commodity-futures

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TitleActionFR DocPublishedAgencyAgency NameExcerptsAbstractHTMLPDF
TitleActionFR DocPublishedAgencyAgency NameExcerptsAbstractHTMLPDF
Commission Delegated Authority Provisions for Designated Contract Markets' System Safeguards RequirementsRule2017-2092409/29/2017COMMODITY FUTURES TRADING COMMISSIONCommodity Futures Trading CommissionThe Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is adopting final rules to establish a new delegation of authority to Commission staff under the Commission's system safeguards rules to notify each designated contr … The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is adopting final rules to establish a new delegation of authority to Commission staff under the Commission's system safeguards rules to notify each designated contract market (``DCM'') of its percentage of the total annual trading volume among all DCMs regulated by the Commission for purposes of whether it is a covered DCM under the system safeguards rules.commission-delegated-authority-provisions-for-designated-contract-markets-system-safeguardsFR-Doc-2017-20924
Commission Delegated Authority Provisions and Technical AmendmentsRule2017-1324306/26/2017COMMODITY FUTURES TRADING COMMISSIONCommodity Futures Trading CommissionThe Commodity Futures Trading Commission (the ``Commission'' or ``CFTC'') is adopting final rules to establish new and amend certain existing delegations of authority to Commission staff. The Commission is also adopting amendments … The Commodity Futures Trading Commission (the ``Commission'' or ``CFTC'') is adopting final rules to establish new and amend certain existing delegations of authority to Commission staff. The Commission is also adopting amendments to update statutory authority citations and correct limited typographical and technical errors in certain rules.commission-delegated-authority-provisions-and-technical-amendmentsFR-Doc-2017-13243
RecordkeepingRule2017-1101405/30/2017COMMODITY FUTURES TRADING COMMISSIONCommodity Futures Trading CommissionThe Commodity Futures Trading Commission (the ``Commission'') is amending the recordkeeping obligations set forth in Commission regulations along with corresponding technical changes to certain provisions regarding retention of oral … The Commodity Futures Trading Commission (the ``Commission'') is amending the recordkeeping obligations set forth in Commission regulations along with corresponding technical changes to certain provisions regarding retention of oral communications and record retention requirements applicable to swap dealers and major swap participants, respectively. The amendments modernize and make technology neutral the form and manner in which regulatory records must be kept, as well as rationalize the rule text for ease of understanding for those persons required to keep records pursuant to the Commodity Exchange Act (the ``CEA'' or ``Act'') and regulations promulgated by the Commission thereunder. The amendments do not alter any existing requirements regarding the types of regulatory records to be inspected, produced, and maintained set forth in other Commission regulations.recordkeepingFR-Doc-2017-11014
Technical Amendments to Rules on Registration and Review of Exchange Disciplinary, Access Denial or Other Adverse ActionsProposed Rule2017-0123201/23/2017COMMODITY FUTURES TRADING COMMISSIONCommodity Futures Trading CommissionThe 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 amendm … 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 and the amendments to part 9 would also incorporate swap execution facilities (``SEFs'') and update provisions currently applicable to designated contract markets (``DCMs''). The proposal revises existing rules to delete numerous cross-references to previously deleted regulations and adds citations to applicable parallel provisions for SEFs and DCMs. Additionally, the proposal addresses the publication of final disciplinary and access denial actions taken by the SEFs and DCMs on their exchange Web sites.technical-amendments-to-rules-on-registration-and-review-of-exchange-disciplinary-access-denial-orFR-Doc-2017-01232
RecordkeepingProposed Rule2017-0114801/19/2017COMMODITY FUTURES TRADING COMMISSIONCommodity Futures Trading CommissionThe 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 l … 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 to reduce costs associated with the retention and production of paper and electronic records and to decrease the risks of cybersecurity threats, while maintaining necessary safeguards to ensure the integrity, availability, and accessibility of records required to be kept pursuant to the Commodity Exchange Act (the ``CEA'') or Commission regulations. In addition to providing recordkeepers with greater flexibility regarding the retention and production of regulatory records, the proposed amendments would remove the requirements for electronic records to be kept in their native file format and for recordkeepers to enter into an arrangement with a third-party technical consultant with respect to electronically stored information.recordkeepingFR-Doc-2017-01148
