The Federal Register

Request for Comment on a Petition To Exempt Certain Over-the- Counter Agricultural Swaps From Certain of the

Fri, Nov 13 2009 11:00:00 GMT

The Commodity Futures Trading Commission (Commission) is requesting comment on whether to exempt certain overthecounter (OTC) swaps from certain of the requirements otherwise imposed by Commission Regulation 35.2. Specifically, the Kansas City Board of Trade (KCBT), a designated contract market, and the Kansas City Board of Trade Clearing Corporation (KCBTCC), a registered derivatives clearing organization (DCO), have petitioned for an exemption permitting them to list for clearing and to clear, respectively, wheat calendar swaps. Authority for granting such an exemption is found in Section 4(c) of the Commodity Exchange Act (CEA).

Commodity Pool Operator Periodic Account Statements and Annual Financial Reports

Mon, Nov 9 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is amending its regulations governing the periodic account statements that commodity pool operators (``CPOs'') are required to provide to commodity pool participants and the annual financial reports that CPOs are required to provide to commodity pool participants and file with the National Futures Association (``NFA''). The amendments: specify detailed information that must be included in the periodic account statements and annual reports for commodity pools with more than one series or class of ownership interest; clarify that the periodic account statements must disclose either the net asset value per outstanding participation unit in the pool, or the total value of a participant's interest or share in the pool; extend the time period for filing and distributing annual reports of commodity pools that invest in other funds; codify existing Commission staff interpretations regarding the proper accounting treatment and financi

Sunshine Act Meetings

Fri, Oct 30 2009 11:00:00 GMT

Sunshine Act Meeting Notice

Fri, Oct 30 2009 11:00:00 GMT

Meetings; Sunshine Act

Fri, Oct 30 2009 11:00:00 GMT

Sunshine Act Meeting Notice

Fri, Oct 30 2009 11:00:00 GMT

Meetings; Sunshine Act

Fri, Oct 30 2009 11:00:00 GMT

Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule

Mon, Oct 26 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the PJM \1\ WH \2\ Real Time Peak Daily (``PDP'') contract; PJM WH Real Time Peak (``PJM'') contract; PJM WH Real Time OffPeak (``OPJ'') contract; PJM WH Day Ahead LMP \3\ Peak Daily (``PDA'') contract; and PJM WH Real Time OffPeak Daily (``ODP'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), perform significant price discovery functions. Authority for this action is found in Section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
\1\ The acronym ``PJM'' stands for Pennsylvania New Jersey Maryland Interconnection, LLC (``PJM Interconnection''), and signifies the regional electricity transmission organization that

Electronic Filing of Financial Reports and Notices

Tue, Oct 13 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend certain of its regulations in connection with electronic filing of financial reports and other notices (``Proposal''). The Proposal would broaden the language in the Commission's regulations applicable to electronic filings of financial reports to clarify that, to the extent a futures commission merchant (``FCM'') submits a Form 1FR to the Commission electronically, it may do so using any user authentication procedures established or approved by the Commission. The Proposal also would permit registrants to electronically submit filings in addition to financial reports, including an election to use a noncalendar fiscal year, requests for extensions of time to file uncertified financial reports and ``early warning'' notices required under Commission regulations. In connection with the filing of financial reports, the Commission also is proposing to specify, consistent with other requirements and existing p

Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule

Fri, Oct 9 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the HSC \1\ Financial Basis (``HSC'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), perform a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
\1\ The acronym ``HSC'' indicates the Houston Ship Channel, which is a conduit for ocean going vessels between the city of Houston, Texas, and the Gulf of Mexico.

Sunshine Act Meetings

Fri, Oct 9 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Sunshine Act Meetings
Time and Date: 11 a.m., Tuesday, October 27, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Rule Enforcement Review Meeting.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E924560 Filed 10709; 4:15 pm]
BILLING CODE 635101P

Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule

Fri, Oct 9 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the AECO Financial Basis (``AEC'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.

Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule

Fri, Oct 9 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the PG&E Citygate Financial Basis (``PGE'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.

Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule

Fri, Oct 9 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the San Juan Financial Basis (``SNJ'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection [[Page 52189]]
with this evaluation, the Commission invites comment from interested parties.

Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule

Fri, Oct 9 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Malin Financial Basis (``MLN'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.

Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule

Fri, Oct 9 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Chicago Financial Basis (``DGD'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.

Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule

Fri, Oct 9 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the TCO Financial Basis (``TCO'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.

Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule

Fri, Oct 9 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the TETCO M3 Financial Basis (``TMT'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under sections 2(h)(3)(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.

Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule

Fri, Oct 9 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the NGPL \1\ TxOk \2\ Financial Basis (``NTO'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under sections 2(h)(3)(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
\1\ The acronym ``NGPL'' represents the Natural Gas Pipeline Co. of America.
\2\ The acronym ``TxOk'' represents the Texas/Oklahoma natural gas hub.

Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule

Fri, Oct 9 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the DominionSouth Financial Basis contract (``DOM''), offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under sections 2(h)(3)(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.

Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule

Fri, Oct 9 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Waha Financial Basis contract (``WAH''), offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.

Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule

Fri, Oct 9 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Zone 6NY Financial Basis (``TZS'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.

Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule

Fri, Oct 9 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the Permian Financial Basis (``PER'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under sections 2(h)(3)(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.

Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule

Tue, Oct 6 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the MidC Financial Peak (``MDC'') contract; MidC Financial Peak Daily (``MPD'') contract; MidC Financial OffPeak (``OMC'') contract; and MidC Financial OffPeak Daily (``MXO'') contract, offered for trading on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), perform significant price discovery functions. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.

Notice of Intent, Pursuant to the Authority in Section 2(h)(7) of the Commodity Exchange Act and Commission Rule

Tue, Oct 6 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is undertaking a review to determine whether the SP15 Financial DayAhead LMP \1\ Peak (``SPM'') contract; SP15 Financial DayAhead LMP Peak Daily (``SDP'') contract; SP15 Financial DayAhead LMP OffPeak Daily (``SQP'') contract; SP15 Financial Swap Real Time LMPPeak Daily (``SRP'') contract; SP15 Financial DayAhead LMP Off Peak Contract (``OFP''); NP15 Financial DayAhead LMP Peak Daily (``DPN'') contract; and NP15 Financial DayAhead LMP OffPeak Daily (``UNP'') contract, offered for trading on the
IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under Sections 2(h)(3)(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), perform significant price discovery functions. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c)
[[Page 51265]]
promulgated thereunder. In connection with this evaluation, the Commission invites comment from interested parties.
\1\

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0031, Procurement Contracts

Fri, Oct 2 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``the Commission'') is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act of 1995 (PRA), 44 U.S.C. 3501 et seq., Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, and to allow 60 days for comment in response to the notice. This notice solicits comments on requirements relating to information collected to assist the Commission in soliciting and awarding contracts.
[[Page 50958]]

Sunshine Act Meetings

Tue, Sep 22 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday, October 9, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance Matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E922895 Filed 91809; 4:15 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Tue, Sep 22 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Wednesday, October 21, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Enforcement Matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E922892 Filed 91809; 4:15 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Tue, Sep 22 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 2 p.m., October 16, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Enforcement Matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E922896 Filed 91809; 4:15 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Tue, Sep 22 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday, October 30, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room
Status: Closed.
Matters To Be Considered: Surveillance Matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E922893 Filed 91809; 4:15 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Tue, Sep 22 2009 11:00:00 GMT

Sunshine Act Meetings

Tue, Sep 22 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday, October 2, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance Matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E922894 Filed 91809; 4:15 pm]
BILLING CODE 635101P

Fees for Reviews of the Rule Enforcement Programs of Contract Markets and Registered Futures Associations

Tue, Sep 8 2009 11:00:00 GMT

The Commission charges fees to designated contract markets and registered futures associations to recover the costs incurred by the Commission in the operation of its program of oversight of self regulatory organization (SRO) rule enforcement programs (17 CFR part 1 Appendix B) (National Futures Association (NFA), a registered futures association, and the contract markets are referred to as SROs). The calculation of the fee amounts to be charged for FY 2009 is based upon an average of actual program costs incurred during FY 2006, 2007, and 2008, as explained below. The FY 2009 fee schedule is set forth in the SUPPLEMENTARY INFORMATION. Electronic payment of fees is required.

