<DOC>
[May 16, 2005 (Volume 70, Number 93)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID: f:ua050446.wais]
[Page 27836-27841]
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Part XLVI
Commodity Futures Trading Commission
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Semiannual Regulatory Agenda
[[Page 27836]]
COMMODITY FUTURES TRADING COMMISSION (CFTC)
_______________________________________________________________________
COMMODITY FUTURES TRADING COMMISSION
17 CFR Ch. I
Regulatory Flexibility Agenda
AGENCY: Commodity Futures Trading Commission.
ACTION: Semiannual regulatory agenda.
_______________________________________________________________________
SUMMARY: The Commodity Futures Trading Commission, in accordance with
the requirements of the Regulatory Flexibility Act, is publishing a
semiannual agenda of significant rules that the Commission expects to
propose or promulgate over the next year. The Commission welcomes
comments from small entities and others on the agenda.
FOR FURTHER INFORMATION CONTACT: Eileen A. Donovan, Assistant Secretary
for FOIA Matters, Commodity Futures Trading Commission, 1155 21st
Street NW., Washington, DC 20581, (202) 418-5096, [email protected].
SUPPLEMENTARY INFORMATION: The Regulatory Flexibility Act, 5 U.S.C.
601, et seq. (RFA), sets forth a number of requirements for agency
rulemaking. Among other things, the RFA requires that:
Semiannually, each agency shall publish in the Federal
Register a regulatory flexibility agenda that shall contain:
(1) A brief description of the subject area of any rule that
the agency expects to propose or promulgate, which is likely to
have a significant economic impact on a substantial number of small
entities;
(2) A summary of the nature of any such rule under
consideration for each subject area listed in the agenda pursuant
to paragraph (1), the objectives and legal basis for the issuance
of the rule, and an approximate schedule for completing action on
any rule for which the agency has issued a general notice of
proposed rulemaking; and
(3) The name and telephone number of an agency official
knowledgeable about the items listed in paragraph (1). 5 U.S.C.
602(a).
The Commission has prepared an agenda of significant rules
that it presently expects may be considered during the course of
the next year. These rules may have some impact on small
entities.\1\ In this regard, section 602(d) of the RFA, 5 U.S.C.
602(d), provides: ``Nothing in [section 602] precludes an agency
from considering or acting on any matter not included in a
regulatory flexibility agenda or requires an agency to consider or
act on any matter listed in such agenda.''
The Commission's spring 2005 regulatory flexibility agenda is
set forth below.
Issued in Washington, DC on April 1, 2005, by the Commission.
Jean A. Webb,
Secretary of the Commission.
\1\ The Commission published its definition of small entity to be used
in connection with rulemaking proceedings on April 30, 1982 (47 FR
18618). Pursuant to that definition, the Commission is not required to
list many of the agenda items contained in this regulatory flexibility
agenda. See 5 U.S.C. 602(a)(1). Moreover, the Commission has previously
certified, pursuant to section 605 of the RFA, 5 U.S.C. 605, that
certain items contained in this agenda will not have a significant
economic impact on a substantial number of small entities. Accordingly,
the listing of a rule in this regulatory flexibility agenda should not,
in any event, be taken as a determination that a rule, when proposed or
promulgated, will in fact require a regulatory flexibility analysis.
However, the Commission hopes that the publication of an agenda that
includes significant rules, regardless of their potential impact on
small entities, may serve the public generally by providing an early
and meaningful opportunity to participate in and comment on the
formulation of new or revised regulations. In addition to publishing
the regulatory flexibility agenda, the Commission also makes available
to the public, on a monthly basis, a calendar and, on a weekly basis,
posts an advisory on its website (http://www.cftc.gov) that lists rules
that the Commission is considering or will consider in the near future.
Commodity Futures Trading Commission--Proposed Rule Stage
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identifier
Number Number
----------------------------------------------------------------------------------------------------------------
3646 Offering and Selling Security Futures Products Traded on Foreign Boards of Trade to 3038-AB75
United States Persons; Requirements for Foreign Stock Index Contracts To Qualify as
Non-Narrow-Based Indices..............................................................
