17 CFR 30 - FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS

Appendix A to Part 30 - Interpretative Statement With Respect to the Commission's Exemptive Authority Under § 30.10 of Its Rules
Appendix B to Part 30 - Interpretative Statement With Respect to the Secured Amount Requirement Set Forth in § 30.7
Appendix C to Part 30 - Foreign Petitioners Granted Relief From the Application of Certain of the Part 30 Rules Pursuant to § 30.10
Appendix D to Part 30 - Information That a Foreign Board of Trade Should Submit When Seeking No-Action Relief To Offer and Sell, to Persons Located in the United States, a Futures Contract on a Foreign Non-Narrow-Based Security Index Traded on That Foreign Board of Trade

Authority: 7 U.S.C. 1a, 2, 6, 6c, and 12a, unless otherwise noted.

Source: 52 FR 28998, Aug. 5, 1987, 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.

2011-12-19; vol. 76 # 243 - Monday, December 19, 2011

76 FR 78776 - Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2011-31689
RIN	3038-AC79

COMMODITY FUTURES TRADING COMMISSION

Final rule.

This rule is effective February 17, 2012. All persons shall be in compliance with this rule not later than June 18, 2012.

17 CFR Parts 1 and 30

Summary

The Commodity Futures Trading Commission (Commission or CFTC) is amending its regulations regarding the investment of customer segregated funds subject to Commission Regulation 1.25 (Regulation 1.25) and funds held in an account subject to Commission Regulation 30.7 (Regulation 30.7, and funds subject thereto, 30.7 funds). Certain amendments reflect the implementation of new statutory provisions enacted under Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The amendments address: certain changes to the list of permitted investments (including the elimination of in-house transactions), a clarification of the liquidity requirement, the removal of rating requirements, and an expansion of concentration limits including asset-based, issuer-based, and counterparty concentration restrictions. They also address revisions to the acknowledgment letter requirement for investment in a money market mutual fund (MMMF), revisions to the list of exceptions to the next-day redemption requirement for MMMFs, the elimination of repurchase and reverse repurchase agreements with affiliates, the application of customer segregated funds investment limitations to 30.7 funds, the removal of ratings requirements for depositories of 30.7 funds, the elimination of the option to designate a depository for 30.7 funds, and certain technical changes.

2011-09-26; vol. 76 # 186 - Monday, September 26, 2011

76 FR 59241 - Foreign Futures and Options Contracts on a Non-Narrow-Based Security Index; Commission Certification Procedures

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2011-24609
RIN	3038-AC54

COMMODITY FUTURES TRADING COMMISSION

Final rule.

Effective Date: October 26, 2011.

17 CFR Part 30

Summary

The Commodity Futures Trading Commission (“Commission”) is adopting a new rule, which establishes a Commission certification procedure applicable to the offer or sale, to persons in the U.S., of a non-narrow-based security index futures contract traded on a foreign board of trade; the new certification procedure will replace the existing staff no-action process. Additionally, the new rule establishes a procedure for a foreign board of trade to request and receive a Commission certification on an expedited basis. Under this expedited procedure, a non-narrow-based security index futures contract of qualifying foreign boards of trade could be offered or sold in the U.S. forty-five (45) days after submission of such request, absent a notification by the Commission.

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

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

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 6 - Regulation of futures trading and foreign transactions

7 USC 6c - Prohibited transactions

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 30

2011-12-19; vol. 76 # 243 - Monday, December 19, 2011

76 FR 78776 - Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2011-31689
RIN	3038-AC79

COMMODITY FUTURES TRADING COMMISSION

Final rule.

This rule is effective February 17, 2012. All persons shall be in compliance with this rule not later than June 18, 2012.

17 CFR Parts 1 and 30

Summary

The Commodity Futures Trading Commission (Commission or CFTC) is amending its regulations regarding the investment of customer segregated funds subject to Commission Regulation 1.25 (Regulation 1.25) and funds held in an account subject to Commission Regulation 30.7 (Regulation 30.7, and funds subject thereto, 30.7 funds). Certain amendments reflect the implementation of new statutory provisions enacted under Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The amendments address: certain changes to the list of permitted investments (including the elimination of in-house transactions), a clarification of the liquidity requirement, the removal of rating requirements, and an expansion of concentration limits including asset-based, issuer-based, and counterparty concentration restrictions. They also address revisions to the acknowledgment letter requirement for investment in a money market mutual fund (MMMF), revisions to the list of exceptions to the next-day redemption requirement for MMMFs, the elimination of repurchase and reverse repurchase agreements with affiliates, the application of customer segregated funds investment limitations to 30.7 funds, the removal of ratings requirements for depositories of 30.7 funds, the elimination of the option to designate a depository for 30.7 funds, and certain technical changes.

2011-09-26; vol. 76 # 186 - Monday, September 26, 2011

76 FR 59241 - Foreign Futures and Options Contracts on a Non-Narrow-Based Security Index; Commission Certification Procedures

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2011-24609
RIN	3038-AC54

COMMODITY FUTURES TRADING COMMISSION

Final rule.

Effective Date: October 26, 2011.

17 CFR Part 30

Summary

The Commodity Futures Trading Commission (“Commission”) is adopting a new rule, which establishes a Commission certification procedure applicable to the offer or sale, to persons in the U.S., of a non-narrow-based security index futures contract traded on a foreign board of trade; the new certification procedure will replace the existing staff no-action process. Additionally, the new rule establishes a procedure for a foreign board of trade to request and receive a Commission certification on an expedited basis. Under this expedited procedure, a non-narrow-based security index futures contract of qualifying foreign boards of trade could be offered or sold in the U.S. forty-five (45) days after submission of such request, absent a notification by the Commission.

17 CFR 30 - FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS

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