Proposed Rules

72 FR 68862 // 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 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 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

72 FR 66097 // PDF Version

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

Comment File: 07-015   Closing Date: 01/28/2008  

72 FR 65483 // 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 Version
  17 CFR Part 150 Revision of Federal Speculative Position Limits; Reopening of Comment Period

72 FR 54902 // 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 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

72 FR 48262 // 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 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

72 FR 45392 // 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 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

72 FR 45225 // PDF Version

Privacy Act of 1974: System of Records

Comment File: 07-011   Closing Date: 09/12/2007  

72 FR 45185 // 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 Version
  17 CFR Parts 36 and 40 Amendments Pertinent to Registered Entities and Exempt Commercial Markets

72 FR 39764 // PDF Version

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

Comment File: 07-009   Closing Date: 08/20/2007  

72 FR 34413 // 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 Version
  17 CFR Part 18 Maintenance of Books, Records and Reports by Traders

72 FR 34417 // PDF Version

17 CFR Part 21 Special Calls

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

See also:

• 72 FR 50209, August 31, 2007 PDF Version
  17 CFR Part 21 Special Calls

72 FR 27091 // 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 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 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

72 FR 23804 // PDF Version

Privacy Act of 1974: System of Records

Comment File: 07-005   Closing Date: 05/31/2007  

72 FR 20788 // PDF Version

17 CFR Part 3 Registration of Intermediaries

Comment File: 07-004   Closing Date: 05/29/2007  

72 FR 18316 // 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 Version
  17 CFR Parts 1, 3, 4, 15, 166 Exemption From Registration for Certain Foreign Persons

72 FR 16875 // 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 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 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

72 FR 15637 // 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 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 Version
  17 CFR Parts 1, 3, 4, 15, and 166 Exemption From Registration for Certain Foreign Persons

72 FR 14939 // 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 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 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

72 FR 14051 // 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:

• 72 FR 65658, November 23, 2007 PDF Version
  Final Rule; Notice of Stay