CFTC 2004 Federal Register Announcements
Last modified on February 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.
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A ========================
Proposed Rules and Amendments
69 FR 64873 (November 9, 2004)
17 CFR Part 1 Distribution of "Risk Disclosure Statement: by Futures Commission Merchants and Introducing Brokers
Comment File 04--011, closing date 12/09/2004, see also: 70 FR 5923 (February 04, 2005), 70 FR (February 14, 2005)
69 FR 62226 (October 25, 2004)
17 CFR Part 171 Rules Relating To Review of National Futures Association Decisions in Disciplinary, Membership Denial, Registration and Member Responsibility Actions
Comment File 04--010, closing date 11/24/2004, see also 70 FR 2350 (January 13, 2005)
69 FR 53367 (September 1, 2004)
17 CFR Parts 37 and 38 Application Procedures for Registration as a Derivatives Transaction Execution Facility of Designation as a Contract Market
Comment File 04--009, closing date 10/01/2004, see also 69 FR 67811 (November 22, 2004)
17 CFR Parts 40, 41, and 145 Confidential Information and Commission Records and Information
Comment File 04--008, closing date 08/27/2004, see also 69 FR 67503 (November 18, 2004)
The Governance of Self-Regulatory Organization
Extension of comment period, extended to 09/30/2004, see also 69 FR 32326 (June 9, 2004)
17 CFR Parts and 38 Execution of Transactions: Regulation 1.38 and Guidance on Core Principle 9
Comment File 04--007, closing date 08/30/2004
17 CFR Part 150 Petitions of the Chicago Board of Trade, the Kansas City Board of Trade, and the Minneapolis Grain Exchange Pursuant to Commission Regulation 13.2 for Repeal or Amendment of Speculative Position Limits in Commission Regulation 150.2
Comment File 04--006, closing date 08/16/2004
The Governance of Self-Regulatory Organizations
Comment File 04--005, closing date 07/26/2004
Futures Market Self-Regulation
Reopening comment period, closing date 06/18/2004, see also 69 FR 22599 (April 26, 2004)
17 CFR Parts 15, 16, 17, 18, 19 and 21 Reporting Levels and Recordkeeping
Comment File 04--004, closing date 06/11/2004, see also 69 FR 76392 (December 21, 2004)
Futures Market Self-Regulation
Correction, see also 69 FR 119166 (April 12, 2004)
Futures Market Self-Regulation
Comment File 04--003, closing date 05/27/2004 extended to 06/18/2004, see also 69 FR 22599 (April 26, 2004), 69 FR 31095 (June 2, 2004), 69 FR 42971 (July 19, 2004)
17 CFR Part 30 Foreign Futures and Foreign Options Transactions
Comment File 04--002, closing date 06/07/2004, see also 69 FR 49784 (August 12, 2004)
In the Matter of the Intercontinental Exchange, Inc. Petition for Expansion of the Definition of Eligible Commercial Entities Under Section 1a(11)(C) of the Commodity Exchange Act
Comment File 04--001, closing date 04/06/2004
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B ========================
Final Rules and Orders
69 FR 77734 (December 28, 2004)
Global Market Advisory Committee meeting
69 FR 76392 (December 21, 2004)
17 CFR Parts 15, 16, 17, 18, 19 and 21 Reporting Levels and Recordkeeping
Final rules, effective 01/20/2005, see also 69 FR 26333 (May 12, 2004)
69 FR 74092 (December 13, 2004)
17 CFR Ch. I Regulatory Flexibility Agenda
69 FR 69510 (November 30, 2004)
17 CFR Part 190 Interpretative Statement Regarding Funds Determined To Be Held in the Futures Account Type of Customer Account Class
Interpretative statement
69 FR 67811 (November 22, 2004)
17 CFR Parts 37 and 38 Application Procedures for Registration as a Derivatives Transaction Execution Facility of Designation as a Contract Market
