[May 14, 2001 (Volume 66, Number 93)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua14my01_048-1]
[Page 26447-26449]
COMMODITY FUTURES TRADING COMMISSION (CFTC)
_______________________________________________________________________
[[Page 26447]]
Part XLVIII
Commodity Futures Trading Commission
_______________________________________________________________________
Semiannual Regulatory Agenda
[[Page 26448]]
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 which 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: Ms. Barbara Webster Black, Special
Assistant to the Executive Director, Commodity Futures Trading
Commission, 1155 21st Street NW., Washington, DC 20581, (202) 418-5130,
[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:
(a) During the months of April and October of each year, 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 which
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
which it presently expects may be considered during the course of
the next year, irrespective of their potential 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." Pursuant to the request
of Andrew H. Card, Jr., Assistant to the President and Chief of
Staff, in his January 20, 2001 memorandum, the Commission has
decided that it will issue no final or proposed rules not mandated
by Congress until an agency head appointed by the President after
noon on January 20, 2001 reviews and approves the regulatory
action, or until further guidance is received from the
Administration.
The Commission's April 2001 regulatory flexibility agenda is
set forth below.
Issued in Washington, DC, on February 28, 2001 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 which
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,
an advisory which lists rules that the Commission is considering or
will consider in the near future.
Commodity Futures Trading Commission--Proposed Rule Stage
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identification
Number Number
----------------------------------------------------------------------------------------------------------------
4035 Denomination of Customer Funds and Location of Depositories......................... 3038-AB31
4036 New Regulatory Framework for Trading Facilities, Intermediaries, and Clearing 3038-AB63
Organizations.......................................................................
4037 Minimum Financial Requirements for Futures Commission Merchants and Introducing 3038-AB64
Brokers.............................................................................
4038 Rules Relating to Intermediaries of Commodity Interest Transactions................. 3038-AB65
4039 A New Regulatory Framework for Clearing Organizations............................... 3038-AB66
4040 Opting Out of Segregation by Eligible Contract Participants in Connection with 3038-AB67
Derivatives Transaction Execution Facility Transactions.............................
4041 CFTC Conformance with Title V Privacy Provisions of the Gramm-Leach-Bliley Act for 3038-AB68
Federal Functional Regulators.......................................................
4042 Regulation of Hybrid Instruments.................................................... 3038-AB69
4043 Use of Broker-Dealers, Depository Institutions, and Farm Crediting System 3038-AB70
Institutions as Intermediaries on Derivatives Transaction Execution Facilities......
4044 Margin Requirements for Security Futures Products................................... 3038-AB71
4045 Exemption From Compliance With the Listing Standards for Security Futures Products.. 3038-AB72
4046 Authority To Modify Security Futures Product Listing Standards...................... 3038-AB73
4047 Compliance Date for Security Futures Products To Be Cleared by a Clearing Agency 3038-AB74
That Has Linked and Coordinated Clearing With Other Clearing Agencies...............
[[Page 26449]]
4048 Offering and Selling Security Futures Products Traded on Foreign Boards of Trade to 3038-AB75
United States Persons...............................................................
4049 Avoidance of Duplicative or Conflicting Regulations Applicable to Dual Registrants.. 3038-AB76
4050 Determination of Market Capitalization and the Dollar Value of Average Daily Trading 3038-AB77
Volume for Narrow-Based and Broad-Based Security Indices............................
4051 Requirements for Foreign Stock Index Contracts To Qualify as Non-Narrow-Based 3038-AB78
Indices.............................................................................
4052 Special Procedures To Encourage and Facilitate Bona Fide Hedging by Agricultural 3038-AB79
Producers...........................................................................
4053 Procedures for Exempting Brokers or Dealers From the Commodity Exchange Act......... 3038-AB81
4054 Procedures for Exempting Boards of Trade and Designated Contract Markets From the 3038-AB82
Commodity Exchange Act..............................................................
4055 Prohibition Against Dual Trading.................................................... 3038-AB83
----------------------------------------------------------------------------------------------------------------
Commodity Futures Trading Commission--Final Rule Stage
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identification
Number Number
----------------------------------------------------------------------------------------------------------------
4056 Performance Disclosures for Commodity Trading Advisors and Commodity Pool Operators. 3038-AB39
4057 Registration Exemptions Pertaining to the Offer and Sale of Foreign Futures and 3038-AB45
Foreign Options Contracts to Customers Located in the United States.................
4058 Segregated Account; Daily Computation and Record.................................... 3038-AB52
----------------------------------------------------------------------------------------------------------------
Commodity Futures Trading Commission--Long-Term Actions
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identification
Number Number
----------------------------------------------------------------------------------------------------------------
4059 Public Reporting by Operators of Certain Large Commodity Pools--Regulations 4.7, 3038-AB40
4.12, and 4.27......................................................................
4060 Trade Options on Enumerated Agricultural Commodities................................ 3038-AB61
----------------------------------------------------------------------------------------------------------------
Commodity Futures Trading Commission--Completed Actions
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identification
Number Number
----------------------------------------------------------------------------------------------------------------
4061 Market Rule Review Procedures....................................................... 3038-AB44
4062 Revision of Commission's Procedure for the Review of Contract Market Rules.......... 3038-AB50
4063 Minimum Financial Requirements for Futures Commission Merchants and Introducing 3038-AB54
Brokers.............................................................................
4064 New Regulatory Framework for Multilateral Transaction Execution Facilities, 3038-AB55
Intermediaries, and Clearing Organizations..........................................
4065 Rules Relating to Intermediaries of Commodity Interest Transactions................. 3038-AB56
4066 New Regulatory Framework for Clearing Organizations................................. 3038-AB57
4067 Exemption for Bilateral Transactions................................................ 3038-AB58
----------------------------------------------------------------------------------------------------------------
_______________________________________________________________________
[Page 26449-26450]
COMMODITY FUTURES TRADING COMMISSION (CFTC) Proposed Rule Stage
_______________________________________________________________________
4035. DENOMINATION OF CUSTOMER FUNDS AND LOCATION OF DEPOSITORIES
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 1a; 7 USC 2; 7 USC 2a; 7 USC 4; 7 USC 4a; 7 USC
6; 7 USC 6a to 6h; 7 USC 6l
CFR Citation: Not Yet Determined
Legal Deadline: None
Abstract: The Commission is proposing rules requesting public comment
on how to address the risks relating to holding segregated funds
offshore or in foreign currencies.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
Concept Release 12/30/97 62 FR 67841
NPRM 05/00/01
NPRM Comment Period End 07/00/01
[[Page 26450]]
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Helene D. Schroeder, Attorney Advisor, Division of
Trading and Markets, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5424
Fax: 202 418-5528
Email: [email protected]
RIN: 3038-AB31
_______________________________________________________________________
[Page 26450]
COMMODITY FUTURES TRADING COMMISSION (CFTC) Proposed Rule Stage
_______________________________________________________________________
4036. NEW REGULATORY FRAMEWORK FOR TRADING FACILITIES,
INTERMEDIARIES, AND CLEARING ORGANIZATIONS
Priority: Other Significant
Legal Authority: 7 USC 1a; 7 USC 2; 7 USC 2a; 7 USC 4; 7 USC 4a; 7 USC
5; 7 USC 6; 7 USC 6a-6p; 7 USC 7; 7 USC 7a-b; 7 USC 8; 7 USC 9; 7 USC
12; 7 USC 12a; 7 USC 12c; 7 USC 13a; 7 USC 13a-1; 7 USC 16; 7 USC 16a;
7 USC 19; 7 USC 21; 7 USC 23; 7 USC 24; as amended by PL 106-554, 114
Stat. 2763
CFR Citation: 17 CFR 1; 17 CFR 5; 17 CFR 15; 17 CFR 20; 17 CFR 36; 17
CFR 37; 17 CFR 38; 17 CFR 40; 17 CFR 41; 17 CFR 100; 17 CFR 170; 17 CFR
180; ...
Legal Deadline: None
Abstract: The Commodity Futures Trading Commission intends to propose
rules to implement the new provisions of the Commodity Futures
Modernization Act of 2000 relating to trading facilities. The proposed
rules will implement the new statutory framework establishing three new
market categories, including exempt markets, and two categories of
markets subject to Commission regulatory oversight--designated contract
markets and registered derivatives transaction execution facilities.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 03/09/01 66 FR 14262
NPRM Comment Period End 04/09/01
Final Action 05/00/01
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Paul M. Architzel, Chief Counsel, Division of Economic
Analysis, Commodity Futures Trading Commission, Three Lafayette Centre,
1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5260
Fax: 202 418-5527
Email: [email protected]
Alan L. Seifert, Deputy Director, Division of Trading and Markets,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5490
Email: [email protected]
Lawrence B. Patent, Associate Chief Counsel, Division of Trading and
Markets, Commodity Futures Trading Commission, Three Lafayette Centre,
1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5439
Email: [email protected]
