The Federal Register

Adjustment of Civil Monetary Penalties for Inflation

Fri, Oct 3 2008 11:00:00 GMT

The Commodity Futures Trading Commission (Commission) is amending its rule which governs the maximum amount of civil monetary penalties, to adjust for inflation. This rule sets forth the maximum, inflationadjusted dollar amount for civil monetary penalties (CMPs) assessable for violations of the Commodity Exchange Act (Act) and Commission rules and orders thereunder. The rule, as amended, implements the Federal Civil Penalties Inflation Adjustment Act of 1990, as amended by the Debt Collection Improvement Act of 1996. The rules also reflect the higher penalties enacted this year by Congress for violations of the Act prohibiting manipulation and attempted manipulation.

Interpretative Statement Regarding Funds Related to Cleared-Only Contracts Determined To Be Included in a Customer's

Thu, Oct 2 2008 11:00:00 GMT

This interpretation by the Commodity Futures Trading Commission (``Commission'') is issued to clarify the appropriate treatment under the commodity broker provisions of the Bankruptcy Code and Part 190 of the Commission's Regulations of claims arising from contracts (``clearedonly contracts'') that, although not executed or traded on a Designated Contract Market or a Derivatives Transaction Execution Facility, are subsequently submitted for clearing through a Futures Commission Merchant (``FCM'') to a Derivatives Clearing Organization (``DCO'').

Agency Information Collection Activities: Notification of Pending Legal Proceedings Pursuant to Regulation

Thu, Oct 2 2008 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 the rule requiring notification of pending legal proceedings pursuant to 17 CFR 1.60.

Sunshine Act Meetings

Thu, Oct 2 2008 11:00:00 GMT

Time and Date: 11 a.m., Wednesday, October 29, 2008.
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,
Staff Assistant.
[FR Doc. E823418 Filed 93008; 4:15 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Thu, Oct 2 2008 11:00:00 GMT

Time and Date: 11 a.m., Friday, October 24, 2008.
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. E823419 Filed 93008; 4:15 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Thu, Oct 2 2008 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission Time and Date: 11 a.m., Friday, October 17, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance Matters.
Contact Person for More Infor mation: Sauntia S. Warfield, 202418 5084.
Sauntia S. Warfield
Staff Assistant.
[FR Doc. E823420 Filed 93008; 4:15 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Thu, Oct 2 2008 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission Time and Date: 11 a.m., Friday, October 3, 2008.
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. E823421 Filed 93008; 4:15 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Thu, Oct 2 2008 11:00:00 GMT

Time And Date: 11 a.m., Friday, October 31, 2008.
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. E823425 Filed 93008; 4:15 pm]
BILLING CODE 635101P

Exemption From Registration for Certain Firms With Regulation 30.10 Relief

Thu, Sep 18 2008 11:00:00 GMT

The Commodity Futures Trading Commission (``Commission'') has amended the regulation concerning the registration of firms located outside the U.S. that are engaged in commodity interest activities with respect to trading on U.S. designated contract markets (``DCMs'') and U.S. derivatives transaction execution facilities (``DTEFs'').\1\ The amended regulation
[[Page 54070]]
codifies past actions of the Commission's staff to permit certain foreign firms that have confirmed relief from registration as futures commission merchants (``FCMs'') in accordance with the regulations to introduce to registered FCMs certain U.S. customers in connection with trading futures and commodity options listed on, or subject to the rules of, a U.S. DCM or DTEF without having to register as an introducing broker (``IB'') pursuant to Section 4d of the Commodity Exchange Act (``Act''). The Commission also has revoked the regulation regarding quarterly reporting requirements for foreign futures and foreign options trans

Execution of Transactions: Regulation 1.38 and Guidance on Core Principle 9

Thu, Sep 18 2008 11:00:00 GMT

The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is reproposing a number of amendments to its rules, guidance and acceptable practices, initially proposed on July 1, 2004,\1\ concerning trading off the centralized market, including the addition of guidance on contract market block trading rules and exchanges of futures for commodities or derivatives positions. The Commission is re proposing these amendments and requesting comment as part of its continuing efforts to update its regulations in light of the Commodity Futures Modernization Act of 2000 (``CFMA'').
\1\ 69 FR 39880.

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0052, Establishing Procedures for

Fri, Sep 12 2008 11:00:00 GMT

The Commodity Futures Trading Commission (Commission or 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 requirements relating to Part 38 of the Commission's regulations (17 CFR 38) establishing submission and compliance procedures for designated contract markets and applicant exchanges seeking designation with the CFTC.

