Proposed Rules

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Date
Proposed Rules
12/06/2007
72 FR 68862 // PDF Image PDF Version

Notice of Request for Comment on Exemption Requests

Comment File: 07-016   Closing Date: 01/07/2008   Extended Date: 02/06/2008

See also:
  • 73 FR 1205, January 7, 2008 PDF ImagePDF Version
    Requests Pursuant to Section 4(c) of the Commodity Exchange Act To Extend the Exemption Granted Under Part 35 of the Commission's Regulations to Certain Over-The-Counter Swaps and To Determine as Eligible Swap Participants Certain Floor Brokers and Traders
  • 73 FR 77015, December 18, 2008 PDF ImagePDF Version
    Order: (1) Pursuant to Section 4(c) of the Commodity Exchange Act (a) Permitting Eligible Swap Participants To Submit for Clearing and ICE Clear U.S., Inc. and Futures Commission Merchants To Clear Certain Over-The-Counter Agricultural Swaps and (b) Determining Certain Floor Brokers and Traders To Be Eligible Swap Participants; and (2) Pursuant to Section 4d of the Commodity Exchange Act, Permitting Certain Customer Positions in the Foregoing Swaps and Associated Property To Be Commingled With Other Property Held in Segregated Accounts
     
    11/27/2007
    72 FR 66097 // PDF Image PDF Version

    17 CFR Part 150 Risk Management Exemption From Federal Speculative Position Limits

    Comment File: 07-015   Closing Date: 01/28/2008  
     
    11/21/2007
    72 FR 65483 // PDF Image PDF Version

    17 CFR Part 150 Revision of Federal Speculative Position Limits

    Comment File: 07-014   Closing Date: 12/21/2007   Extended Date: 01/21/2008

    See also:
    • 72 FR 74213, December 31, 2007 PDF ImagePDF Version
      17 CFR Part 150 Revision of Federal Speculative Position Limits; Reopening of Comment Period
     
    09/27/2007
    72 FR 54902 // PDF Image PDF Version

    Petition of the Chicago Mercantile Exchange, Inc. for Exemptive Relief, Pursuant to Section 4(c) of the Commodity Exchange Act, From the Requirement That the China Foreign Exchange Trade System and National Interbank Funding Center or its Members Register as Futures Commission Merchants; Re-Opening of Comment Period

    Comment File: 07-013   Closing Date: 09/24/2007   Extended Date: 10/09/2007

    See also:
    • 72 FR 48262, August 23, 2007 PDF ImagePDF Version
      Petition of the Chicago Mercantile Exchange Inc. for Exemptive Relief, Pursuant to Section 4(c) of the Commodity Exchange Act, From the Requirement That the China Foreign Exchange Trade System and National Interbank Funding Center or Its Members Register as Futures Commission Merchants
     
    08/23/2007
    72 FR 48262 // PDF Image PDF Version

    Petition of the Chicago Mercantile Exchange Inc. for Exemptive Relief, Pursuant to Section 4(c) of the Commodity Exchange Act, From the Requirement That the China Foreign Exchange Trade System and National Interbank Funding Center or Its Members Register as Futures Commission Merchants

    Comment File: 07-013   Closing Date: 09/24/2007   Extended Date: 10/09/2007

    See also:
    • 72 FR 54902, September 27, 2007 PDF ImagePDF Version
      Petition of the Chicago Mercantile Exchange, Inc. for Exemptive Relief, Pursuant to Section 4(c) of the Commodity Exchange Act, From the Requirement That the China Foreign Exchange Trade System and National Interbank Funding Center or its Members Register as Futures Commission Merchants; Re-Opening of Comment Period
     
    08/14/2007
    72 FR 45392 // PDF Image PDF Version

    17 CFR Part 3 Termination of Associated Persons and Principals of Futures Commission Merchants, Introducing Brokers, Commodity Trading Advisors, Commodity Pool Operators and Leverage Transaction Merchants