Sunshine Act Meetings

Tue, Sep 1 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday, September 25, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance Matters.
Contact Person for More Information: Sauntia S. Warfield, 202418 5084.
Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E921151 Filed 82809; 12:00 am]
BILLING CODE 635101P

Sunshine Act Meetings

Tue, Sep 1 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission Time And Date: 11 a.m., Friday September 4, 2009
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room
Status: Closed
Matters To Be Considered: Surveillance matters
Contact Person for More Information: Sauntia S. Warfield, 202418 5084.
Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E921164 Filed 82809; 4:15 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Tue, Sep 1 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday September 18, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance Matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E921152 Filed 82809; 11:15 am]
BILLING CODE 635101P

Sunshine Act Meetings

Tue, Sep 1 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 2 p.m., September 16, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Enforcement Matters.
Contact Person for More Information: Sauntia S. Warfield, 202418 5084.
Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E921161 Filed 82809; 11:15 am]
BILLING CODE 635101P

Sunshine Act Meetings

Tue, Sep 1 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday September 11, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance Matters.
Contact Person for More Information: Sauntia S. Warfield, 202418 5084.
Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E921163 Filed 82809; 11:15 am]
BILLING CODE 635101P

Account Class

Thu, Aug 13 2009 11:00:00 GMT

The Commodity Futures Trading Commission (the ``Commission'') proposes amending its regulations (the ``Regulations'') to create a sixth and separate ``account class,'' applicable only to the bankruptcy of a commodity broker that is a futures commission merchant (``FCM''), for positions in cleared overthecounter (``OTC'') derivatives (and money, securities, and/or other property margining, guaranteeing, and securing such positions). In general, the concept of ``account class'' governs the manner in which the trustee calculates the net equity (i.e., claims against the estate) and the allowed net equity (i.e., pro rata share of the estate) for each customer of a commodity broker in bankruptcy. The Commission further proposes amending the Regulations to codify the appropriate allocation, in a bankruptcy of any commodity broker, of positions in commodity contracts of one account class (and the money, securities, and/or other property margining, guaranteeing, or securing such positions) that are comm

Contract Market Rules Altered or Supplemented by the Commission

Thu, Aug 6 2009 11:00:00 GMT

Regulation 7.201 of the Commodity Futures Trading Commission (``Commission'') alters and supplements Chicago Board of Trade (``CBOT'') Rule 620.01(B) by requiring members of the CBOT to submit to arbitration of any customer claim or grievance initiated by the customer according to the arbitration rules and regulations of the CBOT. On November 25, 2007, following the merger of Chicago Mercantile Exchange (``CME'') Holdings, Inc. with CBOT Holdings, Inc., CBOT Rule 620.01(B) was superseded by new CBOT Rule 600.D. Like Regulation 7.201, new Rule 600.D specifically requires exchange members to submit to customerinitiated arbitrations. Accordingly, on petition of The CME Group Inc., CBOT's parent company, Regulation 7.201 is being repealed by the Commission as no longer necessary.

Determination of Appropriateness of the Supervision by the Bundesanstalt f[uuml]r Finanzdienstleistungaufsicht

Thu, Aug 6 2009 11:00:00 GMT

The Commodity Futures Trading Commission (CFTC) is issuing an order, pursuant to Section 409(b)(3) of FDICIA, stating that the supervision provided by BaFin, in conjunction with the Bundesbank, with respect to the clearing activities of Eurex satisfies appropriate standards (the Order). The Order will permit Eurex to operate a multilateral clearing organization (MCO) in the United States for any overthecounter (OTC) derivative instrument.

Sunshine Act; Notice of Meeting

Thu, Jul 30 2009 11:00:00 GMT

Time and Date: 11 a.m., Friday, August 7, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance Matters.
Contact Person for More Information: Sauntia S. Warfield, 202418 5084.
Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E918340 Filed 72809; 4:15 pm]
BILLING CODE 635101P

Order Finding That the ICE Henry Financial LD1 Fixed Price Contract Traded on the IntercontinentalExchange, Inc.,

