Security Futures Products Federal Register Releases

The CFTC individually and jointly with the Securities and Exchange Commission (SEC) promulgated rules and guidance in the Federal Register to provide for the listing and trading of security futures products based on single stocks and narrow-based indexes.

May 17, 2001: Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Proposed Rules (66 FR 27559)

July 2, 2001: Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Reopening and Extension of Comment Period (66 FR 34864)

July 20, 2001: Listing Standards and Conditions for Trading Security Futures Products; Proposed Rule (66 FR 37932)

August 20, 2001: 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

August 23, 2001: Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Final Rule (66 FR 44489)

August 30, 2001: Cash Settlement and Regulatory Halt Requirements for Security Futures Products; Proposed Rule (66 FR 45903)

November 1, 2001: Listing Standards and Conditions for Trading Security Futures Products; Final Rule (66 Fed. Reg. 55078)

December 13, 2001: Reporting Levels for Large Trader Reports; Security Futures Products; Proposed Rules (66 FR 64383)

March 15, 2002: Reporting Levels for Large Trader Reports; Security Futures Products; Final Rules (67 Fed. Reg. 11569)

March 25, 2002: Reporting Levels for Large Trader Reports; Security Futures Products; Correction (67 FR 13680)

May 24, 2002: Cash Settlement and Regulatory Halt Requirements for Security Futures Products; Final Rule (67 Fed. Reg. 36740)

June 6, 2002: Joint Order Excluding From the Definition of Narrow-Based Security Index Those Security Indexes That Qualified for the Exclusion From That Definition Under Section a1(25)(b)(iv) of the Commodity Exchange Act and Section 3(a)(55)(C)(v) of the Securities Exchange Act (67 38941)

June 25, 2002: 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 (67 Fed. Reg. 42760)

March 31, 2004: 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 (69 Fed. Reg. 16900)

July 29, 2005: Technical Amendments to Rules Setting Forth the Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index (70 FR 43748)

April 10, 2006: Joint Proposed Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities; Proposed Rules (71 FR 18030)

July 13, 2006: Joint Final Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities; Final Rules (71 Fed. Reg. 39534)

July 23, 2009: Joint Order To Exclude Indexes Composed 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 (74 Fed. Reg. 61116)

November 24, 2009: Joint Order Modifying the 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 (74 Fed. Reg. 61380)