Riva Spear Adriance, Special Counsel, Division of Trading and Markets,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5494
Fax: 202 418-5536
Email: [email protected]
RIN: 3038-AB63
_______________________________________________________________________
[Page 26450]
COMMODITY FUTURES TRADING COMMISSION (CFTC) Proposed Rule Stage
_______________________________________________________________________
4037. MINIMUM FINANCIAL REQUIREMENTS FOR FUTURES COMMISSION
MERCHANTS AND INTRODUCING BROKERS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 6f
CFR Citation: 17 CFR 1.17
Legal Deadline: None
Abstract: The Commission is requesting public comment on proposed
amendments to Rule 1.17 that would adopt a risk-based capital
requirement for futures commission merchants.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 06/00/01
NPRM Comment Period End 07/00/01
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Thomas J. Smith, Special Counsel, Division of Trading
and Markets, Commodity Futures Trading Commission, Three Lafayette
Centre, 1121 21st Street NW., Washington, DC 20581
Phone: 202 418-5495
Email: [email protected]
RIN: 3038-AB64
_______________________________________________________________________
[Page 26450-26451]
COMMODITY FUTURES TRADING COMMISSION (CFTC) Proposed Rule Stage
_______________________________________________________________________
4038. RULES RELATING TO INTERMEDIARIES OF COMMODITY INTEREST
TRANSACTIONS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 2; 7 USC 6(c); 7 USC 6b; 7 USC 6d; 7 USC 6f; 7
USC 6m; 7 USC 6n; 7 USC 12a; 7 USC 23; as amended by PL 106-554, 114
Stat. 2763
CFR Citation: 17 CFR 1.3; 17 CFR 1.10; 17 CFR 1.17; 17 CFR 1.33; 17 CFR
1.46; 17 CFR 1.52; 17 CFR 1.55; 17 CFR 3.1; 17 CFR 3.10; 17 CFR 3.21;
17 CFR 3.31; 17 CFR 3.32; 17 CFR 3.34; 17 CFR 3, app A; 17 CFR 3, app
B; 17 CFR 4.10; 17 CFR 4.24; 17 CFR 4.32; 17 CFR 4.34; 17 CFR 140.91;
17 CFR 155.2; 17 CFR 155.3; 17 CFR 155.4; 17 CFR 155.5; 17 CFR 155.6;
17 CFR 166.5
Legal Deadline: None
Abstract: The Commission will revise its rules relating to
intermediation of commodity interest transactions. The new rules and
rule amendments will affect the definition of the term "principal,"
updating of registration applications, certified financial reports,
ethics training, disclosure, account opening procedures, trading
standards, reporting requirements, and offsetting positions.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 05/00/01
NPRM Comment Period End 07/00/01
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Ky Tran-Trong, Attorney, Division of Trading and
Markets, Commodity Futures Trading Commission, Three Lafayette Centre,
1155 21st Street NW., Washington, DC 20581
[[Page 26451]]
Phone: 202 418-5452
Fax: 202 418-5536
Email: [email protected]
RIN: 3038-AB65
_______________________________________________________________________
[Page 26451]
COMMODITY FUTURES TRADING COMMISSION (CFTC) Proposed Rule Stage
_______________________________________________________________________
4039. A NEW REGULATORY FRAMEWORK FOR CLEARING ORGANIZATIONS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 2; 7 USC 6(c); 7 USC 7a; 7 USC 12a(5); as
amended by PL 106-554, 114 Stat. 2763
CFR Citation: 17 CFR 39
Legal Deadline: None
Abstract: The Commission will promulgate a new regulatory framework to
apply to clearing organizations as part of an initiative that will
establish new rules for multilateral transaction execution facilities
and market intermediaries.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 04/00/01
NPRM Comment Period End 05/00/01
Final Action 06/00/01
Final Action Effective 08/00/01
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Lois J. Gregory, Special Counsel, Division of Trading
and Markets, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5260
Fax: 202 418-5536
Email: [email protected]
RIN: 3038-AB66
_______________________________________________________________________
[Page 26451]
COMMODITY FUTURES TRADING COMMISSION (CFTC) Proposed Rule Stage
_______________________________________________________________________
4040. OPTING OUT OF SEGREGATION BY ELIGIBLE CONTRACT
PARTICIPANTS IN CONNECTION WITH DERIVATIVES TRANSACTION EXECUTION
FACILITY TRANSACTIONS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 7a(f), as amended by PL 106-554, 114 Stat 2763
CFR Citation: 17 CFR 1.3(k); 17 CFR 1.37; 17 CFR 1.68; 17 CFR
190.01(bb)
Legal Deadline: Final, Statutory, June 19, 2001, 180 days after
enactment of Commodity Futures Modernization Act of 2000.
Abstract: The Commission is proposing rules to permit a registered
derivatives transaction execution facility (DTF) to authorize a FCM to
allow a customer that is an eligible contract participant to instruct
the FCM not to segregate the customer's funds related to DTF
transactions from the FCM's own funds. The rules would also address
procedures for ``opting out'' of segregation, including disclosure and
bankruptcy treatment.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 03/13/01 66 FR 14507
NPRM Comment Period End 04/12/01
Final Action 04/00/01
Final Action Effective 04/00/01
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Michael A. Piracci, Attorney, Division of Trading and
Markets, Commodity Futures Trading Commission, Three Lafayette Centre,
1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5446
Fax: 202 418-5536
Email: [email protected]
RIN: 3038-AB67
_______________________________________________________________________
[Page 26451]
COMMODITY FUTURES TRADING COMMISSION (CFTC) Proposed Rule Stage
_______________________________________________________________________
4041. CFTC CONFORMANCE WITH TITLE V PRIVACY PROVISIONS OF THE
GRAMM-LEACH-BLILEY ACT FOR FEDERAL FUNCTIONAL REGULATORS
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, June 21, 2001, Prescribe regulations
prior to 06/21/2001.
Abstract: Prior to June 21, 2001, the Commission is required to
prescribe regulations to ensure conformance with Title V privacy
provisions of the Gramm-Leach-Bliley Act for federal functional
regulators.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 03/19/01 66 FR 15549
NPRM Comment Period End 04/18/01
Final Action 04/00/01
Final Action Effective 04/00/01
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB68
_______________________________________________________________________
[Page 26451-26452]
COMMODITY FUTURES TRADING COMMISSION (CFTC) Proposed Rule Stage
_______________________________________________________________________
4042. REGULATION OF HYBRID INSTRUMENTS
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: None
Abstract: The Commission is required, after consulting with and
obtaining the concurrence of the Board of Governors of the Federal
Reserve System, to prescribe regulations to govern hybrid instruments
if it determines that it is in the public interest and consistent with
the Commodity Exchange Act, and the product is not predominantly a
banking product under the test enumerated in Title IV of the Commodity
Futures Modernization Act of 2000.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 01/00/02
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
[[Page 26452]]
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB69
_______________________________________________________________________
[Page 26452]
COMMODITY FUTURES TRADING COMMISSION (CFTC) Proposed Rule Stage
_______________________________________________________________________
4043. USE OF BROKER-DEALERS, DEPOSITORY INSTITUTIONS, AND FARM
CREDITING SYSTEM INSTITUTIONS AS INTERMEDIARIES ON DERIVATIVES
TRANSACTION EXECUTION FACILITIES
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: None
Abstract: The Commission is required to coordinate with the Securities
and Exchange Commission, the Secretary of the Treasury and Federal
banking regulators (including the Farm Credit Administration) in
adopting rules and taking any other appropriate action to implement the
provisions of the Commodity Futures Modernization Act of 2000 relating
to the use of broker-dealers, depository institutions, and farm credit
system institutions as intermediaries on derivatives transaction
execution facilities.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 01/00/02
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB70
_______________________________________________________________________
[Page 26452]
COMMODITY FUTURES TRADING COMMISSION (CFTC) Proposed Rule Stage
_______________________________________________________________________
4044. MARGIN REQUIREMENTS FOR SECURITY FUTURES PRODUCTS
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: None
Abstract: The Board of Governors of the Federal Reserve System may
delegate its authority and have the Commission and the Securities and
Exchange Commission, within a reasonable period of time after
delegation, jointly prescribe regulations to establish margin
requirements, including the establishment of levels of margin, for
security futures products.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 04/00/01
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB71
_______________________________________________________________________
[Page 26452]
COMMODITY FUTURES TRADING COMMISSION (CFTC) Proposed Rule Stage
_______________________________________________________________________
4045. EXEMPTION FROM COMPLIANCE WITH THE LISTING STANDARDS FOR
SECURITY FUTURES PRODUCTS
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: None
Abstract: The Commission and the Securities and Exchange Commission may
jointly issue an order that exempts any person from compliance with the
listing standards requirements for a security futures product to be
cleared by a clearing agency that has in place provisions for linked
and coordinated clearing with other clearing agencies that clear
security futures products.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 01/00/02
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB72
_______________________________________________________________________
[Page 26452]
COMMODITY FUTURES TRADING COMMISSION (CFTC) Proposed Rule Stage