3647 Interagency Proposal To Consider Alternative Forms of Privacy Notices Under the Gramm- 3038-AC04
Leach-Bliley Act......................................................................
3648 Alternative Market Risk and Credit Risk Capital Charges and Amendments to Specified 3038-AC05
Foreign Currency Forward and Inventory Capital Charges for Futures Commission
Merchants and Introducing Brokers.....................................................
3649 Guidance on Clearing of Over-The-Counter Options on Exempt Commodities by a Designated 3038-AC17
Contract Market.......................................................................
3650 Definition of ``Client'' of a Commodity Trading Advisor; Unavailability of Exemption 3038-AC20
From Registration for Commodity Trading Advisors That Direct Client Accounts Pursuant
to Letters of Direction...............................................................
3651 Eligible Commercial Entities Authorized To Trade on Exempt Commercial Markets......... 3038-AC21
3652 Contract Market and Large Trader Reporting............................................ 3038-AC22
3653 Technical and Clarifying Amendments to Rules for Exempt Markets, Derivatives 3038-AC23
Transaction Execution Facilities, and Designated Contract Markets.....................
----------------------------------------------------------------------------------------------------------------
Commodity Futures Trading Commission--Final Rule Stage
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identifier
Number Number
----------------------------------------------------------------------------------------------------------------
3654 Execution of Off-Centralized Market Transactions: Regulation 1.38 and Guidance on Core 3038-AC07
Principle 9...........................................................................
3655 Investment of Customer Funds and Record of Investments................................ 3038-AC15
[[Page 27837]]
3656 Revision of Federal Speculative Limits................................................ 3038-AC24
----------------------------------------------------------------------------------------------------------------
Commodity Futures Trading Commission--Completed Actions
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identifier
Number Number
----------------------------------------------------------------------------------------------------------------
3657 Collection of Claims Owed the United States Arising from Activities Under the 3038-AC03
Commission's Jurisdiction.............................................................
3658 Reporting Levels and Trades Involving the Exchange of Futures......................... 3038-AC08
3659 Rules Relating to Review of National Futures Association Decisions in Disciplinary, 3038-AC12
Membership Denial, Registration, and Member Responsibility Actions....................
3660 Application Procedures for Registration as a Derivatives Transaction Execution 3038-AC14
Facility or Designation as a Contract Market..........................................
3661 Customer Permission for FCMs To Take the Opposite Side of an Order.................... 3038-AC16
3662 Delegation of Authority to Director of Division of Clearing and Intermediary Oversight 3038-AC18
----------------------------------------------------------------------------------------------------------------
_______________________________________________________________________
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
3646. OFFERING AND SELLING SECURITY FUTURES PRODUCTS TRADED ON FOREIGN
BOARDS OF TRADE TO UNITED STATES PERSONS; REQUIREMENTS FOR FOREIGN STOCK
INDEX CONTRACTS TO QUALIFY AS NON-NARROW-BASED INDICES
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat
2763
CFR Citation: Not Yet Determined
Legal Deadline: Other, Statutory, December 21, 2001, Within one year
after the date of enactment of the Commodity Futures Modernization Act
of 2000.
Abstract: The Commission and the Securities and Exchange Commission are
required to jointly issue: (1) rules, regulations, or orders as are
necessary and appropriate to permit the offer and sale of security
futures products traded on or subject to the rules of a foreign board
of trade to United States persons, and (2) rules and regulations that
set forth the requirements for foreign stock index contracts to qualify
as non-narrow-based indices.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 10/00/05
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Andrew V. Chapin, Special Counsel, Division of Clearing
and Intermediary Oversight, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5465
Fax: 202 418-5536
Email: [email protected]
Thomas M. Leahy Jr., Associate Director for Product Review, Division of
Market Oversight, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5278
Fax: 202 418-5527
Email: [email protected]
Related RIN: Related to 3038-AB78
RIN: 3038-AB75
_______________________________________________________________________
3647. INTERAGENCY PROPOSAL TO CONSIDER ALTERNATIVE FORMS OF PRIVACY
NOTICES UNDER THE GRAMM-LEACH-BLILEY ACT
Priority: Substantive, Nonsignificant. Major status under 5 USC 801 is
undetermined.