Joint Audit Committee Operating Agreement

Thu, Sep 11 2008 11:00:00 GMT

The Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is publishing for public comment an agreement submitted by the Joint Audit Committee (``JAC'') for approval pursuant to Commission Regulation 1.52.\1\ The JAC is a voluntary, cooperative organization comprised of representatives of the financial surveillance staff of designated contract markets (``DCMs'') and the National Futures Association (``NFA'') and was formed for the purpose of coordinating the monitoring and examination of common futures commission merchant (``FCM'') members of such entities. The agreement governs the operation of the JAC and the manner by which the JAC will coordinate and cooperate in examining and monitoring FCMs for compliance with Commission and selfregulatory organization (``SRO'') minimum financial and related reporting requirements. The JAC is submitting the agreement to replace the current operating agreement, which has been in effect since 1984.
\1\ Commission regulations may be found at

Privacy Act of 1974; System of Records

Thu, Sep 11 2008 11:00:00 GMT

The CFTC proposes to adopt a new routine use that would permit disclosure of CFTC records governed by the Privacy Act when reasonably necessary to respond and prevent, minimize, or remedy harm that may result from an agency data breach or compromise.

Sunshine Act Meetings

Wed, Sep 10 2008 11:00:00 GMT

Agency Holding The Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday, September 19, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters To Be Considered: Surveillance Matters.

Sunshine Act Meetings

Wed, Sep 10 2008 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday, September 12, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters To Be Considered: Surveillance Matters.

Sunshine Act Meetings

Wed, Sep 10 2008 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 2 p.m., Wednesday, September 17, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Enforcement Matters.

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0051, Part 39 Derivatives Clearing

Tue, Sep 9 2008 11:00:00 GMT

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0015, Copies of Crop and Market

Tue, Sep 9 2008 11:00:00 GMT

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0021, Regulations Governing

Tue, Sep 9 2008 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 Regulations Governing Bankruptcies of Commodity Brokers.

Confidential Information and Commission Records and Information

Mon, Sep 8 2008 11:00:00 GMT

On August 1, 2008, the Commission published in the Federal Register a notice of proposed rulemaking to amend the procedures under which designated contract markets, derivatives clearing organizations and derivatives transaction execution facilities (collectively, ``registered entities'') may request confidential treatment for products and rules submitted via certification procedures or for Commission review and approval pursuant to parts 40 and 41 of the Commission's regulations.\1\ Comments on the proposal originally were due on September 2, 2008. The Commission is extending the comment period in order to give interested persons additional time to comment on the proposed amendments.
\1\ 73 FR 44939 (Aug. 1, 2008).

Sunshine Act Meetings

Thu, Aug 7 2008 11:00:00 GMT

Time and Date: 2 p.m., Wednesday August 20, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters To Be Considered: Enforcement Matters.

Sunshine Act Meetings

Thu, Aug 7 2008 11:00:00 GMT

Time and Date: 11 a.m., Friday August 29, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters To Be Considered: Surveillance Matters.

Sunshine Act Meetings

Thu, Aug 7 2008 11:00:00 GMT

Time and Date: 11 a.m., Friday August 15, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance Matters.

Confidential Information and Commission Records and Information

Fri, Aug 1 2008 11:00:00 GMT

On July 20, 2007, the Commission published in the Federal Register a notice of proposed rulemaking to amend the procedures under which designated contract markets (DCMs), derivatives clearing organizations (DCOs), and derivatives transaction execution facilities (DTEFs) (collectively, ``registered 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.\1\ Under the proposed amendments to Commission regulation 40.8, registered entities filing product and rule submissions would follow a procedure separate from the customary Freedom of Information Act (FOIA) confidential treatment procedures specified in Commission regulation 145.9, 17 CFR 145.9. As proposed to be amended, regulation 40.8(c) provided that: registered entities submitting material under parts 40 and 41 would be required to file a detailed written justification simultaneously with the reque

Determination of Appropriateness of Standards of the United Kingdom's Financial Services Authority for Oversight and

Thu, Jul 31 2008 11:00:00 GMT

The Commodity Futures Trading Commission (CFTC) is issuing an Order pursuant to Section 409(b)(3) of the Federal Deposit Insurance Corporation Improvement Act (FDICIA). Section 409(b)(3) provides that the Commission (or one of several other authorized U.S. financial regulators) may determine that the supervision by a foreign financial regulator of a multilateral clearing organization (MCO) for overthe counter (OTC) instruments satisfies appropriate standards. The Commission is issuing this Order with respect to the supervision by the United Kingdom's (UK) Financial Services Authority (FSA) of ICE Clear Europe Limited (ICE Clear Europe).