_______________________________________________________________________
4046. AUTHORITY TO MODIFY SECURITY FUTURES PRODUCT LISTING
STANDARDS
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: None
Abstract: The Commission and the Securities and Exchange Commission may
adopt rules to jointly modify security futures product listing
standards requiring that any security underlying the security future,
including each component security of a narrow-based security index, be
registered pursuant to Section 12 of the Securities Exchange Act of
1934, and that the security futures be based upon common stock and such
other equity securities as both agencies jointly determine appropriate.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 01/00/02
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB73
_______________________________________________________________________
[Page 26452-26453]
COMMODITY FUTURES TRADING COMMISSION (CFTC) Proposed Rule Stage
_______________________________________________________________________
4047. COMPLIANCE DATE FOR SECURITY FUTURES PRODUCTS TO BE
CLEARED BY A CLEARING AGENCY THAT HAS LINKED AND COORDINATED CLEARING
WITH OTHER CLEARING AGENCIES
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: None
Abstract: The Commission and the Securities and Exchange Commission are
required to jointly publish in the Federal Register a notice of the
compliance date for requiring security futures products to be cleared
by a clearing agency that has in place
[[Page 26453]]
provisions for linked and coordinated clearing with other clearing
agencies that clear security futures products to be purchased on one
market and offset on another market that trades such product within 165
days of the compliance date.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 01/00/02
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB74
_______________________________________________________________________
[Page 26453]
COMMODITY FUTURES TRADING COMMISSION (CFTC) Proposed Rule Stage
_______________________________________________________________________
4048. OFFERING AND SELLING SECURITY FUTURES PRODUCTS TRADED ON
FOREIGN BOARDS OF TRADE TO UNITED STATES PERSONS
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: None
Abstract: The Commission and the Securities and Exchange Commission are
required to jointly issue 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.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 04/00/01
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB75
_______________________________________________________________________
[Page 26453]
COMMODITY FUTURES TRADING COMMISSION (CFTC) Proposed Rule Stage
_______________________________________________________________________
4049. AVOIDANCE OF DUPLICATIVE OR CONFLICTING REGULATIONS
APPLICABLE TO DUAL REGISTRANTS
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: None
Abstract: The Commission, in consultation with the Securities and
Exchange Commission, is required to issue rules, regulations, or orders
as are necessary to avoid duplicative or conflicting regulations
applicable to dual registrants involving security futures products.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 04/00/01
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB76
_______________________________________________________________________
[Page 26453]
COMMODITY FUTURES TRADING COMMISSION (CFTC) Proposed Rule Stage
_______________________________________________________________________
4050. DETERMINATION OF MARKET CAPITALIZATION AND THE DOLLAR
VALUE OF AVERAGE DAILY TRADING VOLUME FOR NARROW-BASED AND BROAD-BASED
SECURITY 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: None
Abstract: The Commission and the Securities and Exchange Commission are
required to jointly prescribe rules and regulations that specify the
methods to be used to determine market capitalization and the dollar
value of average daily trading volume for narrow-based and broad-based
security indices.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 04/00/01
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB77
_______________________________________________________________________
[Page 26453-26454]
COMMODITY FUTURES TRADING COMMISSION (CFTC) Proposed Rule Stage
_______________________________________________________________________
4051. 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, Prior to 12/21/
2001.
Within one year after the date of enactment of the Commodity Futures
Modernization Act of 2000.
Abstract: Prior to December 21, 2001, the Commission and the Securities
and Exchange Commission are required to jointly adopt 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 04/00/01
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB78
[[Page 26454]]
_______________________________________________________________________
[Page 26454]
COMMODITY FUTURES TRADING COMMISSION (CFTC) Proposed Rule Stage
_______________________________________________________________________
4052. SPECIAL PROCEDURES TO ENCOURAGE AND FACILITATE BONA FIDE
HEDGING BY AGRICULTURAL PRODUCERS
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: None
Abstract: The Commission is required to consider issuing rules or
orders which prescribe procedures for contract markets to provide
orderly delivery and increased ease for domestic agricultural producers
to hedge price risk.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 04/00/01
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB79
_______________________________________________________________________
[Page 26454]