Capital Requirements of Swap Dealers and Major Swap ParticipantsProposed Rule2016-2936812/16/2016COMMODITY FUTURES TRADING COMMISSIONCommodity Futures Trading CommissionThe 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 added by sect … 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 added by section 731 of the Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''). Section 4s(e) requires the Commission to adopt capital requirements for swap dealers (``SDs'') and major swap participants (``MSPs'') that are not subject to capital rules of a prudential regulator. Section 4s(f) requires the Commission to adopt financial reporting and recordkeeping requirements for SDs and MSPs. The Commission also is proposing to amend existing capital rules for futures commission merchants (``FCMs''), providing specific capital deductions for market risk and credit risk for swaps and security-based swaps entered into by an FCM. The Commission is further proposing several technical amendments to the regulations.capital-requirements-of-swap-dealers-and-major-swap-participantsFR-Doc-2016-29368
Commodity Pool Operator Financial ReportsRule2016-2838811/25/2016COMMODITY FUTURES TRADING COMMISSIONCommodity Futures Trading CommissionThe Commodity Futures Trading Commission (Commission or CFTC) is amending certain of its regulations applicable to the financial reports that each person registered or required to be registered as a commodity pool operator (CPO) mu … The Commodity Futures Trading Commission (Commission or CFTC) is amending certain of its regulations applicable to the financial reports that each person registered or required to be registered as a commodity pool operator (CPO) must provide for each commodity pool that it operates. These amendments: Permit the use of additional alternative generally accepted accounting principles, standards or practices; provide relief from the Annual Report audit requirement under certain circumstances; and make clear that an audited Annual Report must be distributed and submitted at least once during the life of a pool.commodity-pool-operator-financial-reportsFR-Doc-2016-28388
Regulation Automated TradingProposed Rule2016-2725011/25/2016COMMODITY FUTURES TRADING COMMISSIONCommodity Futures Trading CommissionOn 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, and … 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, and other safeguards to enhance the safety and soundness of automated trading on all designated contract markets (``DCMs'') (collectively, ``Regulation Automated Trading'' or ``Regulation AT''). Through this supplemental notice of proposed rulemaking for Regulation AT (``Supplemental NPRM''), the Commission is proposing to modify certain rules set forth in the NPRM. Any new or amended rules proposed in this Supplemental NPRM reflect only those areas where the Commission believes that additional notice and comment may be appropriate before enacting final rules. Procedurally, this Supplemental NPRM is not a replacement or withdrawal of rules proposed in the NPRM. Unless specifically amended herein, all regulatory text proposed in the NPRM remains under active consideration for adoption as final rules. The Commission welcomes public comment on all aspects of the Supplemental NPRM.regulation-automated-tradingFR-Doc-2016-27250
Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing DatesRule2016-2752511/16/2016COMMODITY FUTURES TRADING COMMISSIONCommodity Futures Trading CommissionThe Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is amending its regulations regarding the timing for furnishing to the Commission the chief compliance officer (``CCO'') annual reports of futures commission merchan … The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is amending its regulations regarding the timing for furnishing to the Commission the chief compliance officer (``CCO'') annual reports of futures commission merchants (``FCMs''), swap dealers (``SDs''), and major swap participants (``MSPs'') (collectively, ``Registrants''). The Commission is also amending its regulations by delegating to the Director of the Division of Swap Dealer and Intermediary Oversight (``DSIO'') authority to grant extensions to the CCO annual report filing deadline.chief-compliance-officer-annual-report-requirements-for-futures-commission-merchants-swap-dealersFR-Doc-2016-27525
System Safeguards Testing Requirements for Derivatives Clearing OrganizationsRule2016-2241309/19/2016COMMODITY FUTURES TRADING COMMISSIONCommodity Futures Trading CommissionThe Commodity Futures Trading Commission (``Commission'') is adopting enhanced requirements for testing by a derivatives clearing organization (``DCO'') of its system safeguards, as well as additional amendments to reorder and renumber … The Commodity Futures Trading Commission (``Commission'') is adopting enhanced requirements for testing by a derivatives clearing organization (``DCO'') of its system safeguards, as well as additional amendments to reorder and renumber certain paragraphs within the regulations and make other minor changes to improve the clarity of the rule text.system-safeguards-testing-requirements-for-derivatives-clearing-organizationsFR-Doc-2016-22413
