CFTC 2004 Federal Register Announcements

Last modified on February 14, 2005

SECTION A

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.

SECTION B

Final rules, orders, and similar announcements not requesting comments, posted for six weeks following publication, with effective date.

SECTION C

Sunshine Act announcements, posted for four weeks following publication.

SECTION D

CFTC Privacy Act Systems of Records, most recent compilation.

SECTION E

CFTC Public Information Collection Requirements.


======================== SECTION 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)

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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)

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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)

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69 FR 44981 (July 28, 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)

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69 FR 42971 (July 19, 2004)

The Governance of Self-Regulatory Organization

Extension of comment period, extended to 09/30/2004, see also 69 FR 32326 (June 9, 2004)

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69 FR 39880 (July 1, 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

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69 FR 33874 (June 17, 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

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69 FR 32326 (June 9, 2004)

The Governance of Self-Regulatory Organizations

Comment File 04--005, closing date 07/26/2004

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69 FR 31095 (June 2, 2004)

Futures Market Self-Regulation

Reopening comment period, closing date 06/18/2004, see also 69 FR 22599 (April 26, 2004)

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69 FR 26333 (May 12, 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)

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69 FR 22599 (April 26, 2004)

Futures Market Self-Regulation

Correction, see also 69 FR 119166 (April 12, 2004)

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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)

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69 FR 17998 (April 6, 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)

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69 FR 13286 (March 22, 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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======================== SECTION B ========================
Final Rules and Orders


69 FR 77734 (December 28, 2004)

Global Market Advisory Committee meeting

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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)

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69 FR 74092 (December 13, 2004)

17 CFR Ch. I Regulatory Flexibility Agenda

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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

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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)

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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

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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)

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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

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69 FR 59544 (October 5, 2004)

17 CFR Part 1 Close Out of Offsetting Positions; Correction

Correcting amendment, see also 66 FR 53510 (October 23, 2001)

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69 FR 58412 (September 30, 2004)

Technology Advisory Committee Meeting

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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)

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69 FR 52995 (August 31, 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)

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69 FR 52993 (August 31, 2004)

17 CFR Part 143 Adjustment of Civil Monetary Penalties for Inflation

Final rule, effective date 10/23/2004

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69 FR 49800 (August 12, 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)

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69 FR 49784 (August 12, 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)

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69 FR 43285 (July 20, 2004)

17 CFR Part 36 Exempt Commerical Markets

Final rulemaking, effective date 09/20/2004, see also 68 FR 66032 (November 25, 2003)

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69 FR 42135 (July 14, 2004)

Notice of Renewal of the Global Market Advisory Committee

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69 FR 41424 (July 09, 2004)

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

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69 FR 40359 (July 02, 2004)

Agricultural Advisory Committee Meeting

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69 FR 38478 (June 28, 2004)

17 CFR Ch. 1 Regulatory Flexibility Agenda

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69 FR 28883 (May 19, 2004)

Global Markets Advisory Committee Meeting

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69 FR 16900 (March 31, 2004)

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

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69 FR 16792 (March 31, 2004)

17 CFR Part 3 Registration of Intermediaries

Correcting amendments, effective date 04/01/2004, see also: 67 FR 38869 (June 6, 2002)

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69 FR 11388 (March 10, 2004)

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

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69 FR 11386 (March 10, 2004)

Fees for Product Review and Approval

Annual update of fees for product approval, effective date 03/10/2004

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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)

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69 FR 632 (January 6, 2004)

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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======================== SECTION C ========================
Sunshine Act Announcements


69 FR 77233 (December 27, 2004)

Sunshine Act Meeting

Closed Commission Meeting 01/28/2005

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69 FR 77233 (December 27, 2004)

Sunshine Act Meeting

Closed Commission Meeting 01/21/2005

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69 FR 77233 (December 27, 2004)

Sunshine Act Meeting

Closed Commission Meeting 01/14/2005

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69 FR 77233 (December 27, 2004)

Sunshine Act Meeting

Closed Commission Meeting 01/07/2005

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69 FR 67545 (November 18, 2004)

Sunshine Act Meeting

Closed Commission Meeting 12/17/2004

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69 FR 67545 (November 18, 2004)

Sunshine Act Meeting

Closed Commission Meeting 12/10/2004

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69 FR 67544 (November 18, 2004)

