Source: http://comments.cftc.gov/PublicComments/ReleasesWithComments.aspx?Type=ListAll&Year=2012
Timestamp: 2015-10-06 05:31:32
Document Index: 276367665

Matched Legal Cases: ['arts 37', 'arts 37', 'art 75', 'art 75', 'art 4', 'art 162', 'art 248', 'art 162', 'art 248', 'art 43', 'art 49', 'art 151', 'art 43', 'arts 3', 'arts 3', 'art 50', 'arts 39', 'art 39', 'art 50', 'arts 15']

Public Comments for 2012 - CFTC
Public Comments for 2012
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Proposed Rule 76 FR 71626
Industry Filing IF 12-003
90-day Review of NADEX’s Proposed Political Event Derivatives Contracts
The Commodity Futures Trading Commission (CFTC) on January 3, 2012, issued a letter informing the North American Derivatives Exchange (NADEX) that it has commenced a 90-day review of NADEX’s proposed political event derivatives contracts. The review is based on the possibility that these contracts may involve, among other issues, “gaming or an activity that is unlawful under any State or Federal law.”
Proposed Rule 76 FR 77728
17 CFR Parts 37 and 38 Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available To Trade
Related Videos: View Roundtable Video Part I
View Roundtable Video Part II
78 FR 36606
17 CFR Parts 37 and 38 Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available to Trade, Swap Transaction Compliance and Implementation Schedule, and Trade Execution Requirement Under the Commodity Exchange Act
Privacy Act Systems 77 FR 2048
CFTC-46, Lost, Stolen, Damaged or Destroyed CFTC Property
CFTC-47, Internal Electronic Collaboration Tools Open Date:
Public Information Collection 77 FR 477
77 FR 5778
, 2/6/2012
Public Information Collection 77 FR 5778
77 FR 477
, 1/5/2012
Public Information Collection 77 FR 8817
Public Information Collection 77 FR 12817
Public Information Collection 77 FR 12818
Public Information Collection 77 FR 13101
, 3/12/2012
Retiring CFTC-7, Formal Employment Discrimination Complaint and Reasonable Accommodation Files
Public Information Collection 77 FR 14004
Proposed Rule 77 FR 8332
17 CFR Part 75 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Covered Funds
79 FR 5808
17 CFR Part 75 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds
Industry Filing IF 12-004
30-day Review of ICE Clear Europe for Order Permitting Portfolio Margining of Cleared Swaps and Foreign Futures Contracts
The Commodity Futures Trading Commission (Commission) is requesting public comment on a petition submitted by ICE Clear Europe Limited (ICE Clear Europe) for an order pursuant to Section 4d(f) of the Commodity Exchange Act (Act). The petition requests an order that would permit ICE Clear Europe and its clearing members that are registered futures commission merchants to (1) commingle in an account subject to Section 4d(f) (a cleared swaps customer account) positions in swaps and foreign futures and options and related customer money, securities and property; and (2) portfolio margin swaps and foreign futures and options in the cleared swaps customer account.
General CFTC Public Roundtable Discussion on Additional Customer Collateral Protections
The CFTC will hold a two-day public roundtable to discuss additional customer collateral protection. The roundtable is to gather public input on a variety of ideas to further protect customers.
Day one discussions will focus on issues related to the advisability and practicality of implementing the legal segregation with operational commingling (LSOC) model as the segregation model for collateral posted by futures customers (the Commission has already approved this model for swaps); alternative models for the custody of customer collateral; enhancing futures commission merchant (FCM) controls over the disbursement of customer funds deposited for trading on U.S. futures markets; increasing transparency surrounding an FCM’s holding and investment of customer funds; and lessons learned from commodity brokerage bankruptcy proceedings.
Day two of the two-day session will focus primarily on the protection of customer funds deposited with FCMs for trading on foreign futures markets; particular issues associated with entities dually registered with the CFTC as FCMs and the U.S. Securities and Exchange Commission as broker-dealers (BDs); and enhancing the self-regulatory structure.
Industry Filing IF 12-005
Request from NYPC for Order Permitting Cross Margining for Market Professionals
The Commodity Futures Trading Commission (Commission) is requesting public comment on a petition submitted by New York Portfolio Clearing, LLC (NYPC), a registered derivatives clearing organization, for an order pursuant to Section 4d(a)(2) of the Commodity Exchange Act (Act). The petition requests an order that would permit NYPC to expand its existing one-pot cross-margining program with Fixed Income Clearing Corporation (FICC) to include positions and related money, securities and property held by NYPC clearing members and clearing members of FICC’s Government Securities Division for participating “market professionals.”
Proposed Rule 77 FR 11345
17 CFR Part 4 Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators
78 FR 52308
Proposed Rule 77 FR 13450
Commodity Futures Trading Commission 17 CFR Part 162 Securites and Exchange Commisison 17 CFR Part 248 Identity Theft Red Flags Rules
78 FR 23638
, 4/19/2013
Commodity Futures Trading Commission 17 CFR Part 162 Securities and Exchange Commission 17 CFR Part 248 Identity Theft Red Flags Rules
Public Information Collection 77 FR 20613
Industry Filing 12-006
Request Comment on Application Submitted by Nadex Clearing, LLC for Registration as a Derivatives Clearing Organization
The Commodity Futures Trading Commission (Commission) is requesting public comment on an application submitted by Nadex Clearing, LLC for registration as a derivatives clearing organization.