COMMODITY FUTURES TRADING COMMISSION (CFTC) Proposed Rule Stage
_______________________________________________________________________
4053. PROCEDURES FOR EXEMPTING BROKERS OR DEALERS FROM THE
COMMODITY EXCHANGE ACT
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: None
Abstract: The Commission is required, by rule or regulation, to
determine the procedures under which it may exempt any broker or dealer
from any provision of the Commodity Exchange Act or its rules or
regulations to the extent such exemption is necessary for the public
interest and is consistent with the protection of investors for
security futures trading.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 04/19/01 66 FR 20118
NPRM Comment Period End 05/21/01
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Christopher W. Cummings, Attorney Advisor, Division of
Trading and Markets, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5445
Fax: 202 418-5536
Email: [email protected]
RIN: 3038-AB81
_______________________________________________________________________
[Page 26454]
COMMODITY FUTURES TRADING COMMISSION (CFTC) Proposed Rule Stage
_______________________________________________________________________
4054. PROCEDURES FOR EXEMPTING BOARDS OF TRADE AND DESIGNATED
CONTRACT MARKETS FROM THE COMMODITY EXCHANGE ACT
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: None
Abstract: The Commission is required, by rule or regulation, to
determine the procedures under which it may exempt any board of trade
registered as a national security exchange, or which is a national
securities association or an alternative trading system, that is a
designated contract market, from any provision of the Commodity
Exchange Act, its rules or regulations, to the extent such exemption is
necessary for the public interest and is consistent with the protection
of investors for security futures trading. In addition, except as
provided by the requirements of such rule or regulation, the Commission
may conditionally or unconditionally exempt any designated contract
market in security futures products from any provision of the Commodity
Exchange Act.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 04/00/01
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Joshua Marlow, Attorney Advisor, Division of Trading
and Markets, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5484
Fax: 202 418-5536
Email: [email protected]
RIN: 3038-AB82
_______________________________________________________________________
[Page 26454-26455] COMMODITY FUTURES TRADING COMMISSION (CFTC) Proposed Rule Stage _______________________________________________________________________ 4055. PROHIBITION AGAINST DUAL TRADING 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: None Abstract: The Commission is required to issue regulations to prohibit dual trading in security futures products on contract markets and derivatives transaction execution facilities. Timetable: ________________________________________________________________________ Action Date FR Cite ________________________________________________________________________ NPRM 04/00/01 Regulatory Flexibility Analysis Required: No Government Levels Affected: None Agency Contact: Rachel F. Berdansky, Attorney Advisor, Division of Trading and Markets, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Phone: 202 418-5429 Fax: 202 418-5536 Email: [email protected] RIN: 3038-AB83 [[Page 26455]] _______________________________________________________________________ [Page 26455] COMMODITY FUTURES TRADING COMMISSION (CFTC) Final Rule Stage _______________________________________________________________________ 4056. PERFORMANCE DISCLOSURES FOR COMMODITY TRADING ADVISORS AND COMMODITY POOL OPERATORS Priority: Substantive, Nonsignificant Legal Authority: 7 USC 6n; 7 USC 6o; 7 USC 12a CFR Citation: 17 CFR 4.25; 17 CFR 4.35 Legal Deadline: None Abstract: The Commodity Futures Trading Commission is proposing amendments to the requirements concerning the presentation of rate of return data by commodity trading advisors and commodity pool operators. The Commission's proposed rules address computational and disclosure matters relating to participating in commodity trading advisor programs on a partially-funded basis. Timetable: ________________________________________________________________________ Action Date FR Cite ________________________________________________________________________ ANPRM 06/18/98 63 FR 33297 ANPRM Comment Period End 09/16/98 NPRM 08/02/99 64 FR 41843 NPRM Comment Period End 10/01/99 Final Action 05/00/01 Final Action Effective 07/00/01 Regulatory Flexibility Analysis Required: No Government Levels Affected: None Agency Contact: Robert B. Wasserman, Associate Director, Division of Trading and Markets, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Phone: 202 418-5092 Fax: 202 418-5528 Email: [email protected] RIN: 3038-AB39 _______________________________________________________________________