Sunshine Act Meeting

Closed commission Meeting 12/03/2004

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69 FR 61659 (October 20, 2004)

Sunshine Act Meeting

Closed Commission Meeting 11/26/2004

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69 FR 61659 (October 20, 2004)

Sunshine Act Meeting

Closed commission Meeting 11/19/2004

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69 FR 61659 (October 20, 2004)

Sunshine Act Meeting

Closed Commission Meeting 11/12/2004

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69 FR 61659 (October 20, 2004)

Sunshine Act Meeting

Closed Commission Meeting 11/05/2005

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69 FR 58153 (September 29, 2004)

Sunshine Act Meeting

Closed Commission Meeting 09/29/2004, Cancelled, see also 69 FR 56748 (September 22, 2004)

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69 FR 56748 (September 22, 2004)

Sunshine Act Meeting

Closed Commission Meeting 09/29/2004, see also 69 FR 58153 (September 29, 2004)

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69 FR 56201 (September 20, 2004)

Sunshine Act Meeting

Closed Commission Meeting 10/29/2004

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69 FR 56201 (September 20, 2004)

Sunshine Act Meeting

Closed Commission Meeting 10/22/2004

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69 FR 56201 (September 20, 2004)

Sunshine Act Meeting

Closed Commission Meeting 10/15/2004

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69 FR 56201 (September 20, 2004)

Sunshine Act Meeting

Closed Commission Meeting 10/08/2004

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69 FR 56201 (September 20, 2004)

Sunshine Act Meeting

Closed Commission Meeting 10/01/2004

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69 FR 55144 (September 13, 2004)

Sunshine Act Meeting

Closed Commission Meeting 09/16/2004

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69 FR 51270 (August 18, 2004)

Sunshine Act Meeting

Closed Commission Meeting 09/24/2004

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69 FR 51270 (August 18, 2004)

Sunshine Act Meeting

Closed Commission Meeting 09/17/2004

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69 FR 51270 (August 18, 2004)

Sunshine Act Meeting

Closed Commission Meeting 09/10/2004

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69 FR 51270 (August 18, 2004)

Sunshine Act Meeting

Closed Commission Meeting 09/03/2004

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69 FR 43817 (July 22, 2004)

Sunshine Act Meeting

Closed Commission Meeting 08/27/2004

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69 FR 43817 (July 22, 2004)

Sunshine Act Meeting

Closed Commission Meeting 08/20/2004

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69 FR 43817 (July 22, 2004)

Sunshine Act Meeting

Closed Commission Meeting 08/13/2004

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69 FR 43817 (July 22, 2004)

Sunshine Act Meeting

Closed Commission Meeting 08/06/2004

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69 FR 34141 (June 18, 2004)

Sunshine Act Meeting

Closed Commission Meeting 07/30/2004

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69 FR 34141 (June 18, 2004)

Sunshine Act Meeting

Closed Commission Meeting 07/23/2004

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69 FR 34141 (June 18, 2004)

Sunshine Act Meeting

Closed Commission Meeting 07/16/2004

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69 FR 34141 (June 18, 2004)

Sunshine Act Meeting

Closed Commission Meeting 07/09/2004

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69 FR 34141 (June 18, 2004)

Sunshine Act Meeting

Closed Commission Meeting 07/02/2004

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69 FR 27897 (May 17, 2004)

Sunshine Act Meeting

Closed Commission Meeting 06/25/2004

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69 FR 27896 (May 17, 2004)

Sunshine Act Meeting

Closed Commission Meeting 06/18/2004

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69 FR 27696 (May 17, 2004)

Sunshine Act Meeting

Closed Commission Meeting 06/11/2004

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69 FR 27896 (May 17, 2004)

Sunshine Act Meetings

Closed Commission Meeting 06/04/2004

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69 FR 23732 (April 30, 2004)

Sunshine Act Meeting

Closed Commission Meeting 05/27/2004

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69 FR 21091 (April 20, 2004)

Sunshine Act Meeting

Closed Commission Meeting 05/28/2004

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69 FR 21091 (April 20, 2004)

Sunshine Act Meeting

Closed Commission Meeting 05/21/2004

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69 FR 21091 (April 20, 2004)

Sunshine Act Meeting

Closed Commission Meeting 05/14/02004

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69 FR 21091 (April 20, 2004)