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

Thu, Jul 31 2008 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 2008 is based upon an average of actual program costs incurred during FY 2005, 2006, and 2007, as explained below. The FY 2008 fee schedule is set forth in the SUPPLEMENTARY INFORMATION. Electronic payment of fees is required.

Notice; Agricultural Advisory Committee Meeting

Mon, Jul 14 2008 11:00:00 GMT

The Commodity Futures Trading Commission's Agricultural Advisory Committee will conduct a public meeting on Tuesday, July 29, 2008. 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 9 a.m. to 4 p.m. The agenda is as follows:
I. Convergence and Basis
II. Settlement Prices, Margin Requirement, and Credit
III. Agricultural Swaps

IV. Ongoing Research

The meeting is open to the public. Any member of the public who wishes to file a written statement with the Advisory Committee should mail a copy of the statement to the attention of: Agricultural Advisory Committee, c/o Chairman, Michael V. Dunn, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581, before the meeting. Members of the public who wish to make oral statements should inform Chairman Dunn in writing at the foregoing address at least three business days

Limited Marketing Activities From a United States Location by Certain Firms and Their Employees or Other

Wed, Jul 9 2008 11:00:00 GMT

The Commodity Futures Trading Commission (``Commission'') is confirming that designated members of the Taiwan Futures Exchange (``TAIFEX'') may engage in limited marketing conduct with respect to foreign futures or options contracts within the U.S. through their employees or representatives consistent with prior Commission orders. This order is issued pursuant to Commission Regulation 30.10, which permits persons to file a petition with the Commission for exemption from the application of certain of the Regulations set forth in Part 30 and authorizes the Commission to grant such an exemption if such action would not be otherwise contrary to the public interest or to the purposes of the provision from which exemption is sought.

Request To Exempt Certain Over-the-Counter Swaps From Certain of the Requirements Imposed by Commission Regulation

Mon, Jul 7 2008 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 petitioners request authority to clear certain agricultural
[[Page 38404]]
swaps. This exemption has been requested by 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. Authority for extending this relief is found in Section 4(c) of the Commodity Exchange Act (``CEA'').\1\
\1\ 7 U.S.C. 6(c).

Notice; Global Markets Advisory Committee Meeting

Thu, Jun 26 2008 11:00:00 GMT

The Commodity Futures Trading Commission's Global Markets Advisory Committee will conduct a public meeting on Tuesday, July 15, 2008. 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 1:30 p.m. to 4:30 p.m. The purpose of the meeting is to obtain information on the views of industry and market users concerning direct market access (DMA). Topics to be addressed will include the risks and benefits of DMA, including the challenges to risk management, how exchanges and intermediaries have responded to these risks and whether there is a need for industry wide guidance.

Renewal of the Global Markets

Wed, Jun 18 2008 11:00:00 GMT

The Commodity Futures Trading Commission has determined to renew the charter of its Global Markets Advisory Committee. As required by sections 9(a)(2) and 14(a)(2)(A) of the Federal Advisory Committee Act, 5 U.S.C. app. 2, Sec. Sec. 9(a)(2) and 14(a)(2)(A), and 41 CFR 1016.1007 and 1016.1029, the Commission has consulted with the Committee Management Secretariat of the General Services
Administration. The Commission certifies that the renewal of this advisory committee is necessary and is in the public interest in connection with the performance of duties imposed on the Commission by the Commodity Exchange Act, 7 U.S.C. 1, et seq., as amended. This notice is published pursuant to section 9(a)(2) of the Federal Advisory Committee Act, 5 U.S.C. app. 2, Sec. 9(a)(2), and 41 CFR 1016.1015.

Revision of Federal Speculative Position Limits

Fri, Jun 6 2008 11:00:00 GMT

On November 21, 2007, the Commodity Futures Trading Commission (Commission or CFTC) published a proposed rulemaking to increase the Federal speculative position limits for certain agricultural commodity contracts set out in Commission regulation 150.2 (proposed rulemaking).\1\ The proposed rulemaking would have increased the singlemonth and allmonthscombined position limits for all contracts except contracts based on oats in accordance with the formula set out in Commission regulation 150.5(c). The proposed rulemaking would have also required the aggregation of traders' positions in contracts that share substantially identical terms with regulation 150.2enumerated contracts, regardless of whether such contracts were specifically delineated in that regulation, for the purposes of ascertaining compliance with the Federal speculative position limits. For the reasons provided below, the Commission has determined to withdraw the proposed rulemaking.
\1\ Revision of Federal Speculative Position L

Risk Management Exemption From Federal Speculative Position Limits

Fri, Jun 6 2008 11:00:00 GMT

On November 27, 2007, the Commodity Futures Trading Commission (Commission or CFTC) published proposed rules to create a ``risk management exemption'' from Federal speculative position limitsthe limits on the size of speculative positions that traders may hold or control in futures and futures equivalent option contracts on certain designated agricultural commodities. The Commission has determined to withdraw these proposed rules.

