Commodity Futures Trading Commission

75 Fed. Reg. 65586 (October 26, 2010) (notice of proposed rulemaking). This notice reviews the statutory and regulatory history of the term “agricultural commodity” in the context of the Commodity Exchange Act and Commission regulations and proposes a definition of that term. View this document.

75 Fed. Reg. 59666 (September 28, 2010) (advanced notice of proposed rulemaking and request for comment). Section 723(c)(3) of the Dodd-Frank Wall Street Reform and Consumer Protection Act provides that swaps in an “agricultural commodity” are prohibited unless entered into pursuant to a rule, regulation or order of the Commission adopted pursuant to section 4(c) of the Commodity Exchange Act. This document requests comment on the appropriate conditions, restrictions or protections to be included in any such rule, regulation or order. View this document.

75 Fed. Reg.42080 (July 20, 2010) (notice). The CFTC's Agricultural Advisory Committee will hold a public meeting on August 5, 2010. The agenda for the meeting includes (1) the ICE Futures US Cotton Contract, (2) wheat price convergence issues, and (3) price reporting issues in the cattle and hog markets. View this document.

75 Fed. Reg. 18824 (April 13, 2010) (notice). This notice announces an opportunity for public comment on the proposed collection of information on requirements relating to information collected to assist the Commission in the prevention of market manipulation. View this document.

75 Fed. Reg. 3371 (January 21, 2010) (statement of policy). This policy statement clarifies and provides guidance that Commission Rule 12.1(a), 17 C.F.R. 12.1(a), requires that all rules of practice relating to reparation proceedings under 17 C.F.R. Part 12 "shall be construed liberally so as to secure the just, speedy and inexpensive determination of the issues presented with full protection for the rights of all parties." View this document.

74 Fed. Reg. 69279 (December 31, 2009) (final rule) (to be codified at 17 C.F.R. Part 1). The Commodity Futures Trading Commission is amending its regulations that prescribe minimum adjusted net capital requirements for futures commission merchants and introducing brokers. View this document.

74 Fed. Reg. 66598 (December 16, 2009) (notice of proposed rulemaking). The Commodity Futures Trading Commission proposes amending its regulations regarding the operation of a commodity broker in bankruptcy. View this document.

74 Fed. Reg. 58608 (November 13, 2009) (notice of request for comments). The Commodity Futures Trading Commission is requesting comment on a petition to exempt certain over-the-counter agricultural swaps from certain of the requirements imposed by Commission Regulation 35.2. View this document.

74 Fed. Reg. 57585 (November 9, 2009) (final rule) (to be codified at 17 C.F.R. Part 4). This rule amends the regulations governing the periodic account statements that commodity pool operators are required to provide to commodity pool participants and the annual financial reports that CPOs are required to provide to commodity pool participants and file with the National Futures Association. View this document.

74 Fed. Reg. 57454 (November 6, 2009) (notice). The Commission's Global Markets Advisory Committee will conduct a public meeting on December 9, 2009. View this document.

74 Fed. Reg. 52434 (October 13, 2009) (proposed rule) (to be codified at 17 C.F.R. Part 1). The Commodity Futures Trading Commission is proposing to amend certain of its regulations in connection with electronic filing of financial reports and other notices. View this document.

74 Fed. Reg. 50957 (October 2, 2009) (notice). The Commodity Futures Trading Commission is announcing an opportunity for public comment on the proposed information collection relating to information collected to assist the Commission in soliciting and awarding contracts. View this document.

74 Fed. Reg. 46115 (September 8, 2009) (notice). The Commission charges fees to designated contract markets and registered futures associations to recover the costs incurred by the Commission in the operation of its program of oversight of self-regulatory organization rule enforcement programs. The FY 2009 fee schedule is set forth in this document. View this document.

74 Fed. Reg. 45186 (September 1, 2009) (notice). The Commodity Futures Trading Commission's Energy and Environmental Markets Advisory Committee will conduct a meeting on September 16, 2009. View this document.

74 Fed. Reg. 42948 (August 25, 2009) (notice of joint meetings; request for comments). The SEC and the CFTC will hold joint meetings on September 2-3, 2009, to discuss assessments of the current regulatory scheme, harmonization of the agencies' rules, and recommendations for changes to statutes and regulations. View this document.

74 Fed. Reg. 42052 (August 20, 2009) (notice of action and request for comments). The Commodity Futures Trading Commission is undertaking a review to determine whether the Carbon Financial Instrument contract offered for trading on the Chicago Climate Exchange, Inc. performs a significant price discovery function. The Commission invites comment from interested parties. View this document.

