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1/6/2023

Public Information Collection  87 FR 67022  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0025, Practice by Former Members and Employees of the Commission

Open Date: 11/7/2022
Closing Date: 1/6/2023
1/16/2023

Public Information Collection  87 FR 69013  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0076: Requirements for Derivatives Clearing Organizations

Open Date: 11/17/2022
Closing Date: 1/16/2023
2/3/2023

Public Information Collection  88 FR 347  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 1/4/2023
Closing Date: 2/3/2023
2/13/2023

Orders and Other Announcements  87 FR 76374  //  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 Submitted on Behalf of Nonbank Swap Dealers Subject to Regulation by the Mexican Comision Nacional Bancaria y de Valores

Open Date: 12/13/2022
Closing Date: 2/13/2023
2/13/2023

Proposed Rule  87 FR 76698  //  Open PDF Version PDF Version

17 CFR Parts 39 and 140 Reporting and Information Requirements for Derivatives Clearing Organizations

Open Date: 12/15/2022
Closing Date: 2/13/2023
See also:
88 FR 53664 ,  8/8/2023  //  Open PDF Version PDF Version

17 CFR Parts 39 and 140 Reporting and Information Requirements for Derivatives Clearing Organizations

2/20/2023

Orders and Other Announcements  88 FR 2894  //  Open PDF Version PDF Version

Global Markets Advisory Committee

Open Date: 1/18/2023
Closing Date: 2/20/2023
2/21/2023

Public Information Collection  88 FR 3721  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 1/20/2023
Closing Date: 2/21/2023
2/21/2023

Public Information Collection  88 FR 3722  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 1/20/2023
Closing Date: 2/21/2023
2/27/2023

Public Information Collection  87 FR 79286  //  Open PDF Version 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

Open Date: 12/27/2022
Closing Date: 2/27/2023
3/2/2023

Public Information Collection  88 FR 6238  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 1/31/2023
Closing Date: 3/2/2023
3/3/2023

Orders and Other Announcements  88 FR XXXXX  //  Open PDF Version PDF Version

Energy and Environmental Markets Advisory Committee

Open Date: 2/22/2023
Closing Date: 3/3/2023
3/14/2023

Public Information Collection  88 FR 2345  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0101, Registration of Foreign Boards of Trade

Open Date: 1/13/2023
Closing Date: 3/14/2023
3/15/2023

Orders and Other Announcements  88 FR 10304  //  Open PDF Version PDF Version

Market Risk Advisory Committee

Open Date: 2/17/2023
Closing Date: 3/15/2023
3/20/2023

Public Information Collection  88 FR 3395  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0013: Position Limits

Open Date: 1/19/2023
Closing Date: 3/20/2023
3/21/2023

Public Information Collection  88 FR 3720  //  Open PDF Version PDF Version

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

Open Date: 1/20/2023
Closing Date: 3/21/2023
3/29/2023

Orders and Other Announcements  88 FR 13107  //  Open PDF Version PDF Version

Technology Advisory Committee

Open Date: 3/2/2023
Closing Date: 3/29/2023
4/3/2023

Public Information Collection  88 FR 13106  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 3/2/2023
Closing Date: 4/3/2023
4/12/2023

Orders and Other Announcements  88 FR 15378  //  Open PDF Version PDF Version

Agricultural Advisory Committee

Open Date: 3/13/2023
Closing Date: 4/12/2023
4/17/2023

Public Information Collection  88 FR 16415  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 3/17/2023
Closing Date: 4/17/2023
4/18/2023

Public Information Collection  88 FR 10303  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0116: Response to Notification of Termination of Exemptive Relief

Open Date: 2/17/2023
Closing Date: 4/18/2023
4/24/2023

Public Information Collection  88 FR 11410  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Extend Collection Number 3038-0049: Procedural Requirements for Requests for Interpretative, No-Action, and Exemptive Letters

Open Date: 2/23/2023
Closing Date: 4/24/2023
4/26/2023

Public Information Collection  88 FR 18127  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 3/27/2023
Closing Date: 4/26/2023
4/27/2023

Public Information Collection  88 FR 18301  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 3/28/2023
Closing Date: 4/27/2023
5/5/2023