AGENCY: Commodity Futures Trading Commission.

Thu, Jun 5 2008 11:00:00 GMT

The Commodity Futures Trading Commission (Commission or CFTC) is exempting certain transactions in physically delivered futures contracts based on SPDR^[reg] Gold Shares
(SPDR^[reg] gold futures contracts) from those provisions of the Commodity Exchange Act (CEA or Act),\1\ and the Commission's regulations thereunder, that are inconsistent with the trading and clearing of SPDR^[reg] gold futures contracts as security futures. The exemption is conditioned on the compliance of transactions in SPDR^[reg] gold futures contracts with the requirements established for the trading and clearing of security futures. The authority for the issuance of this exemption is found in Section 4(c) of the Act.\2\
\1\ 7 U.S.C. 1 et seq.
\2\ 7 U.S.C. 6(c).

Order Exempting the Trading and Clearing of Certain Products Related to SPDR^[reg] Gold Trust Shares

Thu, Jun 5 2008 11:00:00 GMT

On April 23rd, 2008, the Commodity Futures Trading Commission (``CFTC'' or the ``Commission'') published for public comment in the Federal Register \1\ a proposal to exempt the trading and clearing of products called options on streetTRACKS [supreg] Gold Trust Shares (``ST Gold Options''), proposed to be traded on national securities exchanges, and cleared by The Options Clearing Corporation (``OCC''), from the provisions of the Commodity Exchange Act (``CEA'') \2\ and Commission regulations thereunder to the extent necessary for them to be so traded and cleared. The Commission has determined to issue this Order essentially as proposed. Authority for this exemption is found in Section 4(c) of the CEA.\3\
\1\ 73 FR 21917 (April 23, 2008)
\2\ 7 U.S.C. 1 et seq.
\3\ 7 U.S.C. 6(c).

Sunshine Act Meetings

Tue, May 27 2008 11:00:00 GMT

Time and Date: 11 a.m., Friday, June 27, 2008.
[[Page 30383]]
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. David A. Stawick,
Secretary of the Commission.
[FR Doc. 081294 Filed 52208; 11:35 am]
BILLING CODE 635101P

Sunshine Act Meetings

Tue, May 27 2008 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 1 p.m., Thursday, June 5, 2008.
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. David A. Stawick,
Secretary of the Commission.
[FR Doc. 081289 Filed 52208; 11:35 am]
BILLING CODE 635101P

Sunshine Act Meetings

Tue, May 27 2008 11:00:00 GMT

Time and Date: 11 a.m., Wednesday, June 11, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Risk Surveillance.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. David A. Stawick,
Secretary of the Commission.
[FR Doc. 081291 Filed 52208; 11:35 am]
BILLING CODE 635101P

Energy Markets Advisory Committee Meeting

Fri, May 23 2008 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 Tuesday, June 10, 2008. 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 1 p.m. to 4:30 p.m. The purpose of the meeting is to discuss energy market issues. The meeting will be chaired by Walter L. Lukken, who is Acting Chairman of the Commission and Chairman of the Energy Markets Advisory Committee.

The agenda will consist of the following:
(1) Call to Order and Introduction;
(2) Current Market and Regulatory Developments;
(3) Market Transparency;
(4) Energy Market Best Practices;
(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 statement with the committee should mail a copy of the statement to

Sunshine Act Meetings

Thu, May 22 2008 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday, June 6, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance Matters.

Sunshine Act Meetings

Thu, May 22 2008 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday, June 13, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance Matters.

Sunshine Act Meetings

Thu, May 22 2008 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday, June 20, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance Matters.

