17 CFR 21 - SPECIAL CALLS | LII / Legal Information Institute

§ 21.00 — Preparation and transmission of information upon special call.
§ 21.01 — Special calls for information on controlled accounts from futures commission merchants, clearing members and introducing brokers.
§ 21.02 — Special calls for information on open contracts in accounts carried or introduced by futures commission merchants, clearing members, members of reporting markets, introducing brokers, and foreign brokers.
§ 21.03 — Selected special calls-duties of foreign brokers, domestic and foreign traders, futures commission merchants, clearing members, introducing brokers, and reporting markets.
§ 21.04 — Delegation of authority to the Director of the Division of Market Oversight.

Authority: 7 U.S.C. 1a, 2, 2a, 4, 6a, 6c, 6f, 6g, 6i, 6k, 6m, 6n, 7, 7a, 12a, 19 and 21, as amended by Title XIII of the Food, Conservation and Energy Act of 2008, Public Law 110-246, 122 Stat. 1624 (June 18, 2008); 5 U.S.C. 552 and 552(b), unless otherwise noted.

Source: 41 FR 3210, Jan. 21, 1976, unless otherwise noted.

Title 17 published on 2011-04-01

The following are only the Rules published in the Federal Register after the published date of Title 17.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

2011-11-08; vol. 76 # 216 - Tuesday, November 8, 2011

76 FR 69334 - Derivatives Clearing Organization General Provisions and Core Principles

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2011-27536
RIN	3038-AC98

COMMODITY FUTURES TRADING COMMISSION

Final rule.

The rules will become effective January 9, 2012. DCOs must comply with §§ 39.11; 39.12; 39.13 (except for 39.13(g)(8)(i)); and 39.14 by May 7, 2012; with §§ 39.10(c); 39.13(g)(8)(i); 39.18; 39.19; and 39.20 by November 8, 2012; and all other provisions of these rules by January 9, 2012.

17 CFR Parts 1, 21, 39, and 140

Summary

The Commodity Futures Trading Commission (Commission) is adopting final regulations to implement certain provisions of Title VII and Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) governing derivatives clearing organization (DCO) activities. More specifically, the regulations establish the regulatory standards for compliance with DCO Core Principles A (Compliance), B (Financial Resources), C (Participant and Product Eligibility), D (Risk Management), E (Settlement Procedures), F (Treatment of Funds), G (Default Rules and Procedures), H (Rule Enforcement), I (System Safeguards), J (Reporting), K (Recordkeeping), L (Public Information), M (Information Sharing), N (Antitrust Considerations), and R (Legal Risk) set forth in Section 5b of the Commodity Exchange Act (CEA). The Commission also is updating and adding related definitions; adopting implementing rules for DCO chief compliance officers (CCOs); revising procedures for DCO applications including the required use of a new Form DCO; adopting procedural rules applicable to the transfer of a DCO registration; and adding requirements for approval of DCO rules establishing a portfolio margining program for customer accounts carried by a futures commission merchant (FCM) that is also registered as a securities broker-dealer (FCM/BD). In addition, the Commission is adopting certain technical amendments to parts 21 and 39, and is adopting certain delegation provisions under part 140.

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.

United States Code

5 USC 552 - Public information; agency rules, opinions, orders, records, and proceedings

7 USC 12a - Registration of commodity dealers and associated persons; regulation of registered entities

7 USC 19 - Consideration of costs and benefits and antitrust laws

7 USC 1a - Definitions

7 USC 2 - Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce

7 USC 21 - Registered futures associations

7 USC 2a to 4a - Transferred

7 USC 4

7 USC 6a - Excessive speculation

7 USC 6c - Prohibited transactions

7 USC 6f - Registration and financial requirements; risk assessment

7 USC 6g - Reporting and recordkeeping

7 USC 6i - Reports of deals equal to or in excess of trading limits; books and records; cash and controlled transactions

7 USC 6k - Registration of associates of futures commission merchants, commodity pool operators, and commodity trading advisors; required disclosure of disqualifications; exemptions for associated persons

7 USC 6m - Use of mails or other means or instrumentalities of interstate commerce by commodity trading advisors and commodity pool operators; relation to other law

7 USC 6n - Registration of commodity trading advisors and commodity pool operators; application; expiration and renewal; record keeping and reports; disclosure; statements of account

7 USC 7 - Designation of boards of trade as contract markets

7 USC 7a - Derivatives transaction execution facilities

Statutes at Large

122 Stat. 1624

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 21

2011-11-08; vol. 76 # 216 - Tuesday, November 8, 2011

76 FR 69334 - Derivatives Clearing Organization General Provisions and Core Principles

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2011-27536
RIN	3038-AC98

COMMODITY FUTURES TRADING COMMISSION

Final rule.

The rules will become effective January 9, 2012. DCOs must comply with §§ 39.11; 39.12; 39.13 (except for 39.13(g)(8)(i)); and 39.14 by May 7, 2012; with §§ 39.10(c); 39.13(g)(8)(i); 39.18; 39.19; and 39.20 by November 8, 2012; and all other provisions of these rules by January 9, 2012.

17 CFR Parts 1, 21, 39, and 140

Summary

The Commodity Futures Trading Commission (Commission) is adopting final regulations to implement certain provisions of Title VII and Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) governing derivatives clearing organization (DCO) activities. More specifically, the regulations establish the regulatory standards for compliance with DCO Core Principles A (Compliance), B (Financial Resources), C (Participant and Product Eligibility), D (Risk Management), E (Settlement Procedures), F (Treatment of Funds), G (Default Rules and Procedures), H (Rule Enforcement), I (System Safeguards), J (Reporting), K (Recordkeeping), L (Public Information), M (Information Sharing), N (Antitrust Considerations), and R (Legal Risk) set forth in Section 5b of the Commodity Exchange Act (CEA). The Commission also is updating and adding related definitions; adopting implementing rules for DCO chief compliance officers (CCOs); revising procedures for DCO applications including the required use of a new Form DCO; adopting procedural rules applicable to the transfer of a DCO registration; and adding requirements for approval of DCO rules establishing a portfolio margining program for customer accounts carried by a futures commission merchant (FCM) that is also registered as a securities broker-dealer (FCM/BD). In addition, the Commission is adopting certain technical amendments to parts 21 and 39, and is adopting certain delegation provisions under part 140.

2011-06-07; vol. 76 # 109 - Tuesday, June 7, 2011

76 FR 33066 - Adaptation of Regulations to Incorporate Swaps

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2011-12270
RIN	3038-AD53

COMMODITY FUTURES TRADING COMMISSION

Notice of proposed rulemaking.

Comments must be received on or before August 8, 2011.

17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166

Summary

The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act” or “DFA”) established a comprehensive new statutory framework for swaps and security-based swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act (“CEA” or “Act”), amends others, and adds a number of new provisions. The DFA also requires the Commodity Futures Trading Commission (“CFTC” or “Commission”) to promulgate a number of rules to implement the new framework. The Commission has proposed numerous rules to satisfy its obligations under the DFA. Because the Dodd-Frank Act makes so many changes to the existing statutory and regulatory frameworks, the proposed rules would make a number of conforming changes to the CFTC's regulations to integrate them more fully with the new statutory and regulatory framework (“Proposal”).

17 CFR 21 - SPECIAL CALLS

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