Legal Authority: 7 USC 7b-2; 7 USC 12a(5); 15 USC 6801 et seq
CFR Citation: 17 CFR 160
Legal Deadline: None
Abstract: Subtitle A of the Gramm-Leach-Bliley Act (GLB Act), captioned
Disclosure of Nonpublic Personal Information (15 U.S.C. 6801 et seq.),
requires each financial institution to provide a notice of its privacy
policies and practices to its consumer customers. In general, the
privacy notices must describe a financial institution's policies and
practices with respect to disclosing nonpublic personal information
about a consumer to both affiliated and nonaffiliated third parties,
and provide a consumer a reasonable opportunity to direct the
institution not to share nonpublic personal information about the
consumer with nonaffiliated third parties. The GLB Act agencies,
including CFTC, have published substantially identical regulations to
implement GLB title V, known collectively as the ``privacy rule.'' Many
notices issued under the privacy rule
[[Page 27838]]
were long and complex, and difficult to compare with each other.
Consequently, GLB Act agencies are considering whether to amend the
privacy rule to provide for simpler, more useful notices. The GLB Act
agencies intend to issue an advance notice of proposed rulemaking to
determine whether to propose changes to the privacy rule, and if so,
will seek further public comment on specific programs. Six of the eight
GLB Act agencies have entered into a memorandum of understanding
through which they intend to contract with a consumer testing firm.
CFTC is not a party to the MOU.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
ANPRM 12/30/03 68 FR 75164
ANPRM Comment Period End 03/29/04
NPRM 05/00/05
Regulatory Flexibility Analysis Required: No
Small Entities Affected: Businesses
Government Levels Affected: Federal
Agency Contact: Laura M. Richards, Senior Assistant General Counsel,
Office of General Counsel, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5126
Fax: 202 418-5524
Email: [email protected]
David Jacobsohn, Counsel, Office of General Counsel, Commodity Futures
Trading Commission, Three Lafayette Centre, 1155 21st Street NW.,
Washington, DC 20581
Phone: 202 418-5161
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AC04
_______________________________________________________________________
3648. ALTERNATIVE MARKET RISK AND CREDIT RISK CAPITAL CHARGES AND
AMENDMENTS TO SPECIFIED FOREIGN CURRENCY FORWARD AND INVENTORY CAPITAL
CHARGES FOR FUTURES COMMISSION MERCHANTS AND INTRODUCING BROKERS
Priority: Substantive, Nonsignificant. Major status under 5 USC 801 is
undetermined.