Sunshine Act Meeting

Thu, May 8 2008 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 2 p.m., Wednesday, May 21, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Rule Enforcement Review.
[[Page 26085]]

Concept Release on the Appropriate Regulatory Treatment of Event Contracts

Wed, May 7 2008 11:00:00 GMT

The Commodity Futures Trading Commission (Commission or CFTC) is soliciting comment on the appropriate regulatory treatment of financial agreements offered by markets commonly referred to as event, prediction, or information markets.\1\ For ease of reference and to avoid classification issues, these financial agreements are referred to herein as event contracts. In general, event contracts are neither dependent on, nor do they necessarily relate to, market prices or broadbased measures of economic or commercial activity.\2\ Rather, event contracts may be based on eventualities and measures as varied as the world's population in the year 2050, the results of political elections, or the outcome of particular entertainment events.\3\ The Commission's staff has received a substantial number of requests for guidance on the propriety of trading various event contracts under the regulatory rubric of the Commodity Exchange Act (CEA or Act). Given the substantive and practical concerns that may arise fr

Proposal To Exempt the Trading and Clearing of Certain Products Related to streetTRACKS[supreg] Gold Trust Shares

Wed, Apr 23 2008 11:00:00 GMT

The Commodity Futures Trading Commission (``CFTC'' or the ``Commission'') is proposing to exempt the trading and clearing of products called options on streetTRACKS[supreg] Gold Trust Shares (``ST Gold Options''), proposed to be traded on a national securities exchange, and cleared through the Options Clearing Corporation (``OCC''), from the provisions of the Commodity Exchange Act (``CEA'') \1\ and the regulations thereunder to the extent necessary to permit them to be so traded and cleared. Authority for this exemption is found in Section 4(c) of the CEA.\2\
\1\ 7 U.S.C. 1 et seq.
\2\ 7 U.S.C. 6(c).

Sunshine Act Meetings

Mon, Apr 21 2008 11:00:00 GMT

Time and Date: 11 a.m., Friday, May 16, 2008.
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.
David A. Stawick,
Secretary of the Commission.
[FR Doc. 081158 Filed 41608; 4:02 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Mon, Apr 21 2008 11:00:00 GMT

Time and Date: 2 p.m., Wednesday, May 21, 2008.
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. David A. Stawick,
Secretary of the Commission.
[FR Doc. 081159 Filed 41608; 4:02 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Mon, Apr 21 2008 11:00:00 GMT

Time and Date: 11 a.m., Friday, May 30, 2008.
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.
David A. Stawick,
Secretary of the Commission.
[FR Doc. 081160 Filed 41608; 4:02 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Mon, Apr 21 2008 11:00:00 GMT

Time and Date: 11 a.m., Wednesday, May 7, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Risk Surveillance Matters.
Contact Person for More Information: Sauntia S. Warfield, 2024185084. David A. Stawick,
Secretary of the Commission.
[FR Doc. 081161 Filed 41608; 4:02 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Mon, Apr 21 2008 11:00:00 GMT

Time and Date: 11 a.m., Friday, May 2, 2008.
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. David A. Stawick,
Secretary of the Commission.
[FR Doc. 081162 Filed 41608; 4:02 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Mon, Apr 21 2008 11:00:00 GMT

Time and Date: 11 a.m., Friday, May 9, 2008.
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: Secretary of the Commission. Sauntia S. Warfield, 2024185084.
David A. Stawick,
Secretary of the Commission.
[FR Doc. 081163 Filed 41608; 4:02 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Mon, Apr 21 2008 11:00:00 GMT

Time and Date: 1 p.m., Monday, May 19, 2008.
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, 2024185084. David A. Stawick,
Secretary of the Commission.
[FR Doc. 081164 Filed 41608; 4:02 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Mon, Apr 21 2008 11:00:00 GMT

Time and Date: 11 a.m., Friday, May 23, 2008.
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. David A. Stawick,
Secretary of the Commission.
[FR Doc. 081165 Filed 41608; 4:02 pm]
BILLING CODE 635101P

Agency Information Collection Activities Under OMB Review

Fri, Mar 28 2008 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].

Notice of Sunshine Act Meeting

Thu, Mar 27 2008 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Sunshine Act Meetings

Sunshine Act Meetings

Tue, Mar 18 2008 11:00:00 GMT

Time and Date: 11 a.m., Wednesday April 2, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Risk Surveillance.

Sunshine Act Meetings

Tue, Mar 18 2008 11:00:00 GMT

Time and Date: 11 a.m., Friday April 25, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance Matters

Sunshine Act Meetings

Tue, Mar 18 2008 11:00:00 GMT

Sunshine Act Meetings

Tue, Mar 18 2008 11:00:00 GMT

Time and Date: 11 a.m., Friday April 11, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance Matters.

