2009 Federal Register Proposed Rules

November 13, 2009
74 FR 58608    PDF Version
Request for Comment on a Petition To Exempt Certain Over-the-Counter Agricultural Swaps From Certain of the Requirements Imposed by Commission Regulation 35.2, Pursuant to Section 4(c) of the Commodity Exchange Act

Comment File: 09-033    Closing Date:  December 14, 2009 

November 12, 2009
74 FR 58258    PDF Version
Notice of Intent To Undertake a Determination Whether the Mid-C Financial Peak Contract; Mid-C Financial Peak Daily Contract; Mid-C Financial Off-Peak Contract; and Mid-C Financial Off-Peak Daily Contract, Offered for Trading on the IntercontinentalExchange, Inc., Perform a Significant Price Discovery Function

Comment File: 09-011    Closing Date:  October 21, 2009    Extended Date:  November 27, 2009 

See also:

November 12, 2009
74 FR 58259    PDF Version
Notice of Intent To Undertake a Determination Whether Various SP-15 Financial Day-Ahead Contracts Offered for Trading on the IntercontinentalExchange, Inc. Perform a Significant Price Discovery Function

Comment File: 09-012    Closing Date:  October 21, 2009    Extended Date:  November 27, 2009 

See also:

October 26, 2009
74 FR 54966    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7)of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the PJM WH Real Time Peak Daily Contract; PJM WH Real Time Peak Contract; PJM WH Real Time Off-Peak Contract; PJM WH Day Ahead LMP Peak Daily Contract; and PJM WH Real Time Off-Peak Daily Contract, Offered for Trading on the IntercontinentalExchange, Inc., Perform Significant Price Discovery Functions

Comment File: 09-032    Closing Date:  November 10, 2009 

October 22, 2009
74 FR 54550    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the NWP Rockies Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Comment File: 09-031    Closing Date:  November 6, 2009 

October 20, 2009
74 FR 53720    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Henry Financial Swing Contract; Henry Financial Basis Contract; and Henry Financial Index Contract, Offered for Trading on the IntercontinentalExchange, Inc., Perform Significant Price Discovery Functions

Comment File: 09-027    Closing Date:  November 4, 2009 

October 20, 2009
74 FR 53723    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Socal Border Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Comment File: 09-028    Closing Date:  November 4, 2009 

October 20, 2009
74 FR 53724    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the (1) Phys, BS, LD1 (US/MM), AB-NIT Contract, et al., Offered for Trading on the Natural Gas Exchange, Inc., Perform Significant Price Discovery Functions

Comment File: 09-029    Closing Date:  November 4, 2009 

October 20, 2009
74 FR 53728    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Fuel Oil-180 Singapore Swap Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Comment File: 09-030    Closing Date:  November 4, 2009 

October 13, 2009
74 FR 52434    PDF Version
Electronic Filing of Financial Reports and Notices

Comment File: 09-026    Closing Date:  November 12, 2009 

October 9, 2009
74 FR 52188    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), to Undertake a Determination Whether the San Juan Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Comment File: 09-013    Closing Date:  October 26, 2009 

October 9, 2009
74 FR 52186    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the TETCO-M3 Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Comment File: 09-014    Closing Date:  October 26, 2009 

October 9, 2009
74 FR 52204    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Zone 6-NY Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Comment File: 09-015    Closing Date:  October 26, 2009 

October 9, 2009
74 FR 52196    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the AECO Financial Basis Contract, Offered for Trading on the Intercontinental Exchange, Inc., Performs a Significant Price Discovery Function

Comment File: 09-016    Closing Date:  October 26, 2009 

October 9, 2009
74 FR 52198    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Chicago Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Comment File: 09-017    Closing Date:  October 26, 2009 

October 9, 2009
74 FR 52190    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Dominion-South Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Comment File: 09-018    Closing Date:  October 26, 2009 

October 9, 2009
74 FR 52206    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), to Undertake a Determination Whether the HSC Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Comment File: 09-019    Closing Date:  October 26, 2009 

October 9, 2009
74 FR 52192    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Malin Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Comment File: 09-020    Closing Date:  October 26, 2009 