Final rules, effective date 12/22/2004, see also 69 FR 53367 (September 1, 2004)
69 FR 67543 (November 18, 2004)
Fees for Reviews of the Rule Enforcement Programs of Contract Markets and Registered Futures Association
Establish the FY 2004 schedule of fees, effective dates: The FY 2004 fees for Commission oversight of each SRO rule enforcement program must be paid by each of the named SROs in the amount specified by no later than 01/18/2005
69 FR 67503 (November 18, 2004)
17 CFR Parts 40, 41, and 145 Confidential Information and Commission Records and Information
Final rules, effective date 12/20/2004, see also 69 FR 44981 (July 28, 2004)
69 FR 65584 (November 15, 2004)
In the Matter of the Intercontinental Exchange, Inc. Petition for Expansion of the Definition of an Eligible Commercial Entity Under Section 1a (11) (C) of the Commodity Exchange Act
Order, effective date 11/15/2004
17 CFR Part 1 Close Out of Offsetting Positions; Correction
Correcting amendment, see also 66 FR 53510 (October 23, 2001)
69 FR 58412 (September 30, 2004)
Technology Advisory Committee Meeting
69 FR 55949 (September 17, 2004)
17 CFR Part 1 Minimum Financial and Related Reporting Requirements for Futures Commission Merchants and Introducing Brokers; Correction
Final rule; correction, see also 69 FR 49784 (August 12, 2004)
17 CFR Part 143 Claims Owed the United States Arising From Activities Under the Commission's Jurisdiction
Notice of final rulemaking, effective date 08/31/2004, see also 68 FR 69634 (December 15, 2003)
17 CFR Part 143 Adjustment of Civil Monetary Penalties for Inflation
Final rule, effective date 10/23/2004
17 CFR Part 30 Foreign Futures and Foreign Options Transactions
Final rule, effective date 09/13/2004, see also 69 FR 17998 (April 6, 2004)
17 CFR Part 1 Minimum Financial and Related Reporting Requirements for Futures Commission Merchants and Introducing Brokers
Final rule, effective date 09/30/2004, see also 68 FR 40835 (July 9, 2003), and 69 FR 55949 (September 17, 2004)
17 CFR Part 36 Exempt Commerical Markets
Final rulemaking, effective date 09/20/2004, see also 68 FR 66032 (November 25, 2003)
Notice of Renewal of the Global Market Advisory Committee
17 CFR Parts 1, 4, 31, 140, 145 and 150 Corrections to Regional Office Information, References to Section 4d(2) and Criteria for CPO Registration Exemption
Final rule, effective date 07/09/2004
Agricultural Advisory Committee Meeting
17 CFR Ch. 1 Regulatory Flexibility Agenda
Global Markets Advisory Committee Meeting
Commodity Futures Trading Commission Securities and Exchange Commission Joint Order Excluding Indexes Comprised of Certain Index Options From the Definition of Narrow-Based Security Index Pursuant to Section 1a (25) (B) (vi) of the Commodity Exchange Act and Section 3 (a) (55) (C) (vi) of the Securities Exchange Act of 1934
Joint order, effective date 03/25/2004
17 CFR Part 3 Registration of Intermediaries
Correcting amendments, effective date 04/01/2004, see also: 67 FR 38869 (June 6, 2002)
Fees for Reviews of the Rule Enforcement Programs of Contract Markets and Registered Futures Association
Establish a new schedule of fees, effective dates: The FY 2003 fees for Commission oversight of each SRO rule enforcement program must be paid by each of the named SROs in the amount specified by no later than May 10, 2004
Fees for Product Review and Approval
Annual update of fees for product approval, effective date 03/10/2004
69 FR 6140 (February 10, 2004)
17 CFR Part 1 Investment of Customer Funds