Sunshine Act Meetings

Tue, Mar 18 2008 11:00:00 GMT

Time and Date: 11 a.m., Friday April 4, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance Matters.

Sunshine Act Meetings

Tue, Mar 18 2008 11:00:00 GMT

Proposed Exemptive Order for ST Gold Futures Contracts

Fri, Mar 14 2008 11:00:00 GMT

The Commodity Futures Trading Commission (Commission) is proposing to exempt certain transactions in physically delivered futures contracts based on streetTRACKS[reg] Gold Trust Shares (ST gold futures contracts) \1\ from those provisions of the Commodity Exchange Act (CEA or Act),\2\ and the Commission's regulations thereunder, that are inconsistent with the trading and clearing of ST gold futures contracts as security futures. The proposed exemption would be conditioned on the compliance of transactions in ST gold futures contracts with the requirements established for security futures. The authority for the issuance of this exemption is found in Section 4(c) of the Act.\3\
\1\ streetTRACKS[reg] is a registered service mark of State Street Corporation, an affiliate of State Street Global Markets, LLC, the marketing agent for the streetTRACKS[reg] Gold Trust. \2\ 7 U.S.C. 1 et seq.
\3\ 7 U.S.C. 6(c).

Sunshine Act Meeting

Thu, Feb 28 2008 11:00:00 GMT

Time and Date: 10 a.m., Friday, March 7, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Clearing and Intermediary Oversight Matters. Contact Person For More Information: Sauntia S. Warfield, 2024185084. David A. Stawick,
Secretary of the Commission.
[FR Doc. 08897 Filed 22608; 1:06 pm]
BILLING CODE 635101P

Sunshine Act Meetings

Mon, Feb 25 2008 11:00:00 GMT

Sunshine Act Meetings

Mon, Feb 25 2008 11:00:00 GMT

Agency Holding The Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday March 14, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters To Be Considered: Surveillance Matters.
For Further Information Contact: Sauntia S. Warfield, 2024185084. David A. Stawick,
Secretary of the Commission.
[FR Doc. 08845 Filed 22108; 11:53 am]
BILLING CODE 635101M

Sunshine Act Meetings

Mon, Feb 25 2008 11:00:00 GMT

Agency Holding The Meeting: Commodity Futures Trading Commission. Time And Date: 2 p.m., Wednesday March 19, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters To Be Considered: Enforcement Matters.

Sunshine Act Meetings

Mon, Feb 25 2008 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday March 21, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance Matters.
For Further Information Contact: Sauntia S. Warfield, 2024185084. David A. Stawick,
Secretary of the Commission.
[FR Doc. 08847 Filed 22108; 11:53 am]
BILLING CODE 635101M

Sunshine Act Meetings

Mon, Feb 25 2008 11:00:00 GMT

Agency Holding the Meeting: Commodity Futures Trading Commission. Time and Date: 11 a.m., Friday March 28, 2008.
Place: 1155 21st St., NW., Washingotn, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters to be Considered: Surveillance Matters.

Notice; Establishment of Energy Markets Advisory Committee

Fri, Feb 15 2008 11:00:00 GMT

The Commodity Futures Trading Commission has determined to establish a new advisory committee, the Energy Markets Advisory Committee. The purpose of the committee is to conduct public meetings, to submit reports and recommendations to the Commission, and otherwise to serve as a vehicle for discussion and communication on matters of concern to exchanges, firms, end users and regulators regarding energy markets and their regulation by the Commission. The Energy Markets Advisory Committee will have no operational responsibilities. The Commission will seek to achieve a balanced membership by appointing representatives of a cross section of the groups and interests involved in or affected by the Commission's actions in the energy area.

The charter of the Energy Markets Advisory Committee will become effective upon its filing pursuant to 5 U.S.C. App. 2 Sec. 9(c). The Commission expects to file the charter promptly upon completion of the 15 day notice period specified by 41 CFR 1023.65(b).