Sunshine Act Meeting

Closed Commission Meeting 05/07/2004

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69 FR 18058 (April 6, 2004)

Sunshine Act Meeting

Closed Commission Meeting 04/13/2004

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69 FR 12644 (March 17, 2004)

Sunshine Act Meeting

Closed Commission Meeting 04/30/2004

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69 FR 12644 (March 17, 2004)

Sunshine Act Meeting

Closed Commission Meeting 04/23/2004

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69 FR 12644 (March 17, 2004)

Sunshine Act Meeting

Closed Commission Meeting 04/16/2004

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69 FR 12644 (March 17, 2004)

Sunshine Act Meeting

Closed Commission Meeting 04/09/2004

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69 FR 12644 (March 17, 2004)

Sunshine Act Meeting

Closed Commission Meeting 04/02/2004

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69 FR 7911 (February 20, 2004)

Sunshine Act Meeting

Closed Commission Meeting 03/26/2004

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69 FR 7910 (February 20, 2004)

Sunshine Act Meeting

Closed Commission Meeting 03/19/2004

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69 FR 7910 (February 20, 2004)

Sunshine Act Meeting

Closed Commission Meeting 03/12/2004

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69 FR 7910 (February 20, 2004)

Sunshine Act Meeting

Closed Commission Meeting 03/05/2004

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69 FR 4497 (January 30, 2004)

Sunshine Act Meeting

Open Commission Meeting 02/04/2004

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69 FR 2701 (January 20, 2004)

Sunshine Act Meeting

Closed Commission Meeting 02/27/2004

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69 FR 2701 (January 20, 2004)

Sunshine Act Meeting

Closed Commission Meeting 02/20/2004

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69 FR 2701 (January 20, 2004)

Sunshine Act Meeting

Closed Commission Meeting 02/13/2004

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69 FR 2701 (January 20, 2004)

Sunshine Act Meeting

Closed Commission Meeting 02/06/2004

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69 FR 1571 (January 9, 2004)

Sunshine Act Meeting

Closed Commission Meeting 01/30/2004

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69 FR 1570 (January 9, 2004)

Sunshine Act Meeting

Closed Commission Meeting 01/23/2004

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69 FR 1570 (January 9, 2004)

Sunshine Act Meeting

Closed Commission Meeting 01/16/2004

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69 FR 1570 (January 9, 2004)

Sunshine Act Meeting

Closed Commission Meeting 01/09/2004

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======================== 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

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69 FR 60988 (October 14, 2004)

Agency Information Collection Activities Under OMB Review

Notice

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69 FR 59581 (October 5, 2004)

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0095, Rules Relating to Security Futures Products

Notice

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69 FR 53047 (August 31, 2004)

Agency Information Collection Activities Under OMB Review

Notice

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69 FR 47419 (August 5, 2004)

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0022, Rules Pertaining to Contract Markets and Their Members

Notice

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69 FR 24656 (June 22, 2004)

Agency Information Collection Activities Under OMB Review: Notice of Intent To Renew Collection 3038-0054, Establishing Procedures for Entities Operating as Exempt Markets

Notice

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69 FR 24655 (June 22, 2004)

Agency Information Collection Activities Under OMB Review

Notice

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69 FR 34655 (June 22, 2004)

Agency Information Collection Activities Under OMB Review: Notice of Intent to Renew Collection 3038-0055, Privacy of Consumer Financial Information

Notice

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69 FR 33632 (June 16, 2004)

Agency Information Collection Activities Under OMB Review: Notice of Intent To Renew Collection 3038-0023, Registration Under the Commodity Exchange Act

Notice

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69 FR 32325 (June 9, 2004)

Agency Information Collection Activities; Notice of Intent To Renew Collection 3038-0025, Practice by Former Members and Employees of the Commission

Notice

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69 FR 31361 (June 3, 2004)

Agency Information Collection Activities Under OMB Review

Notice

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69 FR 26368 (May 12, 2004)

Agency Information Collection Activities: Notice of Intent To Amend Collection 3038-0009, Large Trader Reports

Notice

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69 FR 23732 (April 30, 2004)

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

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69 FR 18058 (April 6, 2004)

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0049, Procedural Requirements for Requests for Interpretative, No-Action, and Exemptive Letters

Notice

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69 FR 9598 (March 1, 2004)

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0055, Privacy of Consumer Financial Information

Notice

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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

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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

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