Thu, Jul 30 2009 11:00:00 GMT

On June 12, 2009, the Commodity Futures Trading Commission (``CFTC'' or ``Commission'') published for comment in the Federal Register \1\ a notice of its intent to undertake a determination whether the Henry Financial LD1 Fixed Price contract, traded on the IntercontinentalExchange, Inc. (``ICE''), an exempt commercial market (``ECM'') under sections 2(h)(3)(5) of the Commodity Exchange Act (``CEA'' or the ``Act''), performs a significant price discovery function pursuant to section 2(h)(7) of the CEA. The Commission undertook this review based upon an initial evaluation of information and data provided by ICE as well as a Commission report on ECMs. The Commission has reviewed public comments and the entire record in this matter and has determined to issue an order finding that the ICE Henry Financial LD1 Fixed Price contract performs a significant price discovery function. Authority for this action is found in section 2(h)(7) of the CEA and Commission rule 36.3(c) promulgated thereunder. \

Sunshine Act; Notice of Meeting

Thu, Jul 30 2009 11:00:00 GMT

Time and Date: 2 p.m., Wednesday, August 19, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Enforcement Matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E918342 Filed 72809; 4:15 pm]
BILLING CODE 635101P

Sunshine Act; Notice of Meeting

Thu, Jul 30 2009 11:00:00 GMT

Time and Date: 11 a.m., Friday, August 21, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance Matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E918344 Filed 72809; 4:15 pm]
BILLING CODE 635101P

Sunshine Act; Notice of Meeting

Thu, Jul 30 2009 11:00:00 GMT

Time and Date: 11 a.m., Friday, August 14, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance Matters.
Contact Person for More Information: Sauntia S. Warfield, 202418 5084.
Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E918347 Filed 72809; 4:15 pm]
BILLING CODE 635101P

Sunshine Act; Notice of Meeting

Thu, Jul 30 2009 11:00:00 GMT

Time and Date: 11 a.m., Friday, August 28, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters To Be Considered: Surveillance Matters.
Contact Person for More Information: Sauntia S. Warfield, 202418 5084.
Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E918346 Filed 72809; 4:15 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Tue, Jul 21 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission (Commission).
Dates and Time: Tuesday, July 28, 2009, Wednesday, July 29, 2009 and Wednesday, August 5, 2009, commencing each day at 9 a.m. and ending at 1 p.m.
Place: Three Lafayette Center, 1155 21st St., NW., Washington, DC, Lobby Level Hearing Room (Room 1000).
Status: Open.
Matters To Be Considered: Public hearings to examine Federal position limits, particularly as related to the energy markets, and hedge exemptions on regulated futures exchanges, derivatives transaction execution facilities and electronic trading facilities with respect to a significant price discovery contract.
Contact Persons and Addresses: Written materials should be mailed to the Commodity Futures Trading Commission, Three Lafayette Center, 1155 21st Street, NW., Washington, DC 20581, attention Office of the Secretariat; transmitted by facsimile at 2024185521; or transmitted electronically to [secretary@cftc.gov].

Account Ownership and Control Report

Thu, Jul 2 2009 11:00:00 GMT

The Commission has determined to collect certain ownership, control, and related information for all trading accounts active on U.S. futures exchanges. The information collected will enhance market transparency, leverage the Commission's existing surveillance systems, and foster synergies between its market surveillance, trade practice, enforcement, and economic research programs. The Commission will collect relevant data via an account ``Ownership and Control Report'' (``OCR'') submitted periodically by all reporting entities.\1\ Tentatively, the OCR will include a trading account number; the names and addresses of the account's owners and controllers; the last four digits of the owners' and controllers' social security or tax ID numbers; the special account number, if one has been assigned; an indication of whether the account is a reportable account pursuant to large trader thresholds set forth under Part 18 of the Commission's regulations; and other relevant information.\2\ This Advanced [[

Meetings; Sunshine Act

Mon, Jun 22 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 2 p.m., July 15, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters To Be Considered: Enforcement Matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E914646 Filed 61809; 11:15 am]
BILLING CODE 635101P

Meetings; Sunshine Act

Fri, Jun 19 2009 11:00:00 GMT

Meetings; Sunshine Act

Fri, Jun 19 2009 11:00:00 GMT

Meetings; Sunshine Act

Fri, Jun 19 2009 11:00:00 GMT

Meetings; Sunshine Act

Fri, Jun 19 2009 11:00:00 GMT

Agency Information Collection Activities Under OMB Review

Tue, Jun 16 2009 11:00:00 GMT

In compliance with the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office of Management and Budget (OMB) for review and comment. The ICR describes the nature of the information collection and its expected costs and burden; it includes the actual data collection instruments [if any].