Privacy Act Systems  88 FR 20141  //  Open PDF Version PDF Version

Privacy Act of 1974; System of Records

Office of the Inspector General Investigative Files--CFTC-32

Open Date: 4/5/2023
Closing Date: 5/5/2023
5/5/2023

Privacy Act Systems  88 FR 20144  //  Open PDF Version PDF Version

Privacy Act of 1974; System of Records

Office of the Inspector General Audit Files--CFTC-56

Open Date: 4/5/2023
Closing Date: 5/5/2023
5/5/2023

Privacy Act Systems  88 FR 20146  //  Open PDF Version PDF Version

Privacy Act of 1974; System of Records

Advisory Committees--CFTC 58

Open Date: 4/5/2023
Closing Date: 5/5/2023
5/25/2023

Public Information Collection  88 FR 24977  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 4/25/2023
Closing Date: 5/25/2023
5/30/2023

Public Information Collection  88 FR 26280  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 4/28/2023
Closing Date: 5/30/2023
6/5/2023

Public Information Collection  88 FR 29100  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 5/5/2023
Closing Date: 6/5/2023
6/13/2023

Public Information Collection  88 FR 23011  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0090: Adaptation of Regulations To Incorporate Swaps-Records of Transactions; Exclusion of Utility Operations Related Swaps With Utility Special Entities From De Minimis Threshold for Swaps With Special Entities

Open Date: 4/14/2023
Closing Date: 6/13/2023
6/26/2023

Public Information Collection  FR 88 34140  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 5/26/2023
Closing Date: 6/26/2023
6/27/2023

Public Information Collection  88 FR 26279  //  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: 4/28/2023
Closing Date: 6/27/2023
6/30/2023

Proposed Rule  88 FR 22934  //  Open PDF Version PDF Version

17 CFR Part 39 Derivatives Clearing Organization Risk Management Regulations To Account for the Treatment of Separate Accounts by Futures Commission Merchants

Open Date: 4/14/2023
Closing Date: 6/13/2023
Extended Date: 6/30/2023
See also:
88 FR 39205 ,  6/15/2023  //  Open PDF Version PDF Version

17 CFR Part 39 Derivatives Clearing Organization Risk Management Regulations To Account for the Treatment of Separate Accounts by Futures Commission Merchants

89 FR 15312 ,  2/20/2024  //  Open PDF Version PDF Version

17 CFR Parts 1, 22, 30, and 39 Regulations to Address Margin Adequacy and to Account for the Treatment of Separate Accounts by Futures Commission Merchants

7/4/2023

Orders and Other Announcements  PR 8719-23  //  Open PDF Version PDF Version

Energy and Environmental Markets Advisory Committee

Open Date: 6/13/2023
Closing Date: 7/4/2023
7/17/2023

Orders and Other Announcements  88 FR 40789  //  Open PDF Version PDF Version

Market Risk Advisory Committee; Meeting

Open Date: 6/22/2023
Closing Date: 7/17/2023
7/24/2023

Industry Filing  23-01

Public Comment Period for KalshiEX Congressional Control Contracts

The CFTC seeks public comment on questions related to contracts self-certified by KalshiEX LLC, a designated contract market, on which political party will be in control of each chamber of the U.S. Congress. 

Open Date: 6/23/2023
Closing Date: 7/24/2023
7/24/2023

Orders and Other Announcements  88 FR 42047  //  Open PDF Version PDF Version

Global Markets Advisory Committee

Open Date: 6/29/2023
Closing Date: 7/24/2023
7/25/2023

Orders and Other Announcements  88 FR 41933  //  Open PDF Version PDF Version

Technology Advisory Committee

Open Date: 6/28/2023
Closing Date: 7/25/2023
7/26/2023

Public Information Collection  88 FR 41389  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 6/26/2023
Closing Date: 7/26/2023
7/26/2023

Orders and Other Announcements  88 FR 42047  //  Open PDF Version PDF Version

Agricultural Advisory Committee

Open Date: 6/29/2023
Closing Date: 7/26/2023
7/31/2023

Public Information Collection  88 FR 34489  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Request Approval for Collection 3038-0117, Exemption From Derivatives Clearing Organization Registration

Open Date: 5/30/2023
Closing Date: 7/31/2023
8/7/2023

Public Information Collection  88 FR 43084  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 7/6/2023
Closing Date: 8/7/2023
8/18/2023

General CFTC  Second Voluntary Carbon Markets Convening on July 19, 2023

Commodity Futures Trading Commission Chairman Rostin Behnam announced the second voluntary carbon markets convening will be held on Wednesday, July 19 at 11:30 a.m. (EDT) at the CFTC's Washington, D.C. headquarters.  