Legal Authority: 7 USC 6f(b)
CFR Citation: 17 CFR 1.17
Legal Deadline: None
Abstract: The Commission anticipates proposing amendments that would
permit qualifying futures commission merchants, that are also
securities brokers or dealers registered with the Securities and
Exchange Commission, to compute their net capital using alternative
market risk and credit risk models that have been approved by the
Securities and Exchange Commission. The proposal would also amend the
Commission's capital requirements by reducing from 20 percent to six
percent the capital charge that futures commission merchants and
introducing brokers are required to deduct from the market value of
uncovered forward contracts denominated in the following foreign
currencies: British pounds, Canadian dollars, Japanese yen, Swiss
francs, or the Euro. Uncovered forwards in other non-U.S. currencies
would remain subject to the 20 percent capital charge currently set
forth in the Commission's regulations.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 05/00/05
NPRM Comment Period End 07/00/05
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Thelma Diaz, Special Counsel, Division of Clearing and
Intermediary Oversight, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5137
Fax: 202 418-5536
Email: [email protected]
RIN: 3038-AC05
_______________________________________________________________________
3649. GUIDANCE ON CLEARING OF OVER-THE-COUNTER OPTIONS ON EXEMPT
COMMODITIES BY A DESIGNATED CONTRACT MARKET
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 2(h)
CFR Citation: None
Legal Deadline: None
Abstract: The Office of General Counsel will be issuing interpretive
guidance addressing the provision of centralized clearing services by a
designated contract market for over-the-counter options on exempt
commodities.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 05/00/05
Regulatory Flexibility Analysis Required: Undetermined
Government Levels Affected: Undetermined
Agency Contact: Elizabeth L. Ritter, Assistant General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5052
Fax: 202 418-5524
Email: [email protected]
Christine P. Remy, Counsel, Office of General Counsel, Commodity
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street
NW., Washington, DC 20581
Phone: 202 418-5134
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AC17
_______________________________________________________________________
3650. [bull] DEFINITION OF ``CLIENT'' OF A COMMODITY TRADING ADVISOR;
UNAVAILABILITY OF EXEMPTION FROM REGISTRATION FOR COMMODITY TRADING
ADVISORS THAT DIRECT CLIENT ACCOUNTS PURSUANT TO LETTERS OF DIRECTION
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 1a(6); 7 USC 6m; 7 USC 6g(a); 7 USC 12a(5)
CFR Citation: 17 CFR 1.3(bb); 17 CFR 4.14(a)(9); 17 CFR 4.10(f); 17 CFR
1.33(d)
Legal Deadline: None
Abstract: The Commission is proposing to amend various rules relating
to commodity trading advisors (CTAs). First, the Commission is
proposing to add to its rules a definition of the term ``client'' of a
CTA. Second, for CTAs that manage client accounts pursuant to a letter
of direction or other written authorization, the Commission is
proposing to specify situations in which the registration exemption for
CTAs providing standardized trading advice would not be available. In
connection with this latter proposal, the Commission is proposing to
specify situations in which a CTA managing
[[Page 27839]]
client accounts pursuant to a letter of direction or other written
authorization would be an account controller for the purposes of
receiving monthly and confirmation statements.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 05/00/05
NPRM Comment Period End 07/00/05
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: R. Stephen Painter Jr., Attorney-Advisor, Division of
Clearing and Intermediary Oversight, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street NW., Washington,
DC 20581
Phone: 202 418-5416
Fax: 202 418-5528
Email: [email protected]
RIN: 3038-AC20
_______________________________________________________________________
3651. [bull] ELIGIBLE COMMERCIAL ENTITIES AUTHORIZED TO TRADE ON EXEMPT
COMMERCIAL MARKETS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat
2763
CFR Citation: 17 CFR 36
Legal Deadline: None
Abstract: The Commission is proposing to codify existing Commission
orders applicable to: (1) Commission-registered floor brokers and floor
traders; and (2) International Petroleum Exchange floor or electronic
brokers and local traders and, pursuant to section 1a(11) of the
Commodity Exchange Act, designate by rule those and similarly-situated
entities to be, subject to conditions, eligible commercial entities for
the purpose of trading on exempt commercial markets.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 05/00/05
NPRM Comment Period End 06/00/05
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Duane C. Andresen, Special Counsel, Division of Market