74 Fed. Reg. 40794 (August 13, 2009) (notice of proposed rulemaking) (to be codified at 17 C.F.R. Part 190). This proposed rule would amend the regulations to create a sixth and separate "account class," applicable only to the bankruptcy of a commodity broker that is a futures commission merchant, for positions in cleared over-the-counter derivatives. The Commission also proposes an amendment to codify the appropriate allocation, in a bankruptcy of any commodity broker, of positions in commodity contracts of one account class that are commingled with positions in commodity contracts of the futures account class. View this document.

74 Fed. Reg. 31642 (July 2, 2009) (advanced notice of proposed rulemaking and request for public comment). The Commission has determined to collect certain ownership, control, and related information for all trading accounts active on U.S. futures exchanges. View this document.

74 Fed. Reg. 23964 (May 22, 2009) (extension of comment period). On March 24, 2009, the Commodity Futures Trading Commission published a concept release on whether to eliminate the bona fide hedge exemption for certain swap dealers and create a new limited risk management exemption from speculative position limits. The Commission is extending the comment period to June 16, 2009. View this document.

74 Fed. Reg. 21290 (May 7, 2009) (notice of proposed rulemaking; request for comments). The Commodity Futures Trading Commission proposes to amend its regulations that prescribe minimum adjusted net capital requirements; to require that FCM proprietary cleared OTC derivative positions be subject to capital deductions in a manner consistent with the capital deductions for FCM proprietary positions in exchange-traded futures contracts and options contracts; and to increase the applicable percentage of the total margin-based requirement for futures, options and cleared OTC derivative positions. The Commission solicits public comments on the advisability of increasing the ANC requirement for FCMs that are also securities brokers and dealers. View this document.

74 Fed. Reg. 19536 (April 29, 2009) (notice). This document gives notice that the Commodity Futures Trading Commission's Energy Markets Advisory Committee will conduct a public meeting on Wednesday, May 13, 2009. View this document.

74 Fed. Reg. 18982 (April 27, 2009) (final rule) (to be codified at 17 C.F.R. Part 38). The Commission hereby adopts its final definition of "public director" for the acceptable practices to Section 5(d)(15) of the Commodity Exchange Act and lifts the stay previously placed on these acceptable practices. View this document.

74 Fed. Reg. 17826 (April 17, 2009) (order). The Commission amends the charter of the Energy Markets Advisory Committee by renaming the committee the "Energy and Environmental Markets Advisory Committee" and substituting the "Charter of the Energy and Environmental Markets Advisory Committee" for the existing charter, and takes related actions as set forth in this document. View this document.

74 Fed. Reg. 17392 (April 15, 2009) (final rule) (to be codified at 17 C.F.R. Parts 40, 41, and 145). The Commodity Futures Trading Commission is adopting final rules to specify the exclusive procedures under which designated contract markets, derivatives clearing organizations and derivatives transaction execution facilities may request confidential treatment for products and rules submitted via certification procedures or for Commission review and approval under parts 40 and 41. View this document.

74 Fed. Reg. 16187 (April 9, 2009) (notice). The Commodity Futures Trading Commission is announcing an opportunity for public comment on the proposed collection of certain information related to review of National Futures Association decisions in disciplinary, membership denial, registration, and member responsibility actions. View this document.

74 Fed. Reg. 15943 (April 8, 2009) (notice). The Commodity Futures Trading Commission has determined to establish a new advisory committee, the Risk Management Advisory Committee. View this document.

74 Fed. Reg. 14532 (March 31, 2009) (notice). The Commodity Futures Trading Commission has determined to renew the charter of the Commission's Agricultural Advisory Committee for a further period of two years. View this document.

74 Fed. Reg. 12282 (March 24, 2009) (advance notice of proposed rulemaking; request for public comment). In September 2008, the Commission released a "Staff Report on Commodity Swap Dealers and Index Traders with Commission." This concept release reviews the underlying statutory and regulatory background and poses a number of questions designed to help inform the Commission's decision as to whether to proceed with the recommendation. View this document.

74 Fed. Reg. 12316 (March 24, 2009) (order). The Chicago Mercantile Exchange Inc. and the Board of Trade of the City of Chicago, Inc. requested permission to clear certain over-the counter swap agreements in corn, wheat, and soybeans, and to allow CME and futures commission merchants clearing through CME to commingle positions in those cleared-only OTC swaps and funds associated with those positions with positions and funds otherwise required to be held in a customer segregated account. The Commodity Futures Trading Commission has determined to issue an order granting the requested permission. View this document.