Final rule, effective date 03/11/2004, see also 68FR38654 (June 30, 2003)
In the Matter of Intermarket Clearing Corporation -- Request for Vacation From Designation as Derivatives Clearing Organization
Order, effective date 12/31/2003
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C ========================
Sunshine Act Announcements
69 FR 77233 (December 27, 2004)
Sunshine Act Meeting
Closed Commission Meeting 01/28/2005
69 FR 77233 (December 27, 2004)
Sunshine Act Meeting
Closed Commission Meeting 01/21/2005
69 FR 77233 (December 27, 2004)
Sunshine Act Meeting
Closed Commission Meeting 01/14/2005
69 FR 77233 (December 27, 2004)
Sunshine Act Meeting
Closed Commission Meeting 01/07/2005
69 FR 67545 (November 18, 2004)
Sunshine Act Meeting
Closed Commission Meeting 12/17/2004
69 FR 67545 (November 18, 2004)
Sunshine Act Meeting
Closed Commission Meeting 12/10/2004
69 FR 67544 (November 18, 2004)
Sunshine Act Meeting
Closed commission Meeting 12/03/2004
69 FR 61659 (October 20, 2004)
Sunshine Act Meeting
Closed Commission Meeting 11/26/2004
69 FR 61659 (October 20, 2004)
Sunshine Act Meeting
Closed commission Meeting 11/19/2004
69 FR 61659 (October 20, 2004)
Sunshine Act Meeting
Closed Commission Meeting 11/12/2004
69 FR 61659 (October 20, 2004)
Sunshine Act Meeting
Closed Commission Meeting 11/05/2005
69 FR 58153 (September 29, 2004)
Sunshine Act Meeting
Closed Commission Meeting 09/29/2004, Cancelled, see also 69 FR 56748 (September 22, 2004)
69 FR 56748 (September 22, 2004)
Sunshine Act Meeting
Closed Commission Meeting 09/29/2004, see also 69 FR 58153 (September 29, 2004)
69 FR 56201 (September 20, 2004)
Sunshine Act Meeting
Closed Commission Meeting 10/29/2004
69 FR 56201 (September 20, 2004)
Sunshine Act Meeting
Closed Commission Meeting 10/22/2004
69 FR 56201 (September 20, 2004)
Sunshine Act Meeting
Closed Commission Meeting 10/15/2004
69 FR 56201 (September 20, 2004)
Sunshine Act Meeting
Closed Commission Meeting 10/08/2004
69 FR 56201 (September 20, 2004)
Sunshine Act Meeting
Closed Commission Meeting 10/01/2004
69 FR 55144 (September 13, 2004)
Sunshine Act Meeting
Closed Commission Meeting 09/16/2004
Sunshine Act Meeting
Closed Commission Meeting 09/24/2004
Sunshine Act Meeting
Closed Commission Meeting 09/17/2004
Sunshine Act Meeting
Closed Commission Meeting 09/10/2004
Sunshine Act Meeting
Closed Commission Meeting 09/03/2004
Sunshine Act Meeting
Closed Commission Meeting 08/27/2004
Sunshine Act Meeting
Closed Commission Meeting 08/20/2004
Sunshine Act Meeting
Closed Commission Meeting 08/13/2004
Sunshine Act Meeting
Closed Commission Meeting 08/06/2004
Sunshine Act Meeting
Closed Commission Meeting 07/30/2004
Sunshine Act Meeting
Closed Commission Meeting 07/23/2004
Sunshine Act Meeting
Closed Commission Meeting 07/16/2004
Sunshine Act Meeting
Closed Commission Meeting 07/09/2004
Sunshine Act Meeting
Closed Commission Meeting 07/02/2004
Sunshine Act Meeting
Closed Commission Meeting 06/25/2004
Sunshine Act Meeting
Closed Commission Meeting 06/18/2004
Sunshine Act Meeting
Closed Commission Meeting 06/11/2004
Sunshine Act Meetings
Closed Commission Meeting 06/04/2004
Sunshine Act Meeting
Closed Commission Meeting 05/27/2004
Sunshine Act Meeting
Closed Commission Meeting 05/28/2004
Sunshine Act Meeting
Closed Commission Meeting 05/21/2004
Sunshine Act Meeting
Closed Commission Meeting 05/14/02004
Sunshine Act Meeting
Closed Commission Meeting 05/07/2004
Sunshine Act Meeting
Closed Commission Meeting 04/13/2004
Sunshine Act Meeting
Closed Commission Meeting 04/30/2004
Sunshine Act Meeting