Amendments Pertinent to Registered Entities and Exempt Commercial Markets

Thu, Feb 14 2008 11:00:00 GMT

The Commission is adopting final regulations that effectuate the following amendments to the Commission's regulations. The amendments delegate the Commission's authority to issue special calls to exempt commercial markets to the Director of the Division of Enforcement and that Director's designees. The amendments clarify the process for listing, clearing, or implementing products or rules, including dormant products and rules, and amend the definition of emergency to clarify that persons other than persons comprising a registered entity's full governing board may declare an emergency on behalf of the governing board. The amendments also amend the approval period for designated contract market rules that may change a material term or condition of an enumerated agricultural futures or options contract. Lastly, the amendments clarify how far in advance of implementation registered entities must submit selfcertified contracts and rules to the Commission, and identify three additional categories of

Agency Information Collection Activities Under OMB Review; Activities; Notice of Intent To Renew Collection 3038-0026,

Wed, Feb 13 2008 11:00:00 GMT

Sunshine Act Meetings

Thu, Jan 31 2008 11:00:00 GMT

Time and Date: 1 p.m., Wednesday, March 5, 2008.
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, 2024185084. David A. Stawick,
Secretary of the Commission.
[FR Doc. 08456 Filed 12908; 1:03 pm]
BILLING CODE 635101P

Exemption From Registration for Certain Firms With Regulation 30.10 Relief

Fri, Jan 25 2008 11:00:00 GMT

The Commodity Futures Trading Commission (``Commission'') is proposing to amend the regulations regarding the registration of certain firms located outside the U.S. that are engaged in commodity interest activities with respect to trading on U.S. designated contract markets (``DCMs'') and U.S. derivative transaction execution facilities (``DTEFs'').\1\ The amended regulation would codify past actions of the Commission's staff permitting certain foreign firms that have confirmed relief from registration as futures commission merchants (``FCMs'') in accordance with the regulations to introduce to registered FCMs certain U.S. customers in connection with trading U.S. DCM and DTEF listed futures and commodity options without having to register as an introducing broker pursuant to section 4d of the Commodity Exchange Act (``Act''). The Commission also is proposing to revoke the regulations regarding quarterly reporting requirements for foreign futures and foreign options transactions.
\1\ Commis

Sunshine Act Meetings

Fri, Jan 25 2008 11:00:00 GMT

Time and Date: 10:30 a.m., Thursday, January 24, 2008.
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.
David A. Stawick,
Secretary of the Commission.
[FR Doc. 08326 Filed 12208; 4:21 pm]
BILLING CODE 635101P

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0013, Exemptions From Speculative

Tue, Jan 22 2008 11:00:00 GMT

Sunshine Act Meetings

Fri, Jan 18 2008 11:00:00 GMT

Time and Date: 11 a.m., Friday, February 1, 2008.
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.
David A. Stawick,
Secretary of the Commission.
[FR Doc. 08190 Filed 11608; 10:06 am]
BILLING CODE 635101P

Sunshine Act Meetings

Fri, Jan 18 2008 11:00:00 GMT

Time and Date: 11 a.m., Friday, February 8, 2008.
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.
David A. Stawick,
Secretary of the Commission.
[FR Doc. 08191 Filed 11608; 10:06 am]
BILLING CODE 635101P

Sunshine Act Meetings

Fri, Jan 18 2008 11:00:00 GMT

Time and Date: 11 a.m., Friday, February 15, 2008.
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. David A. Stawick,
Secretary of the Commission.
[FR Doc. 08192 Filed 11608; 10:06 am]
BILLING CODE 635101P

Sunshine Act Meetings

Fri, Jan 18 2008 11:00:00 GMT

Time and Date: 2 p.m., Wednesday, February 20, 2008.
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. David A. Stawick,
Secretary of the Commission.
[FR Doc. 08193 Filed 11608; 10:06 am]
BILLING CODE 635101P

Sunshine Act Meetings

Fri, Jan 18 2008 11:00:00 GMT

Time and Date: 11 a.m., Friday, February 22, 2008.
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. David A. Stawick,
Secretary of the Commission.
[FR Doc. 08195 Filed 11608; 10:06 am]
BILLING CODE 635101P

Notice of Sunshine Act Meetings

Thu, Jan 10 2008 11:00:00 GMT

Agency Holding The Meeting: Commodity Futures Trading Commission. Sunshine Act Meetings
Time and Date: 12 p.m., Wednesday, January 16, 2008.
Place: 1155 21st St., NW., Washington, DC, 9th Floor Commission Conference Room.
Status: Closed.
Matters To Be Considered: The notice previously published on Friday, December 28, 2007 (72 FR 73777) is corrected under the heading ``Matters to be Considered'' to read ``Enforcement Matters''. [[Page 1866]]
Contact Person for More Information: Sauntia S. Warfield, 202418 5084.
David A. Stawick,
Secretary of the Commission.
[FR Doc. 0878 Filed 1808; 12:13 pm]
BILLING CODE 635101P

Requests Pursuant to Section 4(c) of the Commodity Exchange Act To Extend the Exemption Granted Under Part 35 of the

Mon, Jan 7 2008 11:00:00 GMT

The Commodity Futures Trading Commission (``Commission'') published on December 6, 2007, a notice of request for comment on exemption requests.\1\ Specifically, the Commission requested comment on whether to extend the exemption granted under Part 35 of the Commission's regulations to certain overthecounter (``OTC'') swaps that do not meet certain of the requirements otherwise imposed by Commission Regulation 35.2., as requested by ICE Clear U.S., Inc., a registered derivatives clearing organization, pursuant to section 4(c) of the Commodity Exchange Act (``Act''). The Commission also requested comment on a request from ICE Futures U.S., Inc. pursuant to section 4(c) of the Act that certain floor traders and floor brokers who are registered with the Commission, when trading for their own accounts, may be determined to be eligible swap participants and permitted to enter into certain specified OTC swap transactions.

\1\ 72 FR 68862 (December 6, 2007).

A potential commenter has asked for a

The Federal Register

Adjustment of Civil Monetary Penalties for Inflation

Interpretative Statement Regarding Funds Related to Cleared-Only Contracts Determined To Be Included in a Customer's

Agency Information Collection Activities: Notification of Pending Legal Proceedings Pursuant to Regulation

Sunshine Act Meetings

Sunshine Act Meetings

Sunshine Act Meetings

Sunshine Act Meetings

Sunshine Act Meetings

Exemption From Registration for Certain Firms With Regulation 30.10 Relief

Execution of Transactions: Regulation 1.38 and Guidance on Core Principle 9

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0052, Establishing Procedures for

Joint Audit Committee Operating Agreement

Privacy Act of 1974; System of Records

Sunshine Act Meetings

Sunshine Act Meetings

Sunshine Act Meetings

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0051, Part 39 Derivatives Clearing

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0015, Copies of Crop and Market

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0021, Regulations Governing

Confidential Information and Commission Records and Information

Sunshine Act Meetings

Sunshine Act Meetings

Sunshine Act Meetings

Confidential Information and Commission Records and Information

Determination of Appropriateness of Standards of the United Kingdom's Financial Services Authority for Oversight and

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

Notice; Agricultural Advisory Committee Meeting

IV. Ongoing Research

Limited Marketing Activities From a United States Location by Certain Firms and Their Employees or Other

Request To Exempt Certain Over-the-Counter Swaps From Certain of the Requirements Imposed by Commission Regulation

Notice; Global Markets Advisory Committee Meeting

Renewal of the Global Markets

Revision of Federal Speculative Position Limits

Risk Management Exemption From Federal Speculative Position Limits

AGENCY: Commodity Futures Trading Commission.

Order Exempting the Trading and Clearing of Certain Products Related to SPDR[reg] Gold Trust Shares

Sunshine Act Meetings

Sunshine Act Meetings

Sunshine Act Meetings

Energy Markets Advisory Committee Meeting

(6) Adjournment.

Sunshine Act Meetings

Sunshine Act Meetings

Sunshine Act Meetings

Sunshine Act Meeting

Concept Release on the Appropriate Regulatory Treatment of Event Contracts

Proposal To Exempt the Trading and Clearing of Certain Products Related to streetTRACKS[supreg] Gold Trust Shares

Sunshine Act Meetings

Sunshine Act Meetings

Sunshine Act Meetings

Sunshine Act Meetings

Sunshine Act Meetings

Sunshine Act Meetings

Sunshine Act Meetings

Sunshine Act Meetings

Agency Information Collection Activities Under OMB Review

Notice of Sunshine Act Meeting

Sunshine Act Meetings

Sunshine Act Meetings

Sunshine Act Meetings

Sunshine Act Meetings

Sunshine Act Meetings

Sunshine Act Meetings

Proposed Exemptive Order for ST Gold Futures Contracts

Sunshine Act Meeting

Sunshine Act Meetings

Sunshine Act Meetings

Sunshine Act Meetings

Sunshine Act Meetings

Sunshine Act Meetings

Notice; Establishment of Energy Markets Advisory Committee

Amendments Pertinent to Registered Entities and Exempt Commercial Markets

Agency Information Collection Activities Under OMB Review; Activities; Notice of Intent To Renew Collection 3038-0026,

Sunshine Act Meetings

Exemption From Registration for Certain Firms With Regulation 30.10 Relief

Sunshine Act Meetings

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0013, Exemptions From Speculative

Sunshine Act Meetings

Sunshine Act Meetings

Order Exempting the Trading and Clearing of Certain Products Related to SPDR^[reg] Gold Trust Shares