74 Fed. Reg. 12177 (March 23, 2009) (final rules) (to be codified at 17 C.F.R. Parts 15, 16, 17, 18, 19, 21, 36, 40). The Commodity Futures Trading Commission is promulgating final rules to implement those provisions of the CFTC Reauthorization Act of 2008 relating to exempt commercial markets on which significant price discovery contracts are traded or executed. View this document.

74 Fed. Reg. 10036 (March 9, 2009) (notice). This notice announces that the following Information Collection Request has been forwarded to OMB: Off-Exchange Agricultural Trade Options. View this document.

74 Fed. Reg. 10037 (March 9, 2009) (notice). This notice announces that the following Information Collection Request has been forwarded to OMB: Regulations and Forms Pertaining to the Financial Integrity of the Marketplace. View this document.

74 Fed. Reg. 10038 (March 9, 2009) (notice). The Commodity Futures Trading Commission is calling for nominations to the Subcommittee on Convergence in Agricultural Commodity Markets. View this document.

74 Fed. Reg. 9568 (March 5, 2009) (notice). The Commodity Futures Trading Commission is amending its regulations applicable to the filing of Disclosure Documents by commodity pool operators and commodity trading advisors with the National Futures Association. View this document.

74 Fed. Reg. 8220 (February 24, 2009) (proposed rules) (to be codified at 17 C.F.R. Part 4). The Commodity Futures Trading Commission is proposing to amend its regulations governing the periodic account statements that commodity pool operators are required to provide to commodity pool participants and the annual financial reports that CPOs are required to provide to commodity pool participants and file with the National Futures Association. View this document.

74 Fed. Reg. 7838 (February 20, 2009) (notice of proposed rulemaking) (to be codified at 17 C.F.R. Parts 1, 30, and 140). The Commodity Futures Trading Commission is proposing to amend its regulations regarding the required content of the acknowledgment letter that a registrant must obtain from any depository holding its segregated customer funds or funds of foreign futures or foreign options customers, and certain technical changes. View this document.

74 Fed. Reg. 3475 (January 21, 2009) (proposed rule; withdrawal of previous proposed rule) (to be codified at 17 C.F.R. Part 38). The Commission withdraws the proposed amendments to the definition of public director published on March 26, 2007, and proposes and seeks public comment on updated proposed amendments to the definition of public director. View this document.

74 Fed. Reg. 3570 (January 21, 2009) (notice). The Commodity Futures Trading Commission is providing notice requiring foreign boards of trade that may receive Commission staff no-action relief permitting them to make their automated trading systems directly available from the U.S. to comply with additional conditions for the no-action relief to remain effective if they list for trading from the U.S. contracts that are linked to contracts traded on certain U.S.-based entities. The Commission is also providing notice that it is revising its policy regarding the notification procedures applicable to listing an option on a futures contract that already is (or can be) listed for trading from the U.S. View this document.

74 Fed. Reg. 3572 (January 21, 2009) (notice). This notice announces that the Information Collection Request abstracted below has been forwarded to the Office of Management and Budget: Rules Relating to Regulation of Domestic Exchange-Traded Options. View this document.

73 Fed. Reg. 80367 (December 31, 2008) (notice of request for comment on exemption request; reopening of comment period). The Commodity Futures Trading Commission is reopening the period for public comment to provide interested persons additional time to comment on whether to exempt certain over-the-counter agricultural swaps from certain of the requirements otherwise imposed by Commission Regulation 35.2. View this document.

73 Fed. Reg. 79608 (December 30, 2008) (final rules) (to be codified at 17 C.F.R. Part 140). The Commodity Futures Trading Commission is amending certain provisions of its part 140 regulations to add the Chief Economist and the Deputy Chief Economist of the Office of the Chief Economist as persons to whom certain authorities are delegated, and is amending part 140 to reflect a change in position title. View this document.

73 Fed. Reg. 79452 (December 29, 2008) (notice). This notice announces that the following Information Collection Request has been forwarded to the Office of Management and Budget for review and comment: Regulations and Forms Pertaining to the Financial Integrity of the Marketplace. View this document.

73 Fed. Reg. 79452 (December 29, 2008) (notice). The Commodity Futures Trading Commission is announcing an opportunity for public comment on the proposed collection of certain information by the agency associated with off-exchange agricultural trade options. View this document.

73 Fed. Reg. 77015 (December 18, 2008) (order). On December 7, 2007, the Commodity Futures Trading Commission published for public comment requests (a) to permit ICE Clear U.S., Inc. to clear certain over-the-counter swap contracts and (b) to determine that certain ICE Futures U.S., Inc. floor brokers and traders are Eligible Swap Participants for the purpose of trading those OTC swaps. The Commission has determined to issue an order granting the requests. View this document.