Written Acknowledgment of Customer Funds From Federal Reserve BanksRule2016-1921108/12/2016COMMODITY FUTURES TRADING COMMISSIONCommodity Futures Trading CommissionThe Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is amending its regulations to revise or repeal certain provisions related to the requirement that a derivatives clearing organization (``DCO'') obtain from a F … The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is amending its regulations to revise or repeal certain provisions related to the requirement that a derivatives clearing organization (``DCO'') obtain from a Federal Reserve Bank acting as a depository for customer funds a written acknowledgment that the Federal Reserve Bank was informed that the customer funds deposited therein are those of customers and are being held in accordance with Section 4d of the Commodity Exchange Act (``CEA'').written-acknowledgment-of-customer-funds-from-federal-reserve-banksFR-Doc-2016-19211
Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing DatesProposed Rule2016-1923108/12/2016COMMODITY FUTURES TRADING COMMISSIONCommodity Futures Trading CommissionThe Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend certain provisions of its regulations concerning Chief Compliance Officers (``Proposal''). The regulation that is the subject of the Propo … The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend certain provisions of its regulations concerning Chief Compliance Officers (``Proposal''). The regulation that is the subject of the Proposal addresses chief compliance officers (``CCOs'') of futures commission merchants (``FCMs''), swap dealers (``SDs''), and major swap participants (``MSPs'') (collectively, ``Registrants''). The proposed amendments would: Codify existing no- action relief regarding the timing of when a Registrant must furnish its CCO annual report to the Commission; clarify filing requirements for Registrants located in a jurisdiction for which the Commission has issued a comparability determination; and delegate to the Director of the Division of Swap Dealer and Intermediary Oversight (``DSIO'') authority to grant extensions to the CCO annual report filing deadline.chief-compliance-officer-annual-report-requirements-for-futures-commission-merchants-swap-dealersFR-Doc-2016-19231
Commodity Pool Operator Annual ReportProposed Rule2016-1840008/05/2016COMMODITY FUTURES TRADING COMMISSIONCommodity Futures Trading CommissionThe Commodity Futures Trading Commission (Commission or CFTC) is proposing to amend certain of its regulations applicable to the Annual Report that each person registered or required to be registered as a commodity pool operator (CPO) … The Commodity Futures Trading Commission (Commission or CFTC) is proposing to amend certain of its regulations applicable to the Annual Report that each person registered or required to be registered as a commodity pool operator (CPO) must distribute for each commodity pool that it operates (Proposal). Specifically, the Proposal addresses the use of additional alternative generally accepted accounting principles, standards or practices, and the Annual Report audit requirement where the first fiscal year of a pool consists of a period of three months or less from the date of formation of the pool.commodity-pool-operator-annual-reportFR-Doc-2016-18400
Position Limits for Derivatives: Certain Exemptions and GuidanceProposed Rule2016-1296406/13/2016COMMODITY FUTURES TRADING COMMISSIONCommodity Futures Trading CommissionThe Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing revisions and additions to regulations and guidance proposed in 2013 concerning speculative position limits in response to comments received on … The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing revisions and additions to regulations and guidance proposed in 2013 concerning speculative position limits in response to comments received on that proposal. The Commission is proposing new alternative processes for designated contract markets (``DCMs'') and swap execution facilities (``SEFs'') to recognize certain positions in commodity derivative contracts as non-enumerated bona fide hedges or enumerated anticipatory bona fide hedges, as well as to exempt from federal position limits certain spread positions, in each case subject to Commission review. In this regard, the Commission proposes to amend certain of the regulations proposed in 2013 regarding exemptions from federal position limits and exchange-set position limits to take into account these new alternative processes. In connection with these changes, the Commission proposes to further amend certain relevant definitions, including to clearly define the general definition of bona fide hedging for physical commodities under the standards in CEA section 4a(c). Separately, the Commission proposes to delay for DCMs and SEFs that lack access to sufficient swap position information the requirement to establish and monitor position limits on swaps.position-limits-for-derivatives-certain-exemptions-and-guidanceFR-Doc-2016-12964
Definitions of \u201cPortfolio Reconciliation\u201d and \u201cMaterial Terms\u201d for Purposes of Swap Portfolio ReconciliationRule2016-1056505/06/2016COMMODITY FUTURES TRADING COMMISSIONCommodity Futures Trading CommissionThe Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is amending its regulations in connection with the terms for which counterparties must exchange and resolve discrepancies when engaging in portfolio reconciliation.The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is amending its regulations in connection with the terms for which counterparties must exchange and resolve discrepancies when engaging in portfolio reconciliation.definitions-of-portfolio-reconciliation-and-material-terms-for-purposes-of-swap-portfolioFR-Doc-2016-10565