Sunshine Act Meetings

Thu, May 28 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday, June 12, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters To Be Considered: Surveillance Matters.
Contact Person for More Information: Sauntia S. Warfield, 202418 5084.
Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E912593 Filed 52609; 4:15 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Thu, May 28 2009 11:00:00 GMT

Sunshine Act Meetings

Thu, May 28 2009 11:00:00 GMT

Sunshine Act Meetings

Thu, May 28 2009 11:00:00 GMT

Sunshine Act Meetings

Thu, May 28 2009 11:00:00 GMT

Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions

Fri, May 22 2009 11:00:00 GMT

The Commodity Futures Trading Commission (Commission) is seeking public comment on possible changes to its regulations regarding the investment of customer funds segregated pursuant to Section 4d of the Commodity Exchange Act (customer segregated funds) and funds held in an account subject to Commission Regulation 30.7 (30.7 funds). Commission Regulation 1.25 provides that a derivatives clearing organization (DCO) or a futures commission merchant (FCM) holding customer segregated funds may invest those funds in certain permitted investments subject to specified requirements that are designed to minimize exposure to credit, liquidity, and market risks. The Commission is considering significantly revising the scope and character of these permitted investments and is seeking public comment before issuing proposed rule amendments. Additionally, in conjunction with its consideration of possible amendments to Regulation 1.25, the Commission is considering applying the investment requirements of Regu

Concept Release on Whether To Eliminate the Bona Fide Hedge Exemption for Certain Swap Dealers and Create a New

Fri, May 22 2009 11:00:00 GMT

On March 24, 2009, the Commodity Futures Trading Commission (``Commission'') published a 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. Comments on the proposal were originally due by May 26, 2009. Now, at the request of interested parties, the Commission is extending the comment period to June 16, 2009.

Revised Adjusted Net Capital Requirements for Futures Commission Merchants and Introducing Brokers

Thu, May 7 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``Commission'') proposes to amend its regulations that prescribe minimum adjusted net capital (``ANC'') requirements for futures commission merchants (``FCMs'') and introducing brokers (``IBs''). The proposed amendments would increase the required minimum dollar amount of ANC, as defined in the regulations, that an FCM must maintain from $250,000 to $1,000,000. The proposed amendments also would increase the required minimum dollar amount of ANC that IBs must maintain from $30,000 to $45,000. The Commission also is proposing to amend the computation of an FCM's marginbased minimum ANC requirement to incorporate into the calculation customer and noncustomer positions in overthecounter derivative instruments that are submitted for clearing by the FCM to derivatives clearing organizations (``DCOs'') or other clearing organizations (``cleared OTC derivative positions''). In addition, the Commission is proposing to amend the regulations to require that FCM

Sunshine Act Meetings

Thu, May 7 2009 11:00:00 GMT

Time and Date: 2 p.m., Monday, May 18, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters To Be Considered: Rule Enforcement Review.
Contact Person for More Information: Sauntia S. Warfield, 202418 5084.
Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E910741 Filed 5509; 4:15 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Fri, May 1 2009 11:00:00 GMT

Energy and Environmental Markets Advisory Committee Meeting

Wed, Apr 29 2009 11:00:00 GMT

This is to give notice that the Commodity Futures Trading Commission's Energy Markets Advisory Committee will conduct a public meeting on Wednesday, May 13, 2009. The meeting will take place in the first floor hearing room of the Commission's Washington, DC headquarters, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 from 8 a.m. to 12 p.m. The purpose of the meeting is to discuss energy and environmental market issues. The meeting will be chaired by Commissioner Bart Chilton, who is Chairman of the Energy and Environmental Markets Advisory Committee.

The agenda will consist of the following:
(1) Call to Order and Introduction;
(2) Current Market and Regulatory Developments;
(3) Environmental Commodity Markets: The CFTC and a Carbon Constrained World;
(4) Energy Price Volatility and Consumers;
(5) Discussion of Future Meetings and Topics;

(6) Adjournment.

The meeting is open to the public. Any member of the public who wishes to file a written st

Sunshine Act Meetings

Tue, Apr 28 2009 11:00:00 GMT

Time and Date: 11:00 a.m., Friday, May 1, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters To Be Considered: Surveillance Matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E99696 Filed 42409; 11:15 am]
BILLING CODE 635101P

Sunshine Act Meetings

Tue, Apr 28 2009 11:00:00 GMT

Time and Date: 11 a.m., Friday, May 15, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters To Be Considered: Surveillance Matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E99701 Filed 42409; 11:15 am]
BILLING CODE 635101P

Notice of Sunshine Act Meetings

Tue, Apr 28 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday, May 8, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters To Be Considered: Surveillance Matters.