[Page 26455] COMMODITY FUTURES TRADING COMMISSION (CFTC) Final Rule Stage _______________________________________________________________________ 4057. REGISTRATION EXEMPTIONS PERTAINING TO THE OFFER AND SALE OF FOREIGN FUTURES AND FOREIGN OPTIONS CONTRACTS TO CUSTOMERS LOCATED IN THE UNITED STATES Priority: Substantive, Nonsignificant Legal Authority: 7 USC 2(a)(1)(A); 7 USC 6(b); 7 USC 6c CFR Citation: 17 CFR 30.1; 17 CFR 30.4; 17 CFR 30.10 Legal Deadline: None Abstract: The Commission proposes to codify some of the interpretations and positions that its staff has taken regarding registration requirements under Part 30 of the Commission's rules, which governs, generally, the solicitation and sale of foreign futures and foreign options contracts to customers located in the United States. The Commission proposes to modify Rule 30.4(a) by clarifying that foreign futures and options brokers, including those with U.S. bank branches, are not required to register as futures commission merchants (FCMs) pursuant to Rule 30.4, or seek Rule 30.10 relief, if they fall generally into the following categories: (1) those that carry customer omnibus accounts for U.S. FCMs; (2) those that carry U.S. affiliate accounts that are proprietary to the foreign futures and options broker; and (3) those that carry U.S. accounts that are proprietary to a U.S. FCM. In addition, proposed Rule 30.10(a) will specify representations that must be made by a foreign futures and options broker that has U.S. bank branches in order to obtain a Rule 30.10 comparability exemption or to come within the registration exception of Rule 30.4. Timetable: ________________________________________________________________________ Action Date FR Cite ________________________________________________________________________ NPRM 08/26/99 64 FR 46613 NPRM Comment Period End 10/25/99 Final Action 08/00/01 Regulatory Flexibility Analysis Required: No Small Entities Affected: No Government Levels Affected: None Agency Contact: Susan A. Elliott, Attorney Advisor, Division of Trading and Markets, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Phone: 202 418-5464 Fax: 202 418-5528 Email: [email protected] RIN: 3038-AB45 _______________________________________________________________________ [Page 26455-26456] COMMODITY FUTURES TRADING COMMISSION (CFTC) Final Rule Stage _______________________________________________________________________ 4058. SEGREGATED ACCOUNT; DAILY COMPUTATION AND RECORD Priority: Substantive, Nonsignificant Legal Authority: 7 USC 6d CFR Citation: 17 CFR 1.32 Legal Deadline: None Abstract: The Commodity Futures Trading Commission is proposing to amend Rule 1.32 to provide that a futures commission merchant (FCM), when computing its segregation requirement, may offset deficits in customer accounts with readily marketable securities deposited by such customers to margin their futures and option positions. Timetable: ________________________________________________________________________ Action Date FR Cite ________________________________________________________________________ NPRM 10/31/00 65 FR 64904 NPRM Comment Period End 11/30/00 Final Action 05/00/01 Regulatory Flexibility Analysis Required: No Small Entities Affected: No Government Levels Affected: None Agency Contact: Thomas J. Smith, Special Counsel, Division of Trading and Markets, Commodity Futures Trading Commission, Three Lafayette Centre, 1121 21st Street NW., Washington, DC 20581 Phone: 202 418-5495 Email: [email protected] RIN: 3038-AB52 [[Page 26456]] _______________________________________________________________________ [Page 26456] COMMODITY FUTURES TRADING COMMISSION (CFTC) Long-Term Actions _______________________________________________________________________ 4059. PUBLIC REPORTING BY OPERATORS OF CERTAIN LARGE COMMODITY POOLS-- REGULATIONS 4.7, 4.12, AND 4.27 Priority: Substantive, Nonsignificant CFR Citation: 17 CFR 4.7; 17 CFR 4.12; 17 CFR 4.27 (Proposed) Timetable: ________________________________________________________________________ Action Date FR Cite ________________________________________________________________________ NPRM 04/17/00 65 FR 20395 NPRM Comment Period End 06/16/00 Next Action Undetermined Regulatory Flexibility Analysis Required: No Government Levels Affected: None Agency Contact: Tobey Kaczensky Phone: 202 418-5460 Fax: 202 418-5520 Email: [email protected] RIN: 3038-AB40 _______________________________________________________________________ [Page 26456] COMMODITY FUTURES TRADING COMMISSION (CFTC) Long-Term Actions _______________________________________________________________________ 4060. TRADE OPTIONS ON ENUMERATED AGRICULTURAL COMMODITIES Priority: Substantive, Nonsignificant Legal Authority: 7 USC 2; 7 USC 6c; 7 USC 12a CFR Citation: 17 CFR 32.13 Legal Deadline: None Abstract: The Commission is proposing a technical revision to its agricultural trade option rule to clarify the requirements for an exemption therefrom. Timetable: ________________________________________________________________________ Action Date FR Cite ________________________________________________________________________ NPRM 12/13/00 65 FR 77838 NPRM Comment Period End 12/28/00 Next Action Undetermined Regulatory Flexibility Analysis Required: No Government Levels Affected: None Agency Contact: Paul M. Architzel, Chief Counsel, Division of Economic Analysis, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Phone: 202 418-5260 Fax: 202 418-5527 Email: [email protected] Nancy E. Yanofsky, Assistant Chief Counsel, Division of Economic Analysis, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581 Phone: 202 418-5260 Fax: 202 418-5527 Email: [email protected] RIN: 3038-AB61 _______________________________________________________________________ [Page 26456] COMMODITY FUTURES TRADING COMMISSION (CFTC) Completed Actions _______________________________________________________________________ 4061. MARKET RULE REVIEW PROCEDURES Priority: Other Significant CFR Citation: 17 CFR 1 Completed: ________________________________________________________________________ Reason Date FR Cite ________________________________________________________________________ Withdrawn 12/28/00 65 FR 82272 Regulatory Flexibility Analysis Required: No Government Levels Affected: Undetermined Agency Contact: Richard A. Shilts Phone: 202 418-5260 Fax: 202 418-5527 Email: [email protected] RIN: 3038-AB44 _______________________________________________________________________ [Page 26456] COMMODITY FUTURES TRADING COMMISSION (CFTC) Completed Actions _______________________________________________________________________ 4062. REVISION OF COMMISSION'S PROCEDURE FOR THE REVIEW OF CONTRACT MARKET RULES Priority: Substantive, Nonsignificant CFR Citation: 17 CFR 1.41(z) Completed: ________________________________________________________________________ Reason Date FR Cite ________________________________________________________________________ Withdrawn 12/13/00 65 FR 77961 Regulatory Flexibility Analysis Required: No Government Levels Affected: None Agency Contact: David P. Van Wagner Phone: 202 418-5481 Email: [email protected] RIN: 3038-AB50 _______________________________________________________________________ [Page 26456] COMMODITY FUTURES TRADING COMMISSION (CFTC) Completed Actions _______________________________________________________________________ 4063. MINIMUM FINANCIAL REQUIREMENTS FOR FUTURES COMMISSION MERCHANTS AND INTRODUCING BROKERS Priority: Substantive, Nonsignificant CFR Citation: 17 CFR 1.17 Completed: ________________________________________________________________________ Reason Date FR Cite ________________________________________________________________________ Final Action 11/07/00 65 FR 66618 Final Action Effective 12/07/00 Regulatory Flexibility Analysis Required: No Government Levels Affected: None Agency Contact: Thomas J. Smith Phone: 202 418-5495 Email: [email protected] RIN: 3038-AB54 _______________________________________________________________________ [Page 26456-26457] COMMODITY FUTURES TRADING COMMISSION (CFTC) Completed Actions _______________________________________________________________________ 4064. NEW REGULATORY FRAMEWORK FOR MULTILATERAL TRANSACTION EXECUTION FACILITIES, INTERMEDIARIES, AND CLEARING ORGANIZATIONS Priority: Other Significant CFR Citation: 17 CFR 1.37; 17 CFR 1.41; 17 CFR 5; 17 CFR 15; 17 CFR 20; 17 CFR 36 to 38 Completed: ________________________________________________________________________ Reason Date FR Cite ________________________________________________________________________ Final Action 12/13/00 65 FR 77962 Withdrawn 12/28/00 65 FR 82272 Regulatory Flexibility Analysis Required: No Government Levels Affected: None Agency Contact: Paul M. Architzel Phone: 202 418-5260 Fax: 202 418-5527 Email: [email protected] Riva Spear Adriance Phone: 202 418-5494 Fax: 202 418-5536 Email: [email protected] Alan L. Seifert Phone: 202 418-5490 Email: [email protected] RIN: 3038-AB55 [[Page 26457]] _______________________________________________________________________ [Page 26457] COMMODITY FUTURES TRADING COMMISSION (CFTC) Completed Actions _______________________________________________________________________ 4065. RULES RELATING TO INTERMEDIARIES OF COMMODITY INTEREST TRANSACTIONS Priority: Other Significant CFR Citation: 17 CFR 1.3; 17 CFR 1.10; 17 CFR 1.17; 17 CFR 1.20; 17 CFR 1.25 to 1.29; 17 CFR 1.33; 17 CFR 1.46; 17 CFR 1.52; 17 CFR 1.55; 17 CFR 3.1; 17 CFR 3.10; 17 CFR 3.32; 17 CFR 3.34; 17 CFR 4.10; 17 CFR 4.24; 17 CFR 4.34; 17 CFR 140.91; 17 CFR 3 app B; 17 CFR 155.6; 17 CFR 166.5 Completed: ________________________________________________________________________ Reason Date FR Cite ________________________________________________________________________ Final Action 12/13/00 65 FR 77993 Partial Withdrawal 12/28/00 65 FR 82272 Final Action Effective 12/28/00 65 FR 82270 Regulatory Flexibility Analysis Required: No Government Levels Affected: None Agency Contact: Lawrence B. Patent Phone: 202 418-5439 Email: [email protected] RIN: 3038-AB56 _______________________________________________________________________ [Page 26457] COMMODITY FUTURES TRADING COMMISSION (CFTC) Completed Actions _______________________________________________________________________ 4066. NEW REGULATORY FRAMEWORK FOR CLEARING ORGANIZATIONS Priority: Other Significant CFR Citation: 17 CFR 39 Completed: ________________________________________________________________________ Reason Date FR Cite ________________________________________________________________________ Final Action 12/13/00 65 FR 78020 Withdrawn 12/28/00 65 FR 82272 Regulatory Flexibility Analysis Required: No Government Levels Affected: None Agency Contact: Lois J. Gregory Phone: 202 418-5260 Fax: 202 418-5536 Email: [email protected] RIN: 3038-AB57 _______________________________________________________________________ [Page 26457] COMMODITY FUTURES TRADING COMMISSION (CFTC) Completed Actions _______________________________________________________________________ 4067. EXEMPTION FOR BILATERAL TRANSACTIONS Priority: Other Significant CFR Citation: 17 CFR 35 Completed: ________________________________________________________________________ Reason Date FR Cite ________________________________________________________________________ Final Action 12/13/00 65 FR 78030 Withdrawn 12/28/00 65 FR 82272 Regulatory Flexibility Analysis Required: No Government Levels Affected: None Agency Contact: Paul M. Architzel Phone: 202 418-5260 Fax: 202 418-5527 Email: [email protected] RIN: 3038-AB58 [FR Doc. 01-5932 Filed 05-11-01; 8:45 am] BILLING CODE 6351-01-S
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