October 9, 2009
74 FR 52208    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the NGPL TXOK Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Comment File: 09-021    Closing Date:  October 26, 2009 

October 9, 2009
74 FR 52194    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Permian Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Comment File: 09-022    Closing Date:  October 26, 2009 

October 9, 2009
74 FR 52210    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the PG&E Citygate Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Comment File: 09-023    Closing Date:  October 26, 2009 

October 9, 2009
74 FR 52200    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the TCO Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Comment File: 09-024    Closing Date:  October 26, 2009 

October 9, 2009
74 FR 52202    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Waha Financial Basis Contract, Offered for Trading on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Comment File: 09-025    Closing Date:  October 26, 2009 

October 6, 2009
74 FR 51261    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Mid-C Financial Peak Contract; Mid-C Financial Peak Daily Contract; Mid-C Financial Off-Peak Contract; and Mid-C Financial Off-Peak Daily Contract, Offered for Trading on the IntercontinentalExchange, Inc., Perform Significant Price Discovery Functions

Comment File: 09-011    Closing Date:  October 21, 2009    Extended Date:  November 27, 2009 

See also:

October 6, 2009
74 FR 51264    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the SP-15 Financial Day-Ahead LMP Peak Contract; SP-15 Financial Day-Ahead LMP Peak Daily Contract; SP-15 Financial Day-Ahead LMP Off-Peak Daily Contract; SP-15 Financial Swap Real Time LMP--Peak Daily Contract; SP-15 Financial Day-Ahead LMP Off-Peak Contract; NP-15 Financial Day-Ahead LMP Peak Daily Contract; and NP-15 Financial Day-Ahead LMP Off-Peak Daily Contract, Offered for Trading on the IntercontinentalExchange, Inc., Perform Significant Price Discovery Functions

Comment File: 09-012    Closing Date:  October 21, 2009    Extended Date:  November 27, 2009 

See also:

August 20, 2009
74 FR 42052    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Carbon Financial Instrument Contract Offered for Trading on the Chicago Climate Exchange, Inc., Performs a Significant Price Discovery Function

Comment File: 09-010    Closing Date:  September 4, 2009 

August 13, 2009
74 FR 40794    PDF Version
17 CFR Part 190 Account Class

Comment File: 09-009    Closing Date:  September 14, 2009 

July 2, 2009
74 FR 31642    PDF Version
17 CFR Part 16 Account Ownership and Control Report

Comment File: 09-008    Closing Date:  August 17, 2009 

June 12, 2009
74 FR 28028    PDF Version
Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule 36.3(c)(3), To Undertake a Determination Whether the Henry Financial LD1 Fixed Price Contract Traded on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Comment File: 09-007    Closing Date:  July 13, 2009 

See also:

May 22, 2009
74 FR 23964    PDF Version
17 CFR Part 150 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.

Comment File: 09-004    Closing Date:  May 26, 2009    Extended Date:  June 16, 2009 

See also:

May 22, 2009
74 FR 23962    PDF Version
17 CFR Parts 1 and 30 Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions

Comment File: 09-006    Closing Date:  July 21, 2009 

May 7, 2009
74 FR 21290    PDF Version
17 CFR Part 1 Revised Adjusted Net Capital Requirements for Futures Commission Merchants and Introducing Brokers

Comment File: 09-005    Closing Date:  July 6, 2009 

March 24, 2009
74 FR 12282    PDF Version
17 CFR Part 150 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

Comment File: 09-004    Closing Date:  May 26, 2009    Extended Date:  June 16, 2009 

See also:

February 24, 2009
74 FR 8220    PDF Version
17 CFR Part 4 Commodity Pool Operator Periodic Account Statements and Annual Financial Reports

Comment File: 09-003    Closing Date:  March 26, 2009 

See also:

February 20, 2009
74 FR 7838    PDF Version
17 CFR Parts 1, 30, and 140 Acknowledgment Letters for Customer Funds and Secured Amount Funds

Comment File: 09-002    Closing Date:  March 23, 2009 

January 21, 2009
74 FR 3475    PDF Version
17 CFR Part 38 Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations

Comment File: 09-001    Closing Date:  February 20, 2009 

See also: