CFTC 2002 Federal Register Announcements
Last modified on January 14, 2005
Proposed CFTC rules and other announcements requesting comments, including Exchange new contract applications and major rule amendments, posted for six weeks following either the close of the comment period or date of action, with comment file number and closing date.
Final rules, orders, and similar announcements not requesting comments, posted for six weeks following publication, with effective date.
Sunshine Act announcements, posted for four weeks following publication.
CFTC Privacy Act Systems of Records, most recent compilation.
CFTC Public Information Collection Requirements.
======================== SECTION
A ========================
Proposed Rules and Amendments
67 FR 68785 (November 13, 2002)
17 CFR Part 4 Commodity Pool Operators and Commodity Trading Advisors; Exemption From Requirement To Requirement To Register for CPOs of Certain Pools and CTAs Advising Such Pools
Comment File 02--014, closing date 01/13/2003, see also 67 FR 77446 (December 18, 2002), 68 FR 2254 (January 16, 2003)
67 FR 66130 (October 30, 2002)
Chicago Mercantile Exchange (CME):� Proposed Amendments to the Spot Month Speculative Position Limits for the Live Cattle Futures
Comment File 02--013, closing date 11/14/2002
67 FR 65743 (October 28, 2002)
17 CFR Part 4 Exclusion for Certain Otherwise Regulated Persons From the Definition of the Term "Commodity Pool Operator"
Comment File 02--012, closing date 01/13/2003, see also 68 FR 12583 (March 17, 2003)
17 CFR Parts 1 and 190 Denomination of Customer Funds and Location of Depositories
Comment File 02--011, closing date 10/15/2002, see also 68 FR 5545 (February 4, 2003)
17 CFR Part 15 Reporting Levels for Large Trader Reports;� TRAKRS
Comment File 02--010, closing date 09/04/2002, see also 67 FR 64522 (October 21, 2002)
17 CFR Part 1 Department of the Treasury 31 CFR Part 103 Customer Identification Programs for Futures Commission Merchants and Introducing Brokers
Comment File 02--009, closing date 09/06/2002, see also 68 FR 25149 (May 9, 2003)
In the Matter of the New York Mercantile Exchange, Inc. Petition for Treatment of Floor Brokers and Floor Traders as Eligible Commercial Entities and Eligible Contract Participants Pursuant to Sections 1a(11) (C) and 1a(12) (C) of the Commodity Exchange Act and the Intercontinental Exchange, Inc. Petition for Treatment of Floor Brokers and Floor Traders as Eligible Commercial Entities Pursuant to Section 1a(11)(C)
Comment File 02--008, closing date 07/05/2002, see also 68 FR 2319 (January 16, 2003)
17 CFR Parts 37, 38, 39 and 40 Amendments to New Regulatory Framework for Trading Facilities and Clearing Organizations
Comment File 02--007, closing date 06/25/2002
Request of the National Futures Association for Approval of Interpretive Notice to NFA Compliance Rule 2-4:� Best Execution Obligation of NFA Members Notice-Registered as Broker-Dealers Under Section 15 (b) (11) of the Securities Exchange Act of 1934 Concerning Security Futures Transactions
Comment File 02--006, closing date 05/22/2002
17 CFR Part 3 Registration of Intermediaries
Comment File 02--005, closing date 05/20/2002, see also 67 FR 38869 (June 6, 2002)
Request of the National Futures Association for Approval of Interpretive Notice to NFA Compliance Rule 2-9:� Supervision of the Use of Automated Order Routing Systems
Comment File 02--004, closing date 04/26/2002
New York Mercantile Exchange's Proposal To Permit Exchange of Futures for, or in Connection With, Futures Transactions in Brent Crude Oil Futures Contracts
Comment File 02--003, closing date 04/12/2002
Request of the Kansas City Board of Trade for Approval of Amendments to Its Hard Red Winter Wheat Futures Contract Lowering the Price Discount for Delivery at Huchinson, KS, Increasing the Price Discount for Delivery of U.S. No. 3 Hard Red Winter Wheat, and Modifying the Maximum Permissible Amount of Wheat of Other Classes Deliverable as U.S. No. 3 Hard Red Winter Wheat
Comment File 02--002, closing date 02/12/2002
Request of the Chicago Board of Trade (CBOT) for Product Approval of CBOT X-Fund Futures
Comment File 02--001, closing date 01/25/2002
======= Return to Top ========
======================== SECTION
B ========================
Final Rules and Orders
67 FR 77470 (December 18, 2002)
Review by the National Futures Association of Annual financial Reports Required To Be Filed by Commodity Pool Operators
Notice and order, effective 12/18/2002
67 FR 77446 (December 18, 2002)
17 CFR Part 4 Exclusion for Certain Otherwise Regulated persons From the Definition of the Term "Commodity Pool Operator"
Extension of comment period to 01/13/2003, see also 67 FR 68785 (November 13, 2002)
67 FR 77409 (December 18, 2002)
17 CFR Part 4 Commodity Pool Operators and Commodity Trading Advisors
Final rules, effective 01/01/2003
67 FR 75490 (December 9, 2002)
17 CFR Ch. 1 Regulatory Flexibility Agenda
67 FR 69598 (November 18, 2002)
17 CFR Part 4 Commodity Pool Operators and Commodity Trading Advisors; Exemption From Requirement To Register for CPOs of Certain Pools and CTAs Advising Such Pools
Correction, see also 67 FR 68785 (November 13, 2002)
67 FR 67445 (November 5, 2002)
17 CFR Parts 1, 41, and 190 Securities and Exchange Commission 17 CFR Part 240 Applicability of CFTC and SEC Customer Protection, Recording, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products
Correction, see also 66 FR 50786 (October 4, 2001)
67 FR 65422 (October 21, 2002)
17 CFR Part 15 Reporting Levels for large Trader Reports; TRAKRS
Final rules, effective date 11/20/2002, see also 67 FR 50608 (August 5, 2002)
67 FR 63966 (October 16 , 2002)
17 CFR Part 1 Changes in Divisional Structure and Delegations of Authority
Correction, see also 67 FR 62350 (October 7, 2002)
67 FR 63538 (October 15, 2002)
17 CFR Part 145 Commission Records and Information
Final rules, effective date 10/15/2002
17 CFR Parts 37, 38, 39 and 40 Amendments to New Regulatory Framework for Trading Facilities and Clearing Organizations
Final rules, effective date 11/08/2002
17 CFR Parts 1, 3, 4, 9, 11, 16, 17, 18, 19, 21, 31, 36, 37, 38, 39, 40, 41, 140, 145, 150, 170, 171 and 190 Changes in Divisional Structure and Delegations of Authority
Final rules, effective date 10/07/2002, see also 67 FR 63966 (October 16, 2002), 70 FR 2565 (January 14, 2005)
Guidelines for Ensuring and Maximizing the Quality, Objectivity, Utility, and Integrity of Information Disseminated by the Commodity Futures Trading Commission
Notice of availability of report
67 FR 59830 (September 24, 2002)
Membership of the Commission's Performance Review Board
Membership change of Performance Review Board, effective date 09/18/2002
67 FR 58283 (September 13, 2002)
Commodity Futures Trading Commission 17 CFR Parts 1, 41, and 190 Securities and Exchange Commission 17 CFR Part 240 Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Products
Joint final rules, effective date 09/13/2002, see also 66 FR 50786 (October 4, 2001)
Commodity Futures Trading Commission 17 CFR Part 41 Securities and Exchange Commission 17 CFR Part 242 Customer Margin Rules Relating to Security Futures
Joint final rules, effective date 09/13/2002, see also 66 FR 50720 (October 4, 2001)�
Managed Funds Issues;� Meeting
Notice of Public Meeting
Notice of Public Meeting
17 CFR Part 140 Delegations of Authority
Final rule, effective date 07/09/2002
17 CFR Part 30 Foreign Futures and Options Transactions
Order
17 CFR Part 4 Profile Documents for Commodity Pools; Correction
Correction, see also 67 FR 42709 (June 25, 2002), 65 FR 58648 (October 10, 2000)
17 CFR Part 1 Fees for Reviews of the Rule Enforcement Programs of Contract Markets and Registered Futures Association
Establish a new schedule of fees
Commodity Futures Trading Commission Securities and Exchange Commission Joint Order Granting the Modification of Listing Standards Requirements Under Section 6 (h) of the Securities Exchange Act of 1934 and the Criteria Under Section 2 (a) (1) of the Commodity Exchange Act
17 CFR Part 4 Profile Documents for Commodity Pools; Correction
Correcting amendment, see also 65 FR 58648 (October 10, 2000), 67 FR 44931 (July 5, 2002)
Guidelines for Ensuring and Maximizing the Quality, Objectivity, Utility, and Integrity of Information Disseminated by the Commodity Futures Trading Commission
Notice of extension of comment period (See Also: File 02--NC1, 67 FR 19558 (April 22, 2002))
17 CFR Part 3 Registration of Intermediaries
Final rules; correction, see also 67 FR 19358 (April 19, 2002), 67 FR 38869 (June 6, 2002), 67 FR 44709 (July 5, 2002)
17 CFR Part 11 Delegation of Authority to the Director of the Division of Enforcement To Institute Subpoena Enforcement Proceedings
Correction, see also 67 FR 37322 (May 29, 2002)
17 CFR Part 3 Registration of Intermediaries
Final rules, effective date 06/06/2002, see also 67 FR 19358 (April 19, 2002) and 69 FR 16792 (March31, 2004)
Commodity Future Trading Commission Securities and Exchange Commission Joint Order Excluding From the Definition of Narrow-Based Security Index Those Security Indexes That Qualified for the Exclusion From That Definition Under Section 1a (25) (B) (v) of the Commodity Exchange Act and Section 3 (a) (55) (C) (v) of the Securities Exchange Act of 1934
Joint order, effective date 06/21/2002
17 CFR Part 40 Fees for Product Review and Approval
Annual update of schedule of fees for product review and approval, effective date 06/04/2002
17 CFR Part 11 Delegation of Authority to the Director of the Division of Enforcement To Institute Subpoena Enforcement Proceedings
Final rule, effective date 06/28/2002, see also 67 FR 39473 (June 7, 2002)
Notice of Public Meeting
17 CFR Parts 41 and 240 Cash Settlement and Regulatory Halt Requirements for Security Futures Products;� Final Rule
Joint final rule, effective date 06/24/2002, see also 66 FR 45903 (August 30, 2001)
17 CFR Ch. 1 Regulatory Flexibility Agenda
Semiannual regulatory agenda
17 CFR Part 30 Foreign Futures and Options Transactions
Order, effective date 05/08/2002
Guidelines for Ensuring and Maximizing the Quality, Objectivity, Utility, and Integrity of Information Disseminated by the Commodity Futures Trading Commission
Notice of availability of draft report (See Also: File 02--NC1)
Technology Advisory Committee Meeting
17 CFR Part 15 Reporting Levels for Large Trader Reports;� Security Futures Products
Correction, see also 67 FR 11569 (March 15, 2002)
17 CFR Part 15 Reporting Levels for Large Trader Reports;� Security Futures Products
Final rules, effective date 04/15/2002, see also 66 FR 64383 (December 13, 2001), 67 FR 13680 (March 25, 2002)
17 CFR Parts 37, 38, 41, and 155 Regulation To Restrict Dual Trading in Security Futures Products
Final rulemaking, effective date 04/12/2002, see also 66 FR 36223 (July 11, 2001)
67 FR 6790 (February 13, 2002)
17 CFR Part 160 Privacy of Consumer Financial Information
Correction, see also 66 FR 24183 (May 11, 2001)
17 CFR Part 140 Regulation Concerning Conduct of Members and Employees and Former Members and Employees of the Commission
Final rule, effective date 02/08/2002
Recognition of Multilateral Clearing Organizations
Notice and Order, effective date 01/11/2002
======== Return to Top ========
======================== SECTION
C ========================
Sunshine Act Announcements
67 FR 79906 (December 31, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 01/31/2003
67 FR 79906 (December 31, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 01/24/2003
67 FR 79906 (December 31, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 01/17/2003
67 FR 79906 (December 31, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 01/10/2003
67 FR 69511 (November 18, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 12/05/2002
67 FR 69511 (November 18, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 12/27/2002
67 FR 69511 (November 18, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 12/20/2002
67 FR 69510 (November 18, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 12/13/2002
67 FR 69510 (November 18, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 12/06/2002
67 FR 66384 (October 31, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 11/19/2002
67 FR 65958 (October 29, 2002)
Sunshine Act Meeting
Closed Commission Meting, 11/29/2002
67 FR 65958 (October 29, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 11/22/2002
67 FR 65958 (October 29, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 11/15/2002
67 FR 65958 (October 29, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 11/08/2002
67 FR 65957 (October 29, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 11/01/2002
67 FR 58590 (September 17, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 10/25/2002
67 FR 58590 (September 17, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 10/18/2002
67 FR 58590 (September 17, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 10/11/2002
67 FR 58590 (September 17, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 10/04/2002
Sunshine Act Meeting
Closed Commission Meeting, 09/25/2002
Sunshine Act Meeting
Closed Commission Meeting, 09/27/2002
Sunshine Act Meeting
Closed Commission Meeting, 09/20/2002
Sunshine Act Meeting
Closed Commission Meeting, 09/13/2002
Sunshine Act Meeting
Closed Commission Meeting, 09/06/2002
Sunshine Act Meeting
Closed Commission Meeting, 08/30/2002
Sunshine Act Meeting
Closed Commission Meeting, 08/23/2002
Sunshine Act Meeting
Closed Commission Meeting, 08/16/2002
Sunshine Act Meeting
Closed Commission Meeting, 08/09/2002
Sunshine Act Meeting
Closed Commission Meeting, 08/02/2002
Sunshine Act Meeting
Closed Commission Meeting, 07/31/2002
Sunshine Act Meeting
Changes in the Meeting Time from 10 a.m. to 1 p.m. - 5 p.m., 08/01/2002, see also 67 45096 (July 8, 2002)
Sunshine Act Meeting
Open Commission Meeting, 08/01/2002, see also 67 FR 47353 (July 18, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 07/30/2002
Sunshine Act Meeting
Closed Commission Meeting, 07/11/2002
Sunshine Act Meeting
Open Commission Meeting, 07/02/2002
Sunshine Act Meeting
Closed Commission Meeting, 07/19/2002
Sunshine Act Meeting
Closed Commission Meeting, 07/12/2002
Sunshine Act Meeting
Closed Commission Meeting, 07/05/2002
Sunshine Act Meeting
Closed Commission Meeting, 07/26/2002
Sunshine Act Meeting
Closed Commission Meeting, 06/26/2002
Sunshine Act Meeting
Open Commission Meeting, 05/30/2002
Sunshine Act Meeting
Closed Commission Meeting, 05/31/2002
Sunshine Act Meeting
Closed Commission Meeting, 05/24/2002
Sunshine Act Meeting
Closed Commission Meeting, 05/17/2002
Sunshine Act Meeting
Closed Commission Meeting, 05/10/2002
Sunshine Act Meeting
Closed Commission Meeting, 05/03/2002
Sunshine Act Meeting
Closed Commission Meeting, 04/19/2002
Sunshine Act Meeting
Closed Commission Meeting, 04/26/2002
Sunshine Act Meeting
Closed Commission Meeting, 04/12/2002
Sunshine Act Meeting
Closed Commission Meeting, 04/05/2002
67 FR 8008 (February 21, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 03/29/2002
67 FR 8008 (February 21, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 03/01/2002
67 FR 8008 (February 21, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 03/22/2002
67 FR 8008 (February 21, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 03/08/2002
67 FR 8008 (February 21, 2002)
Sunshine Act Meeting
Closed Commission Meeting, 03/15/2002
Sunshine Act Meeting
�Closed Commission Meeting, 02/22/2002
Sunshine Act Meeting
�Closed Commission Meeting, 02/15/2002
Sunshine Act Meeting
Closed Commission Meeting, 02/08/2002
Sunshine Act Meeting
Closed Commission Meeting, 02/01/2002
======================== SECTION
E ========================
CFTC Public Information Collection Requirements
67 FR 68995 (November 14, 2002)
Agency Information Collection Activities:� Notice of Intent To Renew Collection 3038-00-43, Rules Relating to Review of National Futures Association Decisions in Disciplinary, Membership Denial, Registration, and Member Responsibility Actions
Notice
67 FR 68579 (November 12, 2002)
Agency Information Collection Activities Under OMB Review
Notice
67 FR 60641 (September 26, 2002)
Agency Information Collection Activities:� Notice of Intent To Renew Collection 3038-0048, Off-Exchange Agricultural Trade Options
Notice
Agency Information Collection Activities Under OMB Review
Notice
Agency Information Collection Activities:� Notification of Pending Legal Proceedings Pursuant 10 17 CFR 1.60
Notice
Agency Information Collection Activities Under OMB Review
Notice
Agency Information Collection Activities:� Rules Related to Risk Disclosure Concerning Exchange Traded Commodity Futures and Options
Notice
Agency Information Collection Activities Under OMB Review
Notice
Agency Information Collection Activities:� Notice of Intent To Renew Collection 3038-0009, Large Trader Reports
Notice
67 FR 8007 (February 21, 2002)
Agency Information Collection Activities Under OMB Review
Notice
Agency Information Collection Activities: Notice of Intent to
Renew Collection 3038-0013, Exemptions From Speculative Limits
Notice