    Comment File: 07-012   Closing Date: 09/13/2007  

    See also:
    • 72 FR 63102, November 8, 2007 PDF ImagePDF Version
      17 CFR Part 3 Termination of Associated Persons and Principals of Futures Commission Merchants, Introducing Brokers, Commodity Trading Advisors, Commodity Pool Operators and Leverage Transaction Merchants
     
    08/13/2007
    72 FR 45225 // PDF Image PDF Version

    Privacy Act of 1974: System of Records

    Comment File: 07-011   Closing Date: 09/12/2007  
     
    08/13/2007
    72 FR 45185 // PDF Image PDF Version

    17 CFR Parts 36 and 40 Amendments Pertinent to Registered Entities and Exempt Commercial Markets

    Comment File: 07-010   Closing Date: 09/12/2007  

    See also:
    • 73 FR 8599, February 14, 2008 PDF ImagePDF Version
      17 CFR Parts 36 and 40 Amendments Pertinent to Registered Entities and Exempt Commercial Markets
     
    07/20/2007
    72 FR 39764 // PDF Image PDF Version

    17 CFR Parts 40 and 41 Confidential Information and Commission Records and Information

    Comment File: 07-009   Closing Date: 08/20/2007  
     
    06/22/2007
    72 FR 34413 // PDF Image PDF Version

    17 CFR Part 18 Maintenance of Books, Records and Reports by Traders

    Comment File: 07-008   Closing Date: 07/23/2007  

    See also:
    • 72 FR 60767, October 26, 2007 PDF ImagePDF Version
      17 CFR Part 18 Maintenance of Books, Records and Reports by Traders
     
    06/22/2007
    72 FR 34417 // PDF Image PDF Version

    17 CFR Part 21 Special Calls

    Comment File: 07-007   Closing Date: 07/23/2007  

    See also:
     
    05/14/2007
    72 FR 27091 // PDF Image PDF Version

    Proposal to Exempt the Trading and Clearing of Certain Credit Default Products Traded on the Chicago Board Options Exchange and Cleared Through the Options Clearing Corporation Pursuant to The Exemptive Authority in Sec. 4(c) of the Commodity Exchange Act

    Comment File: 07-006   Closing Date: 05/29/2007  

    See also:
    • 72 FR 32079, June 11, 2007 PDF ImagePDF Version
      Order Exempting the Trading and Clearing of Certain Credit Default Products Pursuant to the Exemptive Authority in Section 4 (c) of the Commodity Exchange Act ("CEA")
    • 72 FR 33205, June 15, 2007 PDF ImagePDF Version
      Order Exempting the Trading and Clearing of Certain Credit Default Products Pursuant to the Exemptive Authority in Section 4 (c) of the Commodity Exchange Act ("CEA"); Republication
       
      05/01/2007
      72 FR 23804 // PDF Image PDF Version

      Privacy Act of 1974: System of Records

      Comment File: 07-005   Closing Date: 05/31/2007  
       
      04/26/2007
      72 FR 20788 // PDF Image PDF Version

      17 CFR Part 3 Registration of Intermediaries

      Comment File: 07-004   Closing Date: 05/29/2007  
       
      04/11/2007
      72 FR 18316 // PDF Image PDF Version

      17 CFR Parts 1, 3, 4, 15, and 166 Exemption from Registration for Certain Foreign Persons; Correction



      See also:
      • 72 FR 15637, April 2, 2007 PDF ImagePDF Version
        17 CFR Parts 1, 3, 4, 15, 166 Exemption From Registration for Certain Foreign Persons
       
      04/05/2007
      72 FR 16875 // PDF Image PDF Version

      Department of the Comptroller of the Currency 12 CFR Part 40; Federal Reserve System 12 CFR Part 216; Federal Deposit Insurance Corporation 12 CFR Part 332; Department of the Treasury Office of Thrift Supervision 12 CFR Part 573; National Credit Union Administration 12 CFR Part 716; Federal Trade Commission 16 CFR Part 313; Commodity Futures Trading Commission 17 CFR Part 160; Securities and Exchange Commission 17 CFR Part 248 Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act; Correction



      See also:
      • 72 FR 14939, March 29, 2007 PDF ImagePDF Version
        Department of the Comptroller of the Currency 12 CFR Part 40; Federal Reserve System 12 CFR Part 216; Federal Deposit Insurance Corporation 12 CFR Part 332; Department of the Treasury Office of Thrift Supervision 12 CFR Part 573; National Credit Union Administration 12 CFR Part 716; Federal Trade Commission 16 CFR Part 313; Commodity Futures Trading Commission 17 CFR Part 160; Securities and Exchange Commission 17 CFR Part 248 Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act
      • 74 FR 62889, December 1, 2009 PDF ImagePDF Version
        Part II Department of the Treasury Office of the Comptroller of the Currency 12 CFR Part 40; Federal Reserve System 12 CFR Part 216; Federal Deposit Insurance Corporation 12 CFR Part 332; Department of the Treasury Office of Thrift Supervision 12 CFR Part 573; National Credit Union Administration 12 CFR Part 716; Federal Trade Commission 16 CFR Part 313; Commodity Futures Trading Commission 17 CFR Part 160; Securities and Exchange Commission 17 CFR Part 248; Final Model Privacy Form Under the Gramm-Leach-Bliley Act
         
        04/02/2007
        72 FR 15637 // PDF Image PDF Version

        17 CFR Parts 1, 3, 4, 15, 166 Exemption From Registration for Certain Foreign Persons

        Comment File: 07-003   Closing Date: 05/02/2007  

        See also:
        • 72 FR 18316, April 11, 2007 PDF ImagePDF Version
          17 CFR Parts 1, 3, 4, 15, and 166 Exemption from Registration for Certain Foreign Persons; Correction
        • 72 FR 63976, November 14, 2007 PDF ImagePDF Version
          17 CFR Parts 1, 3, 4, 15, and 166 Exemption From Registration for Certain Foreign Persons
           
          03/29/2007
          72 FR 14939 // PDF Image PDF Version

          Department of the Comptroller of the Currency 12 CFR Part 40; Federal Reserve System 12 CFR Part 216; Federal Deposit Insurance Corporation 12 CFR Part 332; Department of the Treasury Office of Thrift Supervision 12 CFR Part 573; National Credit Union Administration 12 CFR Part 716; Federal Trade Commission 16 CFR Part 313; Commodity Futures Trading Commission 17 CFR Part 160; Securities and Exchange Commission 17 CFR Part 248 Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act

          Comment File: 07-002   Closing Date: 05/29/2007  

          See also:
          • 72 FR 16875, April 5, 2007 PDF ImagePDF Version
            Department of the Comptroller of the Currency 12 CFR Part 40; Federal Reserve System 12 CFR Part 216; Federal Deposit Insurance Corporation 12 CFR Part 332; Department of the Treasury Office of Thrift Supervision 12 CFR Part 573; National Credit Union Administration 12 CFR Part 716; Federal Trade Commission 16 CFR Part 313; Commodity Futures Trading Commission 17 CFR Part 160; Securities and Exchange Commission 17 CFR Part 248 Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act; Correction
          • 74 FR 62889, December 1, 2009 PDF ImagePDF Version
            Part II Department of the Treasury Office of the Comptroller of the Currency 12 CFR Part 40; Federal Reserve System 12 CFR Part 216; Federal Deposit Insurance Corporation 12 CFR Part 332; Department of the Treasury Office of Thrift Supervision 12 CFR Part 573; National Credit Union Administration 12 CFR Part 716; Federal Trade Commission 16 CFR Part 313; Commodity Futures Trading Commission 17 CFR Part 160; Securities and Exchange Commission 17 CFR Part 248; Final Model Privacy Form Under the Gramm-Leach-Bliley Act
             
            03/26/2007
            72 FR 14051 // PDF Image PDF Version

            17 CFR Part 38 Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations

            Comment File: 07-001   Closing Date: 04/25/2007  

            See also: