CFTC 2006 Federal Register Announcements
Last modified on January 16, 2007
Proposed CFTC rules and other announcements requesting comments, including Exchange new contract applications and major rule amendments, posted for six weeks following either the close of the comment period or date of action, with comment file number and closing date.
Final rules, orders, and similar announcements not requesting comments, posted for six weeks following publication, with effective date.
Sunshine Act announcements, posted for four weeks following publication.
CFTC Privacy Act Systems of Records, most recent compilation.
CFTC Public Information Collection Requirements.
======================== SECTION A
========================
Proposed Rules and Amendments
71 FR 64171 (November 1, 2006)
17 CFR Part 170 Membership in a Registered Futures Association
Comment Files 06--009, closing date 12/01/2006
71 FR 60454 (October 13, 2006)
17 CFR Part 4 Electronic Filing of Notices of Exemption and Exclusion Under Part 4 of the Commission's Regulations
Comment Files 06--008, closing date 11/13/2006, see also 72 FR 1658 (January 16, 2007)
71 FR 57451 (September 29, 2006)
17 CFR Part 1 Limitations on Withdrawals of Equity Capital
Comment File 06--007, closing date 11/28/2006, see also 72 FR 1148 (January 10, 2007)
71 FR 54789 (September 19, 2006)
17 CFR Part 1 Financial Reporting Requirements for Introducing Brokers
Comment File 06--006, closing date 10/19/2006, see also 71 FR 67462 (November 22, 2006)
71 FR 52211 (September 1, 2006)
17 CFR Part 4 Advertising by Commodity Pool Operators, Commodity Trading Advisors, and the Principals Thereof
Correction, see also 71 FR 49387 (August 23, 2006)
17 CFR Part 4 Advertising by Commodity Pool Operators, Commodity Trading Advisors, and the Principals Thereof
Comment File 06--005, closing date 09/22/2006
17 CFR Part 38 Conflicts of Interest in Self-Regulation and Self- Regulatory Organizations
Extension of comment period through 09/07/2006, see also 71 FR 38740 (July 7, 2006)
Boards of Trade Located Outside of the United States and the Requirement To Become a Designated Contract Market or Derivatives Transaction Execution Facility
Extension of comment period through 08/01/2006, see also 71 FR 34070 (June 13, 2006)
17 CFR Part 38 Conflict of Interest in Self-Regulation and Self-Regulatory Organizations
Comment File 06--004, closing date 08/07/2006, see also 71 FR 43681 (August 2, 2006)
Comprehensive Review of the Commitments of Traders Reporting Program
Comment File 06--003, closing date 08/21/2006
Boards of Trade Located Outside of the United States and the Requirement To Become a Designated Contract Market or Derivatives Transaction Execution Facility
Comment File 06--002, closing date 07/12/2006, see also 71 FR 40081 (July 14, 2006), 71 FR 64443 (November 2, 2006)
17 CFR Part 41 Securities and Exchange Commission 17 CFR Part 240 Joint Proposed Rules: Application of the Definition of Narrow-Based Securities Index to Debt Securities Indexes and Securities Indexes and Security Futures on Debt Securities
Comment File 06--001, closing date 05/10/2006, see also 71 FR 39534 (July 13, 2006)
71 FR 8889 (February 21, 2006)
17 CFR Parts 1, 145 and 147 Alternative Market Risk and Credit Risk Capital Charges for Futures Commission Merchants and Specified Foreign Currency Forward and Inventory Capital Charges
Correction, see also 71 FR 5587 (February 2, 2006)
17 CFR Part 4 Commodity Pool Operator Electronic Filing of Annual Reports
Corrections, see also 70 FR 74240 (December 15, 2005)
======= Return to Top ========
======================== SECTION B
========================
Final Rules and Orders
71 FR 74126 (December 11, 2006)
17 CFR Ch. I Regulatory Flexibility Agenda
71 FR 67462 (November 22, 2006)
17 CFR Part 1 Financial Reporting Requirements for Introducing Brokers
Final rulemaking, effective date 12/22/2006, see also 71 FR 54789 (September 19 2006)
71 FR 64443 (November 2, 2006)
17 CFR Part 140 Boards of Trade Located Outside of the United States and No-Action Relief From the Requirement To Become a Designated Contract Market or Derivatives Transaction Execution Facility
Policy statement, effective date 11/02/2006, see also 71 FR 34070 (June 13, 2006)
17 CFR Part 30 Foreign Futures and Options Transactions
Amended Supplemental Order for Expanded Relief, effective date 07/17/2006
Fees for Reviews of the Rule Enforcement Programs of Contract Markets and Registered Futures Associations
Establishment of the FY 2006 schedule of fees, effective dates: The FY 2006 fees for Commission oversight of each SRO rule enforcement program must be paid by each of the named SROs in the amount specified by no later than September 11, 2006.
Notice of Renewal of the Global Markets Advisory Committee
17 CFR Part 41 Securities and Exchange Commission 17 CFR Part 240 Joint Final Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities
Joint final rules, effective date 08/14/2006, see also 71 FR 18030 (April 10, 2006)
17 CFR Parts 1, 15, 16, 17, 18, 19, 21, and 37 Market and Large Trader Reporting
Final Rules effective date 07/03/2006, see also 70 FR 74246 (December 15, 2005)
17 CFR Ch. I Regulatory Flexibility Agenda
Corrections to the Notice of Revision of Commission Policy Regarding the Listing of New Futures and Option Contracts by Foreign Boards of Trade That Have Received Staff No-Action Relief To Provide Direct Access to Their Automated Trading Systems From Locations In the United States
Notice, see also 71 FR 19877 (April 18, 2006)
Notice of Revision of Commission Policy Regarding the Listing of New Futures and Option Contracts by Foreign Boards of Trade That Have Received Staff No-Action Relief to Provide Direct Access to Their Automated Trading Systems From Locations in the United States
Notice, effective date 04/18/2006, see also 71 FR 21003 (April 24, 2006)
Recognition of Multilateral Clearing Organizations
Notice and order, effective date 02/27/2006
71 FR 9442 (February 24, 2006)
17 CFR Part 1 Definition of "Client" of a Commodity Trading Advisor
Final regulations, effective date03/27/2006, see also 70 FR 56608 (September 28, 2005)
71 FR 8939 (February 22, 2006)
17 CFR Part 4 Commodity Pool Operator Electronic Filing of Annual Reports
Final rulemaking, effective date 03/24/2006, see also 70 FR 74240 (December 15, 2005)
Foreign Futures and Options Transactions
Order, effective date 02/09/2006
In the Matter of the New York Mercantile Exchange, Inc. Petition To Extend Interpretation Pursuant to Section 1a (12) (C) of the Commodity Exchange Act
Order, effective date 02/04/2006
17 CFR Parts 1, 145 and 147 Alternative Market Risk and Credit Risk Capital Charges for Futures Commission Merchants and Specified Foreign Currency Forward and Inventory Capital Charges
Final rule, effective date 02/02/2006, see also 70 FR 58985 (October 11, 2005), 71 FR 8889 (February 21, 2006)
17 CFR Parts 36, 37, 38, 39 and 40 Technical and Clarifying Amendments to Rules for Exempt Markets, Derivatives Transaction Execution Facilities and Designated Contract Markets, and Procedural Changes for Derivatives Clearing Organization Registration Applications
Final rulemaking, effective date 02/13/2006, see also 70 FR 39672 (July 11, 2005)
======== Return to Top ========
======================== SECTION C
========================
Sunshine Act Announcements
71 FR 76279 (December 20, 2006)
Notice of Sunshine Act Meetings
Closed Commission Meeting 01/26/2007
71 FR 76279 (December 20, 2006)
Notice of Sunshine Act Meetings
Closed Commission Meeting 01/19/2007
71 FR 76279 (December 20, 2006)
Notice of Sunshine Act Meetings
Closed Commission Meeting 01/12/2007
71 FR 76279 (December 20, 2006)
Notice of Sunshine Act Meetings
Closed Commission Meeting 01/05/2007
71 FR 66919 (November 17, 2006)
Sunshine Act Meeting Notice
Closed Commission Meeting 12/29/2006
71 FR 66919 (November 17, 2006)
Sunshine Act Meeting Notice
Closed Commission Meeting 12/22/2006
71 FR 66919 (November 17, 2006)
Sunshine Act Meeting Notice
Closed Commission Meeting 12/15/2006
71 FR 66919 (November 17, 2006)
Sunshine Act Meeting Notice
Closed Commission Meeting 12/08/2006
71 FR 66919 (November 17, 2006)
Sunshine Act Meeting Notice
Closed Commission Meeting 12/01/2006
71 FR 62252 (October 24, 2006)
Sunshine Act Meeting
Closed Commission Meeting 11/26/2006
71 FR 61031 (October 17, 2006)
Sunshine Act Meeting
Closed Commission Meeting 11/24/2006
71 FR 61031 (October 17, 2006)
Sunshine Act Meeting
Closed Commission Meeting 11/17/2006
71 FR 61031 (October 17, 2006)
Sunshine Act Meeting
Closed Commission Meeting 11/03/2006
Sunshine Act Meeting
Closed Commission Meeting 10/25/2006
71 FR 5480 (September 19, 2006)
Sunshine Act Meeting
Closed Commission Meeting 10/27/2006
71 FR 5480 (September 19, 2006)
Sunshine Act Meeting
Closed Commission Meeting 10/20/2006
71 FR 5480 (September 19, 2006)
Sunshine Act Meeting
Closed Commission Meeting 10/13/2006
71 FR 5480 (September 19, 2006)
Sunshine Act Meeting
Closed Commission Meeting 10/06/2006
Sunshine Act Meeting
Closed Commission Meeting 09/29/2006
Sunshine Act Meeting
Closed Commission Meeting 09/22/2006
Sunshine Act Meeting
Closed Commission Meeting 09/15/2006
Sunshine Act Meeting
Closed Commission Meeting 09/08/2006
Sunshine Act Meeting
Closed Commission Meeting 09/01/2006
Sunshine Act Meeting
Closed Commission Meeting 08/25/2006
Sunshine Act Meeting
Closed Commission Meeting 08/18/2006
Sunshine Act Meeting
Closed Commission Meeting 08/11/2006
Sunshine Act Meeting
Closed Commission Meeting 08/04/2006
Sunshine Act Notice; Agricultural Advisory Committee Meeting
Open Commission Meeting 08/01/2006
Sunshine Act Meeting
Closed Commission Meeting 07/28/2006
Sunshine Act Meeting
Closed Commission Meeting 07/21/2006
Sunshine Act Meeting
Closed Commission Meeting 07/14/2006
Sunshine Act Meeting
Closed Commission Meeting 07/07/2006
Sunshine Act Meeting
Closed Commission Meeting 06/16/2006
Sunshine Act Meeting
Changes in the Hearing: The time of the public hearing on the issue of What constitutes a Board of Trade Located Outside of the United States Under Section 4 (a) of the Commodity Exchange Act has been changed to 9 a.m. on 6/27/2006
Sunshine Act Meeting
Closed Commission Meeting 06/16/2006
Sunshine Act Meeting
Open Commission Meeting 06/27/2006, see also 71 FR 32059 (June 2, 2006)
Sunshine Act Meetings
Closed Commission Meeting 06/30/2006
Sunshine Act Meetings
Closed Commission Meeting 06/23/2006
Sunshine Act Meetings
Closed Commission Meeting 06/16/2006
Sunshine Act Meetings
Closed Commission Meeting 06/09/2006
Sunshine Act Meetings
Closed Commission Meeting 06/02/2006
Sunshine Act Meetings
Closed Commission Meeting 05/26/2006
Sunshine Act Meetings
Closed Commission Meeting 05/19/2006
Sunshine Act Meetings
Closed Commission Meeting 05/12/2006
Sunshine Act Meetings
Closed Commission Meeting 05/05/2006
Sunshine Act Meeting
Closed Commission Meeting 04/28/2006
Sunshine Act Meeting
Closed Commission Meeting 04/21/2006
Sunshine Act Meeting
Closed Commission Meeting 04/14/2006
Sunshine Act Meeting
Closed Commission Meeting 04/07/2006
71 FR 9786 (February 27, 2006)
Sunshine Act Meeting
Closed Commission Meeting 03/08/2006
71 FR 9096 (February 22, 2006)
Sunshine Act Meeting
Closed Commission Meeting 03/31/2006
71 FR 9096 (February 22, 2006)
Sunshine Act Meeting
Closed Commission Meeting 03/24/2006
71 FR 9096 (February 22, 2006)
Sunshine Act Meeting
Closed Commission Meeting 03/17/2006
71 FR 9096 (February 22, 2006)
Sunshine Act Meeting
Closed Commission Meeting 03/10/2006
71 FR 9096 (February 22, 2006)
Sunshine Act Meeting
Closed Commission Meeting 03/03/2006
Sunshine Act Meeting
Closed Commission Meeting 02/24/2006
Sunshine Act Meeting
Closed Commission Meeting 02/17/2006
Sunshine Act Meeting
Closed Commission Meeting 02/10/2006
Sunshine Act Meeting
Closed Commission Meeting 02/03/2006
======== Return to Top ========
======================== SECTION E ========================
CFTC Public Information Collection Requirements
71 FR 77740 (December 27,2006)
Agency Information Collection Activities: Notice of Intent to Renew Collection 3038-0019, Stocks of Grain in Licenses Warehouses
Notice
71 FR 59448 (October 10, 2006)
Public Information Collection requirement Submitted to Office of Management and Budget (OMB) for Review
Notice of Submission of Information Collection 3038 - 0017, Market Surveys
71 FR 52323 (September 5, 2006)
Agency Information Collection Activities Under OMB Review
Notice; Information collection 3038-0031, Procurement
Agency Information Collection Activities: Notice of Intent to Renew Collection 3038-0017, Market Surveys
Notice
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0031, Procurement Contracts
Notice
Agency Information Collection Activities Under OMB Review
Notice; Information Collection 3038-0043, Rules Relating to Review of National Futures Association Decision in Disciplinary, Membership Denial, Registration, and Member Responsibility Actions.
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0043, Rules Relating To Review of National Futures Association Decisions in Disciplinary, Membership Denial, Registration, and Member Responsibility Actions
Notice
======== Return to Top ========