Sunshine Act Meetings

Tue, Apr 28 2009 11:00:00 GMT

Time and Date: 2 p.m., Wednesday, May 20, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters To Be Considered: Enforcement Matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E99702 Filed 42409; 11:15 am]
BILLING CODE 635101P

Sunshine Act Meetings

Tue, Apr 28 2009 11:00:00 GMT

Sunshine Act Meetings

Tue, Apr 28 2009 11:00:00 GMT

Time and Date: 11 a.m., Friday, May 22, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance Matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E99703 Filed 42409; 11:15 am]
BILLING CODE 635101P

Sunshine Act Meetings

Tue, Apr 28 2009 11:00:00 GMT

Time and Date: 11 a.m., Wednesday, May 6, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters To Be Considered: DCIO Risk Surveillance.
Contact Person For More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. E99700 Filed 42409; 11:15 am]
BILLING CODE 635101P

Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations

Mon, Apr 27 2009 11:00:00 GMT

The Commission hereby adopts its final definition of ``public director'' for the acceptable practices to Section 5(d)(15) (``Core Principle 15'') of the Commodity Exchange Act (``CEA'' or ``Act'').\1\ In addition, the Commission is lifting the stay it had previously placed on these acceptable practices. All designated contract markets (``DCMs'') must demonstrate full compliance with Core Principle 15, via the acceptable practices or otherwise, within one year of this document's publication in the Federal Register. The acceptable practices and their procedural history
[[Page 18983]]
are summarized below, as is the final definition of public director. \1\ The Act is codified at 7 U.S.C. 1 et seq. (2000). The acceptable practices for the DCM core principles reside in Appendix B to Part 38 of the Commission's Regulations, 17 CFR Part 38, App. B. Core Principle 15 states: ``CONFLICTS OF INTERESTThe board of trade shall establish and enforce rules to minimize conflicts of interest in the decision

Confidential Information and Commission Records and Information

Wed, Apr 15 2009 11:00:00 GMT

The Commodity Futures Trading Commission is adopting final rules to specify the exclusive procedures under which designated contract markets (DCMs), derivatives clearing organizations (DCOs) and derivatives transaction execution facilities (DTEFs) (collectively, ``regulated entities'') may request confidential treatment for products and rules submitted via certification procedures or for Commission review and approval under parts 40 and 41 of the Commission's regulations. The amendments also revise the Commission's part 145 regulations under the Freedom of Information Act by providing that the confidential treatment procedures specified in section 145.9 do not apply to information filed by regulated entities pursuant to parts 40 and 41.

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0043, Rules Relating To Review of

Thu, Apr 9 2009 11:00:00 GMT

The Commodity Futures Trading Commission (CFTC) is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act of 1995 (PRA), 44 U.S.C. 3501 et seq., Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information, and to allow 60 days for public comment in response to the notice. This notice solicits comments on rules relating to review of National Futures Association decisions in disciplinary, membership denial, registration, and member responsibility actions.

Establishment of Risk Management Advisory Committee

Wed, Apr 8 2009 11:00:00 GMT

The Commodity Futures Trading Commission has determined to establish a new advisory committee, the Risk Management Advisory Committee. The purpose of the committee is to conduct public meetings and to make reports and recommendations to the Commission on risk management issues involving or relevant to participants in the markets regulated by the Commission. The reports and
[[Page 15944]]
recommendations of the Risk Management Advisory Committee will be used by the Commission in evaluating regulatory and legislative issues falling within the Commission's statutory responsibilities. The committee also will serve as a vehicle for informed discussion of emerging issues relating to risk management and for communication regarding such issues among the Commission, market participants, regulators, and other relevant persons.