Oversight, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5492
Fax: 202 418-5527
Email: [email protected]
RIN: 3038-AC21
_______________________________________________________________________
3652. [bull] CONTRACT MARKET AND LARGE TRADER REPORTING
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat
2763
CFR Citation: 17 USC 15 to 21
Legal Deadline: None
Abstract: The Commission is proposing to amend its large trader and
contract market reporting rules to permit their application to
derivatives transaction execution facilities when appropriate, to
introduce new reporting levels, and to take account of exchanges that
do not permit intermediation.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 05/00/05
NPRM Comment Period End 06/00/05
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Bruce Fekrat, Attorney, Division of Market Oversight,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5578
Fax: 202 418-5527
Email: [email protected]
RIN: 3038-AC22
_______________________________________________________________________
3653. [bull] TECHNICAL AND CLARIFYING AMENDMENTS TO RULES FOR EXEMPT
MARKETS, DERIVATIVES TRANSACTION EXECUTION FACILITIES, AND DESIGNATED
CONTRACT MARKETS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat
2763
CFR Citation: 17 CFR 36 to 38; 17 CFR 40
Legal Deadline: None
Abstract: The proposed amendments are intended to clarify and codify
acceptable practices under the rules for trading facilities, adopted
pursuant to the Commodity Futures Modernization Act of 2000. The
proposed amendments are based on the Commission's experience over the
past three and one half years in applying the rules for trading
facilities. The proposed amendments also would make various technical
corrections and conforming amendments to the rules.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 05/00/05
NPRM Comment Period End 06/00/05
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Donald H. Heitman, Senior Special Counsel, Division of
Market Oversight, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5041
Fax: 202 418-5507
Email: [email protected]
RIN: 3038-AC23
[[Page 27840]]
_______________________________________________________________________
Commodity Futures Trading Commission (CFTC) Final Rule Stage
_______________________________________________________________________
3654. EXECUTION OF OFF-CENTRALIZED MARKET TRANSACTIONS: REGULATION 1.38
AND GUIDANCE ON CORE PRINCIPLE 9
Priority: Substantive, Nonsignificant. Major status under 5 USC 801 is
undetermined.
Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat
2763
CFR Citation: 17 CFR 1; 17 CFR 38
Legal Deadline: None
Abstract: Since the Commission originally promulgated Regulation 1.38,
the Commodity Futures Modernization Act of 2000 (CFMA) was signed into
law. The CFMA, among other things, specifically expanded the allowable
transactions that could be executed off the centralized market. The
Commission has proposed amendments to its rules concerning trading off
the centralized market, including the addition of guidance on contract
market block trading rules, in light of further administrative
experience with, and consideration of, the implications of the CFMA.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 07/01/04 69 FR 39880
NPRM Comment Period End 08/30/04
Final Action 07/00/05
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Riva Spear Adriance, Associate Deputy Director,
Division of Market Oversight, Commodity Futures Trading Commission,
Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5494
Fax: 202 418-5507
Email: [email protected]
Gabrielle A. Sudik, Special Counsel, Division of Market Oversight,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5171
Fax: 202 418-5507
Email: [email protected]
RIN: 3038-AC07
_______________________________________________________________________
3655. INVESTMENT OF CUSTOMER FUNDS AND RECORD OF INVESTMENTS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 6(c); 7 USC 6d
CFR Citation: 17 CFR 1.25; 17 CFR 1.27
Legal Deadline: None
Abstract: The Commission proposed amendments to Rule 1.25 to address:
(1) standards for investing in instruments with embedded derivatives;
(2) requirements for adjustable rate securities; (3) concentration
limits on reverse repurchase agreements; (4) transactions by futures
commission merchants that are also registered as securities broker-
dealers; (5) rating standards and registration requirements for money
market mutual funds; (6) auditability standards for investment records;
and (7) certain technical changes, including a proposed amendment to
Rule 1.27 in connection with repurchase agreements and proposed
transactions by futures commission merchants that are also broker-
dealers.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 02/03/05 70 FR 5577
NPRM Comment Period End 03/07/05
Final Action 05/00/05
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Phyllis P. Dietz, Special Counsel, Division of Clearing