All comments must be received by August 18, 2023.  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: 7/18/2023
Closing Date: 8/18/2023
8/28/2023

Proposed Rule  88 FR 41522  //  Open PDF Version PDF Version

17 CFR Part 17 Large Trader Reporting Requirements

Open Date: 6/27/2023
Closing Date: 8/28/2023
See also:
89 FR 47439 ,  6/3/2024  //  Open PDF Version PDF Version

17 CFR Part 17 Large Trader Reporting Requirements

8/28/2023

Orders and Other Announcements  88 FR 41774  //  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 Submitted on Behalf of Nonbank Swap Dealers Domiciled in the French Republic and Federal Republic of Germany and Subject to Capital and Financial Reporting Requirements of the European Union

Open Date: 6/27/2023
Closing Date: 8/28/2023
8/28/2023

Public Information Collection  88 FR 41932  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent to Extend Collection; 3038-0097; Process for Review of Swaps for Mandatory Clearing

Open Date: 6/28/2023
Closing Date: 8/28/2023
9/5/2023

Public Information Collection  88 FR 43086  //  Open PDF Version PDF Version

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

Open Date: 7/6/2023
Closing Date: 9/5/2023
9/5/2023

Public Information Collection  88 FR 43085  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0079: Swap Dealer and Major Swap Participant Conflicts of Interest and Business Conduct Standards With Counterparties

Open Date: 7/6/2023
Closing Date: 9/5/2023
9/8/2023

Public Information Collection  88 FR 53870  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 8/9/2023
Closing Date: 9/8/2023
9/11/2023

Public Information Collection  88 FR 44280  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Extend 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

Open Date: 7/12/2023
Closing Date: 9/11/2023
9/11/2023

Public Information Collection  88 FR 44781  //  Open PDF Version PDF Version

Agency Information Collection Activities: Proposed Collection, Comment Request: Governance Requirements for Derivatives Clearing Organizations

Open Date: 7/13/2023
Closing Date: 9/11/2023
9/18/2023

Proposed Rule  88 FR 45826  //  Open PDF Version PDF Version

17 CFR Parts 1 and 23 Risk Management Program Regulations for Swap Dealers, Major Swap Participants, and Futures Commission Merchants

Open Date: 7/18/2023
Closing Date: 9/18/2023
9/26/2023

Proposed Rule  88 FR 48968  //  Open PDF Version PDF Version

17 CFR Parts 39 and 190 Derivatives Clearing Organizations Recovery and Orderly Wind-Down Plans; Information for Resolution Planning

Open Date: 7/28/2023
Closing Date: 9/26/2023
9/28/2023

General CFTC  Request for Comment on the Impact of Affiliations of Certain CFTC-Regulated Entities

Request for comments on affiliations

Request for comments on affiliations of certain CFTC-registered entities

Open Date: 6/28/2023
Closing Date: 8/28/2023
Extended Date: 9/28/2023
10/10/2023

Proposed Rule  88 FR 53409  //  Open PDF Version PDF Version

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

Open Date: 8/8/2023
Closing Date: 10/10/2023
10/10/2023

Public Information Collection  88 FR 53871  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0059: Part 41, Relating to Security Futures Products

Open Date: 8/9/2023
Closing Date: 10/10/2023
10/12/2023

Orders and Other Announcements  88 FR 62068  //  Open PDF Version PDF Version

Global Markets Advisory Committee

Open Date: 9/8/2023
Closing Date: 10/12/2023
See also:
88 FR 71844 ,  10/18/2023  //  Open PDF Version PDF Version

Global Markets Advisory Committee

10/13/2023

Public Information Collection  88 FR 62774  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 9/13/2023
Closing Date: 10/13/2023
10/18/2023

Public Information Collection  88 FR 63940  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 9/18/2023
Closing Date: 10/18/2023
10/24/2023

Proposed Rule  88 FR 58145  //  Open PDF Version PDF Version

17 CFR Parts 23 and 37 Swap Confirmation Requirements for Swap Execution Facilities

Open Date: 8/25/2023
Closing Date: 10/24/2023
See also:
89 FR 34991 ,  5/1/2024  //  Open PDF Version PDF Version

17 CFR Parts 23 and 37 Swap Confirmation Requirements for Swap Execution Facilities

10/24/2023

Public Information Collection  85 FR 58251  //  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: 8/25/2023
Closing Date: 10/24/2023
10/25/2023

Public Information Collection  88 FR 65661  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 9/25/2023
Closing Date: 10/25/2023
10/26/2023

Public Information Collection  88 FR 65972  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 9/26/2023
Closing Date: 10/26/2023
10/30/2023

Public Information Collection  88 FR 59510  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0091: Disclosure and Retention of Certain Information Relating to Cleared Swaps Customer Collateral

Open Date: 8/29/2023
Closing Date: 10/30/2023
10/30/2023

Public Information Collection  88 FR 59877  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent to Renew Collection 3038-0103, Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 (Trader and Account Identification Reports)

Open Date: 8/30/2023
Closing Date: 10/30/2023
11/6/2023

Proposed Rule  88 FR 61432  //  Open PDF Version PDF Version

17 CFR Parts 37, 38, and 40 Provisions Common to Registered Entities

Open Date: 9/6/2023
Closing Date: 11/6/2023
See also:
89 FR 88594 ,  11/7/2024  //  Open PDF Version PDF Version

17 CFR Parts 37, 38, and 40 Provisions Common to Registered Entities

89 FR 96897 ,  12/6/2024  //  Open PDF Version PDF Version

17 CFR Part 40 Provisions Common to Registered Entities; Correction

11/13/2023

Orders and Other Announcements  88 FR 71844  //  Open PDF Version PDF Version

Global Markets Advisory Committee

Open Date: 10/18/2023
Closing Date: 11/13/2023
See also:
88 FR 62068 ,  9/8/2023  //  Open PDF Version PDF Version

Global Markets Advisory Committee

11/20/2023

Public Information Collection  88 FR 72436  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 10/20/2023
Closing Date: 11/20/2023
11/20/2023

Orders and Other Announcements  PR 8811-23  //  Open PDF Version PDF Version

Energy and Environmental Markets Advisory Committee

Open Date: 10/23/2023
Closing Date: 11/20/2023
11/24/2023

Public Information Collection  88 FR 73006  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 10/24/2023
Closing Date: 11/24/2023
12/4/2023

Public Information Collection  88 FR 68112  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0093, Part 40, Provisions Common to Registered Entities

Open Date: 10/3/2023
Closing Date: 12/4/2023
12/11/2023

Proposed Rule  88 FR 70852  //  Open PDF Version PDF Version

17 CFR Part 4 Commodity Pool Operators, Commodity Trading Advisors, and Commodity Pools: Updating the `Qualified Eligible Person' Definition; Adding Minimum Disclosure Requirements for Pools and Trading Programs; Permitting Monthly Account Statements for Funds of Funds; Technical Amendments

Open Date: 10/12/2023
Closing Date: 12/11/2023
See also:
89 FR 78793 ,  9/26/2024  //  Open PDF Version PDF Version

17 CFR Parts 1, 3, 4, 30, 43, and 75 Commodity Pool Operators, Commodity Trading Advisors, and Commodity Pools Operated: Updating the `Qualified Eligible Person' Definition; Adding Minimum Disclosure Requirements for Pools and Trading Programs; Permitting Monthly Account Statements for Funds of Funds; Technical Amendments

12/13/2023

Public Information Collection  88 FR 77562  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 11/13/2023
Closing Date: 12/13/2023
12/13/2023

Public Information Collection  88 FR 77563  //  Open PDF Version PDF Version

Agency Information Collection Activities Under OMB Review

Open Date: 11/13/2023
Closing Date: 12/13/2023
12/13/2023

Public Information Collection  88 FR 77565  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0103, Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 (Trader and Account Identification Reports)

Open Date: 11/13/2023
Closing Date: 12/13/2023
12/15/2023

Public Information Collection  88 FR 71341  //  Open PDF Version PDF Version

Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0062: Off-Exchange Foreign Currency Transactions

Open Date: 10/16/2023
Closing Date: 12/15/2023
12/18/2023

Orders and Other Announcements  88 FR 76739  //  Open PDF Version PDF Version

Market Risk Advisory Committee

Open Date: 11/7/2023
Closing Date: 12/18/2023
12/21/2023

Orders and Other Announcements  88 FR 81063  //  Open PDF Version PDF Version

Agricultural Advisory Committee

Open Date: 11/21/2023
Closing Date: 12/21/2023