The Risk Management Advisory Committee will have no operational responsibilities. The Commission will seek to achieve a balanced membership by appointing representatives of

Sunshine Act Meetings

Thu, Apr 2 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday, April 24, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Staff Assistant.
[FR Doc. E97540 Filed 33109; 4:15 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Thu, Apr 2 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday April 17, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters To Be Considered: Surveillance matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Staff Assistant.
[FR Doc. E97531 Filed 33109; 4:15 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Thu, Apr 2 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 2 p.m., Wednesday April 15, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters To Be Considered: Enforcement matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Staff Assistant.
[FR Doc. E97541 Filed 33109; 4:15 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Thu, Apr 2 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday April 10, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters To Be Considered: Surveillance matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Staff Assistant.
[FR Doc. E97534 Filed 33109; 4:15 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Thu, Apr 2 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time And Date: 11 a.m., Friday April 3, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters To Be Considered: Surveillance matters.

Agricultural Advisory Committee; Thirteenth Renewal

Tue, Mar 31 2009 11:00:00 GMT

The Commodity Futures Trading Commission has determined to renew the charter of the Commission's Agricultural Advisory Committee for a further period of two years. The Commission certifies that the renewal of the advisory committee is in the public interest in connection with duties imposed on the Commission by the Commodity Exchange Act, 7 U.S.C. 1, et seq.

The objectives and scope of activities of the Agricultural Advisory Committee are to conduct public meetings and submit reports and recommendations on issues affecting agricultural producers, processors, lenders and others interested in or affected by agricultural commodities markets, and to facilitate communications between the Commission and the diverse agricultural and agriculturerelated organizations represented on the Committee. The Committee's membership represents a crosssection of interested and affected groups including representatives of producers, processors, lenders and other interested agricultural groups.

Intereste

Concept Release on Whether To Eliminate the Bona Fide Hedge Exemption for Certain Swap Dealers and Create a New

Tue, Mar 24 2009 11:00:00 GMT

In June and July of 2008, the Commodity Futures Trading Commission (''Commission'') issued a special call for information from swap dealers and index traders regarding their overthecounter (``OTC'') market activities. In September of 2008, the Commission released a ``Staff Report on Commodity Swap Dealers and Index Traders with Commission Recommendations'' (the ``September 2008 Report'') with several preliminary Commission recommendations. Recommendation five of the September 2008 Report directs the staff to develop an advance notice of proposed rulemaking that would review whether to eliminate the bona fide hedge exemption for swap dealers and replace it with a limited risk management exemption that is conditioned upon, among other things, an obligation to report to the CFTC and applicable self regulatory organizations when certain noncommercial swap clients reach a certain position level and/or a certification that none of a swap dealer's noncommercial swap clients exceed specified position li

Order (1) Pursuant to Section 4(c) of the Commodity Exchange Act, Permitting the Chicago Mercantile Exchange to Clear

Tue, Mar 24 2009 11:00:00 GMT

By petition dated April 21, 2008 (Petition), the Chicago Mercantile Exchange Inc. (CME), a registered derivatives clearing organization (DCO), and the Board of Trade of the City of Chicago, Inc. (CBOT), a designated contract market, requested permission to clear certain overthe counter (OTC) swap agreements (swaps) in corn, wheat, and soybeans. Authority for granting this request is found in Section 4(c) of the Commodity Exchange Act (Act).\1\ The Petition also requested permission pursuant to Section 4d of the Act \2\ to allow CME and futures commission merchants (FCMs) clearing through CME to commingle positions in those clearedonly OTC swaps (clearedonly contracts) and funds associated with those positions with positions and funds otherwise required to be held in a customer segregated account. The Commodity Futures Trading Commission (Commission) has reviewed public comments and the entire record in this matter and it has determined to issue an order granting the requested permission, subjec

Significant Price Discovery Contracts on Exempt Commercial Markets

Mon, Mar 23 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is promulgating final rules to implement those provisions of the CFTC Reauthorization Act of 2008 (``Reauthorization Act'') \1\ relating to exempt commercial markets (``ECMs'') on which significant price discovery contracts (``SPDCs'') are traded or executed. In addition to promulgating regulations mandated by the Reauthorization Act, the Commission also is amending existing regulations applicable to registered entities in order to clarify that such regulations are now applicable to ECMs with SPDCs.
\1\ Incorporated as Title XIII of the Food, Conservation and Energy Act of 2008, Public Law 110246, 122 Stat. 1624 (June 18, 2008).

