that is registered under the CEA (registered DCO) or a DCO that has been exempted from registration under the CEA (exempt DCO).

Open Date: 5/31/2022
Closing Date: 6/30/2022
See also:
Request for Information and Comment 86 FR 88476 ,  11/23/2021  //  Open PDF Version PDF Version

17 CFR Part 50 Swap Clearing Requirement To Account for the Transition From LIBOR and Other IBORs to Alternative Reference Rates

87 FR 52182 ,  8/24/2022  //  Open PDF Version PDF Version

17 CFR Part 50 Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps To Account for the Transition From LIBOR and Other IBORs to Alternative Reference Rates

7/18/2022

Public Information Collection  87 FR 29855  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Request a New Collection: Qualification Information for Candidates to Advisory Committees and Subcommittees

Open Date: 5/17/2022
Closing Date: 7/18/2022
7/22/2022

Public Information Collection  87 FR 31217  //  Open PDF Version PDF Version

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

Open Date: 5/23/2022
Closing Date: 7/22/2022
7/25/2022

Public Information Collection  87 FR 31862  //  Open PDF Version PDF Version

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

Open Date: 5/25/2022
Closing Date: 7/25/2022
7/25/2022

Public Information Collection  87 FR 31863  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0012, Futures Volume, Open Interest, Price, Deliveries, and Exchanges of Futures

Open Date: 5/25/2022
Closing Date: 7/25/2022
8/1/2022

Public Information Collection  87 FR 39505  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 7/1/2022
Closing Date: 8/1/2022
8/1/2022

Public Information Collection  87 FR 39506  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 7/1/2022
Closing Date: 8/1/2022
8/1/2022

Public Information Collection  87 FR 39504  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 7/1/2022
Closing Date: 8/1/2022
8/1/2022

Public Information Collection  87 FR 39503  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 7/1/2022
Closing Date: 8/1/2022
8/1/2022

Public Information Collection  87 FR 39502  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 7/1/2022
Closing Date: 8/1/2022
8/8/2022

Public Information Collection  87 FR 40510  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 7/7/2022
Closing Date: 8/8/2022
8/23/2022

Public Information Collection  87 FR 37839  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Revise Collection 3038-0096 (Swap Data Recordkeeping and Reporting Requirements) and Collection 3038-0070 (Real-Time Public Reporting)

Open Date: 6/24/2022
Closing Date: 8/23/2022
8/26/2022

Public Information Collection  87 FR 45086  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 7/27/2022
Closing Date: 8/26/2022
8/26/2022

Public Information Collection  87 FR 45087  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 7/27/2022
Closing Date: 8/26/2022
8/29/2022

Public Information Collection  87 FR 45303  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 7/28/2022
Closing Date: 8/29/2022
8/30/2022

Public Information Collection  87 FR 39501  //  Open PDF Version PDF Version

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

Open Date: 7/1/2022
Closing Date: 8/30/2022
9/12/2022

Public Information Collection  87 FR 41293  //  Open PDF Version PDF Version

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

Open Date: 7/12/2022
Closing Date: 9/12/2022
9/12/2022

Public Information Collection  87 FR 41674  //  Open PDF Version 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

Open Date: 7/13/2022
Closing Date: 9/12/2022
9/20/2022

Public Information Collection  87 FR 43797  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection Number 3038-0067, Part 162--Protection of Consumer Information Under the Fair Credit Reporting Act

Open Date: 7/22/2022
Closing Date: 9/20/2022
9/25/2022

Industry Filing  22-002

Review and Public Comment Period of KalshiEx Proposed Congressional Control Contracts Under CFTC Regulation 40.11

The Commodity Futures Trading Commission announced the beginning of a review of KalshiEX, LLC’s (KalshiEx) proposed contracts on which political party will be in control of each chamber of the U.S. Congress (Congressional Control Contracts) under CFTC Regulation 40.11(c). KalshiEX, a designated contract market, voluntarily submitted the Congressional Control Contracts for CFTC review.