and Intermediary Oversight, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5449
Fax: 202 418-5536
Email: [email protected]
RIN: 3038-AC15
_______________________________________________________________________
3656. [bull] REVISION OF FEDERAL SPECULATIVE LIMITS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat
2763
CFR Citation: 17 CFR 150
Legal Deadline: None
Abstract: The Commission is proposing to increase speculative position
limits for single-month and all-months-combined positions for Chicago
Board of Trade Corn, Soybeans, Wheat, Soybean Oil, and Soybean Meal;
Minneapolis Grain Exchange Hard Red Spring Wheat; and Kansas City Board
of Trade Hard Winter Wheat. The Commission is also proposing to
increase the all-months-combined speculative position limit for the
Cotton No. 2 contract of the New York Board of Trade. Furthermore, the
Commission is proposing to delete several regulatory provisions that
have become obsolete.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 03/15/05 70 FR 12621
NPRM Comment Period End 04/14/05
Final Action 05/00/05
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Clarence Sanders, Attorney, Division of Market
Oversight, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5068
Fax: 202 418-5527
Email: [email protected]
RIN: 3038-AC24
[[Page 27841]]
_______________________________________________________________________
Commodity Futures Trading Commission (CFTC) Completed Actions
_______________________________________________________________________
3657. COLLECTION OF CLAIMS OWED THE UNITED STATES ARISING FROM
ACTIVITIES UNDER THE COMMISSION'S JURISDICTION
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 143
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
Final Action 08/31/04 69 FR 52995
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Terry Arbit
Phone: 202 418-5357
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AC03
_______________________________________________________________________
3658. REPORTING LEVELS AND TRADES INVOLVING THE EXCHANGE OF FUTURES
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 15 to 21
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
Final Action 12/21/04 69 FR 76392
Final Action Effective 01/20/05
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Gary J. Martinaitis
Phone: 202 418-5290
Fax: 202 418-5527
Email: [email protected]
RIN: 3038-AC08
_______________________________________________________________________
3659. RULES RELATING TO REVIEW OF NATIONAL FUTURES ASSOCIATION DECISIONS
IN DISCIPLINARY, MEMBERSHIP DENIAL, REGISTRATION, AND MEMBER
RESPONSIBILITY ACTIONS
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 171
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
NPRM 10/25/04 69 FR 62226
Final Action 01/13/05 70 FR 2350
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Thuy T. B. Dinh
Phone: 202 418-5128
Fax: 202 418-5524
Email: [email protected]
Gail B. Scott
Phone: 202 418-5139
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AC12
_______________________________________________________________________
3660. APPLICATION PROCEDURES FOR REGISTRATION AS A DERIVATIVES
TRANSACTION EXECUTION FACILITY OR DESIGNATION AS A CONTRACT MARKET
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 37; 17 CFR 38
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
Final Action 11/22/04 69 FR 67811
Final Action Effective 12/22/04
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Duane C. Andresen
Phone: 202 418-5492
Fax: 202 418-5527
Email: [email protected]
RIN: 3038-AC14
_______________________________________________________________________
3661. CUSTOMER PERMISSION FOR FCMS TO TAKE THE OPPOSITE SIDE OF AN ORDER
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 1.55
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
NPRM 11/09/04 69 FR 64873
Final Action 02/04/05 70 FR 5923
Final Action Effective 03/04/05
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Susan A. Elliott
Phone: 202 418-5464
Fax: 202 418-5528
Email: [email protected]
RIN: 3038-AC16
_______________________________________________________________________
3662. [bull] DELEGATION OF AUTHORITY TO DIRECTOR OF DIVISION OF CLEARING
AND INTERMEDIARY OVERSIGHT
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 1 et seq
CFR Citation: 17 CFR 140.93
Legal Deadline: None
Abstract: The Commission has amended Rule 140.93 to delegate certain
functions reserved to the Commission under part 4 pertaining to
commodity pool operators and commodity trading advisors.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
Final Action 01/14/05 70 FR 2565
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Barbara S. Gold, Associate Director, Division of
Clearing and Intermediary Oversight, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street NW., Washington,
DC 20581
Phone: 202 418-5450
Fax: 202 418-5528
Email: [email protected]
RIN: 3038-AC18
[FR Doc. 05-7667 Filed 05-13-05; 8:45 am]
BILLING CODE 6351-01-S
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