Agency Information Collection Activities Under OMB Review

Mon, Mar 9 2009 11:00:00 GMT

Agency Information Collection Activities Under OMB Review

Mon, Mar 9 2009 11:00:00 GMT

Federal Register Notice Requesting Nominations for the Subcommittee on Convergence in Agricultural Commodity Markets

Mon, Mar 9 2009 11:00:00 GMT

The Commodity Futures Trading Commission (CFTC or Commission) is calling for nominations to the Subcommittee on Convergence in Agricultural Commodity Markets (Subcommittee on Convergence or Subcommittee) under the auspices of the Agricultural Advisory Committee. The Subcommittee on Convergence was established to identify the causes of poor cashfutures convergence in select agricultural commodity markets and advise the Commission on actions to remedy the situation. Nominations are sought for highly qualified representatives from government agencies, industry, exchanges, and groups representing interests or organizations involved with or affected by the convergence issues. Individuals seeking to be nominated to the Subcommittee on Convergence should possess demonstrable expertise in a related field or represent a stakeholder of interest in the issue. Prospective nominees should be open to participating in an open publicprivate forum.

Electronic Filing of Disclosure Documents

Thu, Mar 5 2009 11:00:00 GMT

The Commodity Futures Trading Commission (Commission or CFTC) is amending its regulations applicable to the filing of Disclosure Documents by commodity pool operators (CPOs) and commodity trading advisors (CTAs) with the National Futures Association (NFA). In response to a petition from NFA, the CFTC is requiring that CPOs and CTAs be required to file their Disclosure Documents electronically with NFA (Amendments).

Commodity Pool Operator Periodic Account Statements and Annual Financial Reports

Tue, Feb 24 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend its regulations governing the periodic account statements that commodity pool operators (``CPOs'') are required to provide to commodity pool participants and the annual financial reports that CPOs are required to provide to commodity pool participants and file with the National Futures Association (``NFA''). The proposed amendments would: Specify detailed information that must be included in the periodic account statements and annual reports for commodity pools with more than one series or class of ownership interest; clarify that the periodic account statements must disclose either the net asset value per outstanding participation unit in the pool, or the total value of a participant's interest or share in the pool; extend the time period for filing and distributing annual reports of commodity pools that invest in other funds; codify existing Commission staff interpretations regarding the proper account

Acknowledgment Letters for Customer Funds and Secured Amount Funds

Fri, Feb 20 2009 11:00:00 GMT

The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend its regulations regarding the required content of the acknowledgment letter that a registrant must obtain from any depository holding its segregated customer funds or funds of foreign futures or foreign options customers, and certain technical changes.

Sunshine Act Meetings

Fri, Jan 30 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday, February 6, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Staff Assistant.
[FR Doc. E92188 Filed 12809; 4:15 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Fri, Jan 30 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday, February 13, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Staff Assistant.
[FR Doc. E92190 Filed 12809; 4:15 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Fri, Jan 30 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 2 p.m., Wednesday, February 18, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Enforcement matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Staff Assistant.
[FR Doc. E92191 Filed 12809; 4:15 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Fri, Jan 30 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday, February 27, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Staff Assistant.
[FR Doc. E92187 Filed 12809; 4:15 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Fri, Jan 30 2009 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday, February 20, 2009.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. Sauntia S. Warfield,
Staff Assistant.
[FR Doc. E92189 Filed 12809; 4:15 pm]
BILLING CODE 635101P

Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations

Wed, Jan 21 2009 11:00:00 GMT

On January 31, 2007, the Commission adopted its first acceptable practices for Section 5(d)(15) (``Core Principle 15'') of the Commodity Exchange Act (``Act'').\1\ As with all other acceptable practices, those for Core Principle 15 are a safe harbor that designated contract markets (``DCMs'') can use to demonstrate core principle compliance. The acceptable practices contain four provisionsthree are ``operational provisions'' and one provides necessary definitions, including a definition of ``public director.'' All four provisions were published simultaneously in the Federal Register on February 14, 2007, and became effective on March 16, 2007.\2\ Existing DCMs were given a twoyear phasein period to implement the acceptable practices or otherwise demonstrate full compliance with Core Principle 15.
\1\ The Act is codified at 7 U.S.C. 1 et seq. (2000). The acceptable practices for the DCM core principles reside in Appendix B to Part 38 of the Commission's Regulations, 17 CFR Part 38, App. B.

Agency Information Collection Activities Under OMB Review

Wed, Jan 21 2009 11:00:00 GMT