Open Date: 8/26/2022
Closing Date: 9/25/2022
9/27/2022

Orders and Other Announcements  87 FR XXXXX  //  Open PDF Version PDF Version

Energy and Environmental Markets Advisory Committee

Open Date: 9/6/2022
Closing Date: 9/27/2022
10/3/2022

Public Information Collection  87 FR 54200  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 9/2/2022
Closing Date: 10/3/2022
10/4/2022

Public Information Collection  87 FR 48001  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0111, Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements

Open Date: 8/5/2022
Closing Date: 10/4/2022
10/5/2022

Orders and Other Announcements  87 FR 54678  //  Open PDF Version PDF Version

Market Risk Advisory Committee

Open Date: 9/7/2022
Closing Date: 10/5/2022
10/7/2022

Orders and Other Announcements  87 FR 34856  //  Open PDF Version PDF Version

Request for Information on Climate-Related Financial Risk

Open Date: 6/8/2022
Closing Date: 8/8/2022
Extended Date: 10/7/2022
See also:
87 FR 43501 ,  7/21/2022  //  Open PDF Version PDF Version

Request for Information on Climate-Related Financial Risk

10/7/2022

Orders and Other Announcements  87 FR 48092  //  Open PDF Version PDF Version

17 CFR Chapter I Notice of Proposed Order and Request for Comment on an Application for a Capital Comparability Determination From the Financial Services Agency of Japan

Open Date: 8/8/2022
Closing Date: 10/7/2022
10/11/2022

Proposed Rule  87 FR 49559  //  Open PDF Version PDF Version

17 CFR Part 39 Governance Requirements for Derivatives Clearing Organizations

Open Date: 8/11/2022
Closing Date: 10/11/2022
See also:
88 FR 44675 ,  7/13/2023  //  Open PDF Version PDF Version

17 CFR Part 39 Governance Requirements for Derivatives Clearing Organizations

10/11/2022

Proposed Rule  87 FR 53832  //  Open PDF Version PDF Version

Commodity Futures Trading Commission RIN 3038-AF31 and Securities and Exchange Commission 17 CFR Parts 275 and 279 [Release No. IA-6083; File No. S7-22-22] RIN 3235–AN13 Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers

Open Date: 9/1/2022
Closing Date: 10/11/2022
See also:
87 FR 5461 ,  9/7/2022  //  Open PDF Version PDF Version

Commodity Futures Trading Commission RIN 3038-AF31 and Securities and Exchange Commission 17 CFR Parts 275 and 279 [Release No. IA-6083; File No. S7-22-22] RIN 3235–AN13 Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Correction

89 FR 17984 ,  3/12/2024  //  Open PDF Version PDF Version

Commodity Futures Trading Commission 17 CFR Chapter I RIN 3038-AF31 and Securities and Exchange Commission 17 CFR Parts 275 and 279 [Release No. IA-6546; File No. S7-22-22] RIN 3235-AN13 Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers

10/17/2022

Public Information Collection  87 FR 50849  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0085: Rule 50.50 End-User Notification of Non-Cleared Swap

Open Date: 8/18/2022
Closing Date: 10/17/2022
10/17/2022

Public Information Collection  87 FR 50850  //  Open PDF Version PDF Version

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

Open Date: 8/18/2022
Closing Date: 10/17/2022
10/18/2022

Public Information Collection  87 FR 51065  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Revise Collection Number 3038-0088: Swap Documentation

Open Date: 8/19/2022
Closing Date: 10/18/2022
10/21/2022

Public Information Collection  87 FR 57681  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 9/21/2022
Closing Date: 10/21/2022
10/21/2022

Public Information Collection  87 FR 57682  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 9/21/2022
Closing Date: 10/21/2022
10/31/2022

Public Information Collection  87 FR 59064  //  Open PDF Version PDF Version

Agency Information Collection Activities under OMB Review

Open Date: 9/29/2022
Closing Date: 10/31/2022
11/4/2022

Public Information Collection  87 FR 60382  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 10/5/2022
Closing Date: 11/4/2022
11/23/2022

Public Information Collection  87 FR 64206  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 10/24/2022
Closing Date: 11/23/2022
11/23/2022

Public Information Collection  87 FR 64207  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 10/24/2022
Closing Date: 11/23/2022
11/23/2022

Public Information Collection  87 FR 64208  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 10/24/2022
Closing Date: 11/23/2022
11/25/2022

Public Information Collection  87 FR 64455  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 10/25/2022
Closing Date: 11/25/2022
12/14/2022

Orders and Other Announcements  87 FR 67875  //  Open PDF Version PDF Version

Agricultural Advisory Committee; Meeting

Open Date: 11/10/2022
Closing Date: 12/14/2022
12/19/2022

Public Information Collection  87 FR 63051  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0023, Registration Under the Commodity Exchange Act

Open Date: 10/18/2022
Closing Date: 12/19/2022
12/20/2022

Public Information Collection  87 FR 64018  //  Open PDF Version PDF Version

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

Open Date: 10/21/2022
Closing Date: 12/20/2022
12/23/2022

Public Information Collection  87 FR 64205  //  Open PDF Version PDF Version

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

Open Date: 10/24/2022
Closing Date: 12/23/2022