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Issued by Commodity Futures Trading Commission

Start Preamble Start Printed Page 40382 AGENCY: Commodity Futures Trading Commission. ACTION: Semiannual regulatory agenda. SUMMARY: The Commodity Futures Trading Commission (Commission), in accordance with the requirements of the Regulatory Flexibility Act, is publishing a semiannual agenda of rulemakings that the Commission expects to propose or promulgate over the … [read more]

Start Preamble AGENCY: Commodity Futures Trading Commission. ACTION: Request for Information; Correction. SUMMARY: This is a correction to a Request for Information published by the Commodity Futures Trading Commission (“Commission” or “CFTC”) in the Federal Register of May 9, 2017 regarding the submission by the public of suggestions about … [read more]

Start Preamble AGENCY: Commodity Futures Trading Commission. ACTION: Request for Information. SUMMARY: In order to reduce regulatory burdens and costs in the markets that the Commodity Futures Trading Commission (“Commission” or “CFTC”) oversees, the Commission is seeking suggestions from the public about how the Commission's existing rules, regulations, or … [read more]

Start Preamble AGENCY: Commodity Futures Trading Commission. ACTION: Proposed rule. SUMMARY: The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to amend its regulations regarding certain duties of chief compliance officers (“CCOs”) of swap dealers (“SDs”), major swap participants (“MSPs”), and futures commission merchants (“FCMs”) (collectively, “Registrants”); and … [read more]

Start Preamble Start Printed Page 13971 AGENCY: Commodity Futures Trading Commission. ACTION: Notice of proposed rulemaking; extension of comment period. SUMMARY: On December 16, 2016, the Commodity Futures Trading Commission (Commission or CFTC) published in the Federal Register a notice of proposed rulemaking (Proposal) to adopt new regulations and … [read more]

Start Preamble Start Printed Page 8502 AGENCY: Commodity Futures Trading Commission. ACTION: Extension of comment period. SUMMARY: On November 4, 2016, the Commodity Futures Trading Commission (“Commission”) approved a supplemental notice of proposed rulemaking for Regulation AT (“Supplemental NPRM”). The Supplemental NPRM modifies certain rules proposed in the Commission's … [read more]

Start Preamble AGENCY: Commodity Futures Trading Commission. ACTION: Notice of proposed rulemaking. SUMMARY: Pursuant to Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”), as amended by the Fixing America's Surface Transportation Act of 2015 (“FAST Act”), the Commodity Futures Trading Commission … [read more]

Start Preamble AGENCY: Commodity Futures Trading Commission. ACTION: Notice of proposed rulemaking. SUMMARY: The Commodity Futures Trading Commission (“CFTC” or “Commission”) is proposing technical amendments to its regulations that govern registration and review of exchange disciplinary, access denial or other adverse actions. The amendments would integrate existing advisory guidance … [read more]

Start Preamble AGENCY: Commodity Futures Trading Commission. ACTION: Proposed rule. SUMMARY: The Commodity Futures Trading Commission (the “Commission”) is proposing to amend the recordkeeping obligations set forth in certain provisions of the Commission's regulations. The proposed amendments would permit recordkeepers to leverage advances in information technology as a means … [read more]

Start Preamble Start Printed Page 96704 AGENCY: Commodity Futures Trading Commission. ACTION: Reproposal. SUMMARY: The Commodity Futures Trading Commission (“Commission” or “CFTC”) is reproposing rules to amend part 150 of the Commission's regulations concerning speculative position limits to conform to the Wall Street Transparency and Accountability Act of 2010 … [read more]

Start Preamble Start Printed Page 91252 AGENCY: Commodity Futures Trading Commission. ACTION: Notice of proposed rulemaking. SUMMARY: The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to adopt new regulations and to amend existing regulations to implement sections 4s(e) and (f) of the Commodity Exchange Act (“CEA”), as … [read more]

Start Preamble Start Printed Page 85334 AGENCY: Commodity Futures Trading Commission. ACTION: Supplemental notice of proposed rulemaking. SUMMARY: On December 17, 2015, the Commodity Futures Trading Commission (“CFTC” or “Commission”) published in the Federal Register a notice of proposed rulemaking (“NPRM”) proposing a series of risk controls, transparency measures, … [read more]

Start Preamble Start Printed Page 71946 AGENCY: Commodity Futures Trading Commission. ACTION: Proposed rule; interpretations. SUMMARY: The Commodity Futures Trading Commission (“Commission” or “CFTC”) is publishing for public comment proposed rules and interpretations (“Proposed Rule”) addressing the cross-border application of certain swap provisions of the Commodity Exchange Act (“CEA”). … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: Appendix to Commodity Pool Operator Annual Report—Commission Voting Summary Footnotes DATES: Back to Top The comment period for the Proposal published on August 5, 2016, at 81 FR 51828, is extended until September 20, … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background II. Proposed Amendments Eligibility Requirements for Consideration of an Award Award Claims Review Under § 165.7 Awards for Related Actions Contents of Record for Award Determinations Authority To Administer the Program Whistleblower Identifying … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background A. Commission Requirements for Submission of CCO Annual Reports B. Regulation 3.3(f)(2) Implementation Experience C. Application of Regulation 3.3(f)(2) to Entities Located in Certain Non-U.S. Jurisdictions II. The Proposal A Proposed Amendments … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background A. Part 4 of the Commission's Regulations B. Regulation 4.22: The Annual Report Requirement II. The Proposal A. Proposed Amendment to Regulation 4.22(d)(2): Use of Additional Alternative Generally Accepted Accounting Principles, Practices … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background Registration and Exemption From Registration of Intermediaries II. The Proposal A. Proposal Rationale B. Proposed Amended Rule Text III. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act C. Cost-Benefit Analysis … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: Table of Contents I. Background A. The Commission's First Clearing Requirement Determination B. Clearing Requirements in Other Jurisdictions i. Australia ii. Canada iii. European Union iv. Hong Kong v. Mexico vi. Singapore vii. Switzerland … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Introduction II. Proposal To Supplement and Revise the December 2013 Position Limits Proposal A. Proposed Guidance Regarding Exchange-Set Limitations on Swap Positions B. Proposal To Amend the Definition of Bona Fide Hedging Position … [read more]

  Table of Contents Back to Top FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: COMMODITY FUTURES TRADING COMMISSION (CFTC) Final Rule Stage 289. Regulation Automated Trading COMMODITY FUTURES TRADING COMMISSION (CFTC) Completed Actions 290. Trade Options Footnotes Tables Back to Top Commodity Futures Trading Commission—Final Rule Stage Commodity Futures Trading … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background II. Staff Roundtable Agenda III. Reopening of Comment Period Footnotes DATES: Back to Top The staff roundtable will take place on Friday, June 10, 2016, commencing at 9:00 a.m. and ending at … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Introduction II. Proposed Guidance A. Commenters' Description of Certain Contracts 1. Certain Capacity Contracts—Electric Power 2. Certain Peaking Supply Contracts—Natural Gas 3. Common Characteristics Described by Commenters B. Products Release Discussion of Commercial … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background II. Proposal III. Request for Comments IV. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act 1. Background 2. Revisions to Collections 3038-0023 and 3038-0072 a. Estimated Additional Hour Burden for … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background A. System Safeguards Requirements for DCOs B. Escalating and Evolving Cybersecurity Threats C. Need for Cybersecurity Testing II. Proposed Amendments A. Enhanced Testing Requirements 1. Vulnerability Testing 2. Penetration Testing 3. Controls … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: Table of Contents I. Preamble A. Background: The Current Cybersecurity Threat Environment and the Need for Cybersecurity Testing 1. Current Cybersecurity Landscape 2. Need for Cybersecurity Testing B. Categories of Risk Analysis and Oversight … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: Table of Contents I. Introduction A. Overview—Development of Automated Trading Environment B. Risks and Potential Benefits Associated With Automated Trading C. The Proposed Regulations 1. Overview of NPRM 2. The Proposed Regulations Under Parts … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background A. Introduction B. Proposed Modifications to the Policy for Aggregation Under Part 150 of the Commission's Regulations 1. Disaggregation Relief for Ownership or Equity Interests of 50 Percent or Less 2. Disaggregation … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background II. Proposed Regulation III. Request for Comment IV. Related Matters A. Regulatory Flexibility Act. B. Paperwork Reduction Act 1. Information Collection Comments C. Considerations of Costs and Benefits 1. Background 2. Costs … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: Table of Contents I. Background A. Introduction B. Statutory Authority C. Regulatory History—Part 45 Final Rulemaking D. Consultation With Other U.S. Financial Regulators E. Summary of Proposed Revisions to Part 45 II. Proposed Regulations … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: Table of Contents I. Background A. Dodd-Frank Act and the Scope of This Rulemaking B. Key Considerations in the Cross-Border Application of the Margin Regulations C. Advance Notice of Proposed Rulemaking 1. Guidance Approach … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: Appendix to Trade Options Extension of Comment Period—Commission Voting Summary Footnotes DATES: Back to Top The comment period for the Trade Options Proposal published on May 7, 2015, at 80 FR 26200, is extended … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Introduction II. Explanation of the Proposed Rules A. Reporting Requirements for Non-SD/MSPs 1. Proposed Action: Eliminate Part 45 Reporting for Non-SD/MSPs 2. Proposed Action: Eliminate the Form TO Notice Filing Requirement 3. Proposed … [read more]

  Table of Contents Back to Top DATES: FOR FURTHER INFORMATION CONTACT: Correction DATES: Back to Top The comment periods for the Aggregation Proposal published November 15, 2013, at 78 FR 68946, and for the Position Limits Proposal published December 12, 2013, at 78 FR 75680, which reopened on … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background II. Reopening of Comment Period Appendix to Position Limits for Derivatives and Aggregation of Positions Reopening of Comment Periods—Commission Voting Summary Footnotes Tables Back to Top Table 11 a—Unique Persons Over Percentages … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background II. Reopening of Comment Period Appendix to Position Limits for Derivatives and Aggregation of Positions Reopening of Comment Periods—Commission Voting Summary Footnotes DATES: Back to Top The comment periods for the Aggregation … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background II. Reopening of Comment Period Appendices to Position Limits for Derivatives and Aggregation of Positions Reopening of Comment Periods—Commission Voting Summary and Commissioner's Statement Appendix 1—Commission Voting Summary Appendix 2—Statement of Commissioner … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Introduction II. Proposed Interpretation III. Request for Comment Commodity Futures Trading Commission (CFTC) Appendices to Forward Contracts With Embedded Volumetric Optionality—Commission Voting Summary, Chairman's Statement, and Commissioners' Statements Appendix 1—Commodity Futures Trading Commission … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background A. Commission Recordkeeping Requirements for Certain Market Participants B. Comments Received on the 2011 Proposed Amendments to Regulation 1.35(a) C. End-User Roundtable D. CFTC Letter No. 13-77 E. CFTC Letter No. 14-33 … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background II. Discussion III. Cost-Benefit Considerations IV. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act List of Subjects in 17 CFR Part 1 PART 1—GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background II. Role of, and Standards Applied to, Accountants III. Related Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act C. Consideration of Costs and Benefits (1) Protection of Market Participants and the … [read more]

  Table of Contents Back to Top DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: I. Background A. Statutory Authority B. Previous Proposal C. International Standards 1. Appropriate Margining Practices Should be in Place With Respect to all Non-Cleared Derivative Transactions 2. Financial Firms and Systemically Important Nonfinancial Entities … [read more]

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