73 Fed. Reg. 75887 (December 12, 2008) (proposed rules) (to be codified at 17 C.F.R. Parts 15, 16, 17, 18, 19, 21, 36 and 40). The Commodity Futures Trading Commission is proposing rules to implement the CFTC Reauthorization Act of 2008. View this document.

73 Fed. Reg. 71968 (November 26, 2008) (proposed rule) (to be codified at 17 C.F.R. Part 4). The Commodity Futures Trading Commission is proposing to amend its regulations applicable to the filing of Disclosure Documents by commodity pool operators and commodity trading advisors with the National Futures Association. View this document.

73 Fed. Reg. 65514 (November 4, 2008) (interpretive statement; correction). This interpretation by the Commodity Futures Trading Commission is issued to clarify the appropriate treatment under the commodity broker provisions of the Bankruptcy Code and Part 190 of the Commission's Regulations of claims arising from contracts that, although not executed or traded on a Designated Contract Market or a Derivatives Transaction Execution Facility, are subsequently submitted for clearing through a Futures Commission Merchant to a Derivatives Clearing Organization. View this document.

73 Fed. Reg. 63359 (October 24, 2008) (final rule) (to be codified at 17 C.F.R. Parts 10 and 12). The Commodity Futures Trading Commission is amending its Rules of Practice and Rules Relating to Reparation Proceedings, respectively, to standardize service and filing by electronic means. View this document.

73 Fed. Reg. 62488 (October 21, 2008) (reopening comment period). The Commodity Futures Trading Commission is reopening the comment period for interested parties to comment on the Joint Audit Committee Operating Agreement which was submitted to the Commission for approval. View this document.

73 Fed. Reg. 60625 (October 14, 2008) (order). The Commodity Futures Trading Commission is granting an exemption to firms designated by the Tokyo Financial Exchange, Inc. from the application of certain of the Commission's foreign futures and option regulations based upon substituted compliance with certain comparable regulatory and self-regulatory requirements of a foreign regulatory authority consistent with conditions specified by the Commission. View this document.

73 Fed. Reg. 57512 (October 3, 2008) (final rule) (to be codified at 17 C.F.R. Part 143). The Commodity Futures Trading Commission is amending its rule which governs the maximum amount of civil monetary penalties to adjust for inflation. View this document.

73 Fed. Reg. 57235 (October 2, 2008) (interpretive statement). This interpretation by the Commodity Futures Trading Commission is issued to clarify the appropriate treatment under the commodity broker provisions of the Bankruptcy Code and Part 190 of the Commission's Regulations of claims arising from contracts that, although not executed or traded on a Designated Contract Market or a Derivatives Transaction Execution Facility, are subsequently submitted for clearing through a Futures Commission Merchant to a Derivatives Clearing Organization. View this document.

73 Fed. Reg. 54069 (September 18, 2008) (final rule) (to be codified at 17 C.F.R. Parts 3 and 30). The Commodity Futures Trading Commission has amended the regulation concerning the registration of firms located outside the U.S. that are engaged in commodity interest activities with respect to trading on U.S. designated contract markets and U.S. derivatives transaction execution facilities. View this document.

73 Fed. Reg. 54097 (September 18, 2008) (proposed rules) (to be codified at 17 C.F.R. Parts 1 and 38). The Commodity Futures Trading Commission is re-proposing a number of amendments to its rules, guidance and acceptable practices concerning trading off the centralized market, including the addition of guidance on contract market block trading rules and exchanges of futures for commodities or derivatives positions. View this document.

73 Fed. Reg. 52832 (September 11, 2008) (request for comment). The Commodity Futures Trading Commission is publishing for public comment an agreement submitted by the Joint Audit Committee for approval pursuant to Commission Regulation 1.52. View this document.

73 Fed. Reg. 51961 (September 8, 2008) (extension of comment period). On August 1, 2008, the Commission published a notice of proposed rulemaking to amend the procedures under which designated contract markets, derivatives clearing organizations and derivatives transaction execution facilities may request confidential treatment for products and rules submitted via certification procedures or for Commission review and approval pursuant to parts 40 and 41. The Commission is extending the comment period. View this document.

73 Fed. Reg. 44939 (August 1, 2008) (notice of proposed rulemaking; reproposal). Regulation 40.8(c) is being reproposed to clarify that an initial determination by staff to deny confidential treatment may be appealed to the Commission's Office of General Counsel and that such an appeal will stay release of the material. View this document.

73 Fed. Reg. 44706 (July 31, 2008) (order). The Commodity Futures Trading Commission is issuing an Order pursuant to Section 409(b)(3) of the Federal Deposit Insurance Corporation Improvement Act with respect to the supervision by the United Kingdom's Financial Services Authority of ICE Clear Europe Limited. View this document.

73 Fed. Reg. 44707 (July 31, 2008) (establishment of schedule of fees). The Commission charges fees to designated contract markets and registered futures associations to recover the costs incurred by the Commission in the operation of its program of oversight of self-regulatory organization rule enforcement programs. The FY 2008 fee schedule is set forth in the supplementary information. View this document.

73 Fed. Reg. 40302 (July 14, 2008) (notice). The Commodity Futures Trading Commission's Agricultural Advisory Committee will conduct a public meeting on Tuesday, July 29, 2008. View this document.

73 Fed. Reg. 39226 (June 9, 2008) (order). The Commodity Futures Trading Commission is confirming that designated members of the Taiwan Futures Exchange may engage in limited marketing conduct with respect to foreign futures or options contracts within the U.S. through their employees or representatives consistent with prior Commission orders. View this document.

73 Fed. Reg. 36302 (June 26, 2008) (notice). The Commodity Futures Trading Commission's Global Markets Advisory Committee will conduct a public meeting on Tuesday, July 15, 2008. View this document.

73 Fed. Reg. 34715 (June 18, 2008) (notice). The Commodity Futures Trading Commission has determined to renew the charter of its Global Markets Advisory Committee. View this document.

73 Fed. Reg. 8599 (February 14, 2008) (final rule) (to be codified at 17 C.F.R. Parts 36 and 40). The Commission is adopting final regulations that effectuate amendments to the Commission's regulations. View this document.

73 Fed. Reg. 4499 (January 25, 2008) (proposed rule) (to be codified at 17 C.F.R. Parts 3 and 30). The Commission is proposing to amend the regulations regarding the registration of certain firms located outside the U.S. that are engaged in commodity interest activities with respect to trading on U.S. designated contract markets and U.S. derivative transaction execution facilities, and to revoke the regulations regarding quarterly reporting requirements for foreign futures and foreign options transactions. View this document.

72 Fed. Reg. 74213 (December 31, 2007) (reopening of comment period). The Commodity Futures Trading Commission is reopening the period for public comment to provide interested persons additional time to comment on certain proposed amendments pertaining to the Federal speculative position limits for agricultural commodities. View this document.

72 Fed. Reg. 68862 (December 6, 2007) (notice). The Commission is requesting comment on whether to extend the exemption granted under Part 35 of the Commission's regulations to certain over-the-counter swaps that do not meet certain requirements otherwise imposed by Commission Regulation 35.2. The Commission is also requesting comment on whether ICE Futures U.S., Inc. floor traders and floor brokers registered with the Commission, when trading for their own accounts, may be determined to be eligible swap participants and permitted to enter into certain specified OTC swap transactions. View this document.

72 Fed. Reg. 66097 (November 27, 2007) (proposed rule) (to be codified at 17 C.F.R. Part 150). The Commission is proposing to provide an additional exemption to its regulations for "risk management positions," subject to certain conditions. View this document.

70 Fed. Reg. 17418 (April 8, 2005)(notice). The Commodity Futures Trading Commission has determined to renew again for a period of two years its advisory committee designated as the "Agricultural Advisory Committee."       View this document.

70 Fed. Reg. 15725(March 29, 2005) (notice). Notice is hereby given that the Commodity Futures Trading Commission will hold a public roundtable meeting at which invited participants will discuss issues concerning commodity pool operators and the commodity pool industry.       View this document.

69 Fed. Reg. 76392 (December 21, 2004) (final rule) (to be codified at 17 C.F.R. Parts 15, 16, 17, 18, 19 and 21). The Commodity Futures Trading Commission (Commission or CFTC) has adopted several amendments to its contract market and large trader reporting rules. View this document.

69 Fed. Reg. 9598 (March 1, 2004) (notice). The Commodity Futures Trading Commission is announcing an opportunity for public comment on the proposed collection of certain information by the agency. This notice solicits comments on requirements relating to information collected to assist the Commission in the prevention of market manipulation. View this document.

68 Fed. Reg. 66402 (November 26, 2003) (notice). The Citrus Associates of the New York Cotton Exchange has requested that the Commission approve proposed new FCOJ-A futures and options contracts and FCOJ-B futures contract. View this document

68 Fed. Reg. 46591 (August 6, 2003) (notice). This notice announces a reopening of the public comment period for the proposed amendments to the Chicago Mercantile Exchange's live cattle futures contract restricting delivery to cattle born and raised in the United States. View this document.