Closed Commission Meeting 04/23/2004
Sunshine Act Meeting
Closed Commission Meeting 04/16/2004
Sunshine Act Meeting
Closed Commission Meeting 04/09/2004
Sunshine Act Meeting
Closed Commission Meeting 04/02/2004
69 FR 7911 (February 20, 2004)
Sunshine Act Meeting
Closed Commission Meeting 03/26/2004
69 FR 7910 (February 20, 2004)
Sunshine Act Meeting
Closed Commission Meeting 03/19/2004
69 FR 7910 (February 20, 2004)
Sunshine Act Meeting
Closed Commission Meeting 03/12/2004
69 FR 7910 (February 20, 2004)
Sunshine Act Meeting
Closed Commission Meeting 03/05/2004
Sunshine Act Meeting
Open Commission Meeting 02/04/2004
Sunshine Act Meeting
Closed Commission Meeting 02/27/2004
Sunshine Act Meeting
Closed Commission Meeting 02/20/2004
Sunshine Act Meeting
Closed Commission Meeting 02/13/2004
Sunshine Act Meeting
Closed Commission Meeting 02/06/2004
Sunshine Act Meeting
Closed Commission Meeting 01/30/2004
Sunshine Act Meeting
Closed Commission Meeting 01/23/2004
Sunshine Act Meeting
Closed Commission Meeting 01/16/2004
Sunshine Act Meeting
Closed Commission Meeting 01/09/2004
======================== SECTION
E ========================
CFTC Public Information Collection Requirements
69 FR 64917 (November 9, 2004)
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0026, Gross Collection of Exchange-Set Margins for Omnibus Accounts
Notice
69 FR 60988 (October 14, 2004)
Agency Information Collection Activities Under OMB Review
Notice
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0095, Rules Relating to Security Futures Products
Notice
Agency Information Collection Activities Under OMB Review
Notice
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0022, Rules Pertaining to Contract Markets and Their Members
Notice
Agency Information Collection Activities Under OMB Review: Notice of Intent To Renew Collection 3038-0054, Establishing Procedures for Entities Operating as Exempt Markets
Notice
Agency Information Collection Activities Under OMB Review
Notice
Agency Information Collection Activities Under OMB Review: Notice of Intent to Renew Collection 3038-0055, Privacy of Consumer Financial Information
Notice
Agency Information Collection Activities Under OMB Review: Notice of Intent To Renew Collection 3038-0023, Registration Under the Commodity Exchange Act
Notice
Agency Information Collection Activities; Notice of Intent To Renew Collection 3038-0025, Practice by Former Members and Employees of the Commission
Notice
Agency Information Collection Activities Under OMB Review
Notice
Agency Information Collection Activities: Notice of Intent To Amend Collection 3038-0009, Large Trader Reports
Notice
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0023, Notice Registration as a Futures Commission Merchant or Introducing Broker for Certain Securities Brokers and Dealers
Notice
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0049, Procedural Requirements for Requests for Interpretative, No-Action, and Exemptive Letters
Notice
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0055, Privacy of Consumer Financial Information
Notice
69 FR 8180 (February 23, 2004)
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0054, Establishing Procedures To Implement the Notification Requirements for Entities Operating as Exempt Markets
Notice
69 FR 8181 (February 23, 2004)
Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0005, Rules Relating to the Operations and Activities of Commodity Pool Operators and Commodity Trading Advisors and to Monthly Reporting by Futures Commission Merchants
Notice