Proposed Rule 77 FR 15460
, 7/16/2013
17 CFR Part 43 Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Correction
Proposed Rule 77 FR 28819
17 CFR Chapter 1 Second Amendment to July 14, 2011 Order for Swap Regulation
77 FR 41260
, 7/13/2012
17 CFR Chapter I Second Amendment to July 14, 2011 Order for Swap Regulation
Proposed Rule 77 FR 26709
17 CFR Part 49 Swap Data Repositories: Interpretative Statement Regarding the Confidentiality and Indemnification Provisions of Section 21(d) of the Commodity Exchange Act
General CFTC CFTC Staff to Host a Public Roundtable to Discuss the Proposed Volcker Rule
Staff will hold a public roundtable on Thursday, May 31, 2012, from 9:30 a.m. to 4:30 p.m., to discuss the proposed regulations to implement Section 619 (commonly known as the Volcker Rule) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The roundtable will help the Commission by providing additional public input for the final rulemaking.
Industry Filing 12-007
CBOT Rough Rice Storage Rate Increase
Proposed Rule 77 FR 23520
Proposed Rule 77 FR 31767
17 CFR Part 151 Aggregation, Position Limits for Futures and Swaps
Proposed Rule 77 FR 30596
Proposed Rule 77 FR 38229
17 CFR Part 43 Rules Prohibiting the Aggregation of Orders To Satisfy Minimum Block Sizes or Cap Size Requirements, and Establishing Eligibility Requirements for Parties to Block Trades
General CFTC Public Roundtable Discussion on Additional Customer Protections
CFTC to hold a public roundtable on Thursday, August 9, 2012, from 9:30 a.m. to 5:00 p.m., to discuss customer protection requirements for futures commission merchants (FCMs). The objective of the roundtable is to gather public input on a variety of ideas to further protect customers. Open Date:
Proposed Rule 77 FR 35892
17 CFR Parts 3 and 23 Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants
, 4/8/2013
Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants17 CFR Parts 3 and 23
Public Information Collection 77 FR 43271
Agency Information Collection Activities: Submission for OMB Emergency Review; Comment Request: Exemptive Order Regarding Compliance With Certain Swap Regulations
Public Information Collection 77 FR 46411 // PDF Version
Proposed Rule 77 FR 47169
17 CFR Part 50 Clearing Requirement Determination Under Section 2(h) of the CEA
, 12/13/2012
17 CFR Parts 39 and 50 Clearing Requirement Determination Under Section 2(h) of the CEA
Industry Filing IF 12-009
30-day Review on Clearinghouse, LP Petition to Amend its Order of Registration as a Derivatives Clearing Organization
The Commodity Futures Trading Commission (CFTC) is asking for public comment on a petition submitted by Cantor Clearinghouse LP (Cantor), for an amendment to its order of registration as a derivatives clearing organization. Specifically, Cantor is requesting that the Commission’s Order of Registration which restricts Cantor’s clearing activities to media-related contracts only, be amended to permit it to clear Foreign Exchange Spot Index Binary Flex Options.
Proposed Rule 77 FR 41109
80 FR 41376
, 7/14/2015
Proposed Rule 77 FR 50425
17 CFR Part 39 Clearing Exemption for Swaps Between Certain Affiliated Entities
17 CFR Part 50 Clearing Exemption for Swaps Between Certain Affiliated Entities
Proposed Rule 77 FR 43968
17 CFR Parts 15, 17, 18, and 20 Ownership and Control Reports, Forms 102/102S, 40/40S, and 71
78 FR 69178
, 11/18/2013
Proposed Rule 77 FR 50998
Proposal To Exempt Certain Transactions Involving Not-for-Profit Electric Utilities; Request for Comments
Industry Filing IF 12-010
Request Comment from ICE Clear Europe for Order Permitting Portfolio Margining of Futures and Foreign Futures Contracts
The Commodity Futures Trading Commission (Commission) is requesting public comment on a petition submitted by ICE Clear Europe Limited (ICE Clear Europe) for an order pursuant to Section 4d(a) of the Commodity Exchange Act (Act).
Proposed Rule 77 FR 52137
Proposed Order and Request for Comment on a Petition From Certain Independent System Operators and Regional Transmission Organizations To Exempt Specified Transactions Authorized by a Tariff or Protocol Approved by the Federal Energy Commission or the Public Utility Commission of Texas From Certain Provisions of the Commodity Exchange Act
Public Information Collection 77 FR 49428
Agency Information Collection Activities; Proposed Collection, Comment Request: Further Definition of ``Swap,'' ``Security-Based Swap,'' and ``Security-Based Swap Agreement''; Mixed Swaps; Security-Based Swap Agreement Recordkeeping: Book-out Agreement Confirmation
Privacy Act Systems 77 FR 58814
CFTC-15, Integrated Surveillance System, to be renamed CFTC-15, Enterprise Surveillance, Oversight & Risk Monitoring System
Orders and Other Announcements 77 FR 65539
Proposed Rule 77 FR 60113
Commodity Futures Trading Commission and Securities and Exchange Commission Acceptance of Public Submissions Regarding the Study of Stable Value Contracts
Public Information Collection 77 FR 60114
Industry Filing IF 12-011
Request Comment from ICE Clear Europe Limited for Order Permitting Portfolio Margining of Swaps and Security-Based Swaps in a Customer Account
The Commodity Futures Trading Commission (Commission) is requesting public comment on a petition submitted by ICE Clear Europe Limited (ICE Clear Europe) for an order pursuant to Section 4d(f) of the Commodity Exchange Act (Act).
Orders and Other Announcements 77 FR 65675
Commodity Futures Trading Commission, Office of Consumer Outreach