Alternative to Fingerprinting Requirement for Foreign Natural PersonsRule2016-0730404/01/2016COMMODITY FUTURES TRADING COMMISSIONCommodity Futures Trading CommissionThe Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is amending existing Commission regulations to establish an alternative to fingerprinting to evaluate the fitness of natural persons who are required to submit fin … The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is amending existing Commission regulations to establish an alternative to fingerprinting to evaluate the fitness of natural persons who are required to submit fingerprints under the Commission's regulations and who have not resided in the United States since reaching 18 years of age (``Final Rule'').alternative-to-fingerprinting-requirement-for-foreign-natural-personsFR-Doc-2016-07304
Trade OptionsRule2016-0626003/21/2016COMMODITY FUTURES TRADING COMMISSIONCommodity Futures Trading CommissionThe Commodity Futures Trading Commission (the ``Commission'' or the ``CFTC'') is issuing a final rule to amend the limited trade options exemption in the Commission's regulations, as described herein, with respect to the following subj … The Commodity Futures Trading Commission (the ``Commission'' or the ``CFTC'') is issuing a final rule to amend the limited trade options exemption in the Commission's regulations, as described herein, with respect to the following subject areas: Reporting requirements for trade option counterparties that are not swap dealers or major swap participants; recordkeeping requirements for trade option counterparties that are not swap dealers or major swap participants; and certain non-substantive amendments.trade-optionsFR-Doc-2016-06260
Classification of Foreign-Growth CottonRule2016-0246102/10/2016DEPARTMENT OF AGRICULTUREAgriculture DepartmentThe Agricultural Marketing Service (AMS) is amending regulations pertaining to administrative and operational procedures for the classification of foreign-growth cotton. In anticipation that cotton merchants may want to use … The Agricultural Marketing Service (AMS) is amending regulations pertaining to administrative and operational procedures for the classification of foreign-growth cotton. In anticipation that cotton merchants may want to use AMS cotton quality determinations to establish foreign-growth cotton as tenderable against the World Cotton futures contract offered by the Intercontinental Exchange (ICE), representatives of the U.S. cotton industry and ICE formally requested that AMS make any regulatory amendments necessary to better accommodate the classification of foreign-growth cotton. Consequently, AMS seeks to clarify the existing language, update the terms and practices described to comply with today's industry norms and current cotton classification technologies, and establish procedural safeguards to the classification process for foreign-growth cotton that promote accuracy.classification-of-foreign-growth-cottonFR-Doc-2016-02461
Alternative to Fingerprinting Requirement for Foreign Natural PersonsProposed Rule2016-0004501/12/2016COMMODITY FUTURES TRADING COMMISSIONCommodity Futures Trading CommissionThe Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend existing Commission regulations to establish an alternative to fingerprinting to evaluate the fitness of natural persons who are required to … The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend existing Commission regulations to establish an alternative to fingerprinting to evaluate the fitness of natural persons who are required to submit fingerprints under the Commission's regulations and who have not resided in the United States since reaching 18 years of age (``Proposal'').alternative-to-fingerprinting-requirement-for-foreign-natural-personsFR-Doc-2016-00045
Records of Commodity Interest and Related Cash or Forward TransactionsRule2015-3241612/24/2015COMMODITY FUTURES TRADING COMMISSIONCommodity Futures Trading CommissionThe Commodity Futures Trading Commission (the ``Commission'' or ``CFTC'') is amending Commission Regulation 1.35(a) to: Provide that all records required to be maintained under this regulation must be maintained in a form and manner wh … The Commodity Futures Trading Commission (the ``Commission'' or ``CFTC'') is amending Commission Regulation 1.35(a) to: Provide that all records required to be maintained under this regulation must be maintained in a form and manner which permits prompt, accurate and reliable location, access, and retrieval of any particular record, data, or information; clarify that all records, except records of oral and written communications leading to the execution of a commodity interest transaction and related cash or forward transactions, must be kept in a form and manner that allows for identification of a particular transaction; exclude members of designated contract markets (``DCMs'') and of swap execution facilities (``SEFs'') that are not registered or required to register with the Commission (``Unregistered Members'') from the requirements to keep written communications that lead to the execution of a commodity interest transaction and related cash or forward transactions, keep text messages, and keep records in a particular form and manner; and exclude commodity trading advisors (``CTAs'') from the oral recordkeeping requirement (``Final Rule'').records-of-commodity-interest-and-related-cash-or-forward-transactionsFR-Doc-2015-32416
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