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Date
Proposed Rules
12/06/2007
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:
PDF VersionNotice 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
11/27/2007
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
PDF Version17 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 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:
PDF Version17 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
09/27/2007
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:
PDF VersionPetition 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
08/23/2007
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:
PDF VersionPetition 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
08/14/2007
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:
PDF Version17 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
08/13/2007
72 FR 45225 // PDF Version
Privacy Act of 1974: System of Records
Comment File: 07-011 Closing Date: 09/12/2007
PDF VersionPrivacy Act of 1974: System of Records
Comment File: 07-011 Closing Date: 09/12/2007
08/13/2007
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:
PDF Version17 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
07/20/2007
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
PDF Version17 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 Version
17 CFR Part 18 Maintenance of Books, Records and Reports by Traders
Comment File: 07-008 Closing Date: 07/23/2007
See also:
PDF Version17 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
06/22/2007
72 FR 34417 // PDF Version
17 CFR Part 21 Special Calls
Comment File: 07-007 Closing Date: 07/23/2007
See also:
PDF Version17 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
05/14/2007
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:
PDF VersionProposal 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
05/01/2007
72 FR 23804 // PDF Version
Privacy Act of 1974: System of Records
Comment File: 07-005 Closing Date: 05/31/2007
PDF VersionPrivacy Act of 1974: System of Records
Comment File: 07-005 Closing Date: 05/31/2007
04/26/2007
72 FR 20788 // PDF Version
17 CFR Part 3 Registration of Intermediaries
Comment File: 07-004 Closing Date: 05/29/2007
PDF Version17 CFR Part 3 Registration of Intermediaries
Comment File: 07-004 Closing Date: 05/29/2007
04/11/2007
72 FR 18316 // PDF Version
17 CFR Parts 1, 3, 4, 15, and 166 Exemption from Registration for Certain Foreign Persons; Correction
See also:
PDF Version17 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
04/05/2007
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:
PDF VersionDepartment 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
04/02/2007
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:
PDF Version17 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
03/29/2007
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:
PDF VersionDepartment 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
03/26/2007
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:
PDF Version17 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