[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua03de01_047-1]
[Page 62579-62582]
COMMODITY FUTURES TRADING COMMISSION (CFTC)
_______________________________________________________________________
[[Page 62579]]
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Part XLVII
Commodity Futures Trading Commission
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Semiannual Regulatory Agenda
[[Page 62580]]
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. This edition of the Unified
Agenda of Federal Regulatory and Deregulatory Actions includes The
Regulatory Plan, which appears in part II of this issue of the Federal
Register. The Commission's Statement of Regulatory Priorities is
included in part II. 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 October 2001 regulatory flexibility agenda is
set forth below.
Issued in Washington, DC, on August 30, 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
posts an advisory on its website (http://www.cftc.gov) 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
----------------------------------------------------------------------------------------------------------------
4206 Denomination of Customer Funds and Location of Depositories........................ 3038-AB31
4207 Minimum Financial Requirements for Futures Commission Merchants and Introducing 3038-AB64
Brokers.............................................................................
4208 Regulation of Hybrid Instruments................................................... 3038-AB69
4209 Use of Broker-Dealers, Depository Institutions, and Farm Crediting System 3038-AB70
Institutions as Intermediaries on Derivatives Transaction Execution Facilities......
4210 Margin Requirements for Security Futures Products.................................. 3038-AB71
4211 Authority To Modify Security Futures Product Listing Standards..................... 3038-AB73
4212 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...............
4213 Offering and Selling Security Futures Products Traded on Foreign Boards of Trade to 3038-AB75
United States Persons...............................................................
4214 Avoidance of Duplicative or Conflicting Regulations Applicable to Dual Registrants. 3038-AB76
4215 Requirements for Foreign Stock Index Contracts To Qualify as Non-Narrow-Based 3038-AB78
Indices.............................................................................
4216 Special Procedures To Encourage and Facilitate Bona Fide Hedging by Agricultural 3038-AB79
Producers...........................................................................
4217 Regulation Concerning Conduct of Members and Employees and Former Members and 3038-AB85
Employees of the Commission, 17 CFR Part 140........................................
[[Page 62581]]
4218 Cash Settlement and Regulatory Halts Required for Security Futures Products........ 3038-AB86
----------------------------------------------------------------------------------------------------------------
Commodity Futures Trading Commission--Final Rule Stage
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identification
Number Number
----------------------------------------------------------------------------------------------------------------
4219 Performance Disclosures for Commodity Trading Advisors and Commodity Pool Operators 3038-AB39
4220 Registration Exemptions Pertaining to the Offer and Sale of Foreign Futures and 3038-AB45
Foreign Options Contracts to Customers Located in the United States.................
4221 Prohibition Against Dual Trading................................................... 3038-AB83
4222 Listing Standards and Conditions for Trading Security Futures Products............. 3038-AB87
----------------------------------------------------------------------------------------------------------------
Commodity Futures Trading Commission--Long-Term Actions
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identification
Number Number
----------------------------------------------------------------------------------------------------------------
4223 Public Reporting by Operators of Certain Large Commodity Pools--Regulations 4.7, 3038-AB40
4.12, and 4.27......................................................................
4224 Trade Options on Enumerated Agricultural Commodities............................... 3038-AB61
4225 Exemption From Compliance With the Listing Standards for Security Futures Products. 3038-AB72
----------------------------------------------------------------------------------------------------------------
Commodity Futures Trading Commission--Completed Actions
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identification
Number Number
----------------------------------------------------------------------------------------------------------------
4226 Segregated Account; Daily Computation and Record................................... 3038-AB52
4227 New Regulatory Framework for Trading Facilities.................................... 3038-AB63
4228 Rules Relating to Intermediaries of Commodity Interest Transactions................ 3038-AB65
4229 A New Regulatory Framework for Clearing Organizations.............................. 3038-AB66
4230 Opting Out of Segregation by Eligible Contract Participants in Connection with 3038-AB67
Derivatives Transaction Execution Facility Transactions.............................
4231 CFTC Conformance with Title V Privacy Provisions of the Gramm-Leach-Bliley Act for 3038-AB68
Federal Functional Regulators.......................................................
4232 Method for Determining Market Capitalization and Dollar Value of Average Daily 3038-AB77
Trading Volume; Application of the Definition of Narrow-Based Security Index........
4233 Procedures for Exempting Brokers or Dealers From the Commodity Exchange Act........ 3038-AB81
4234 Procedures for Notice-Designation as a Contract Market in Security Futures Products 3038-AB82
and Exemptions from the Commodity Exchange Act......................................
4235 Notice Registration as a Futures Commission Merchant or Introducing Broker for 3038-AB84
Certain Securities Brokers or Dealers...............................................
----------------------------------------------------------------------------------------------------------------
[[Page 62582]]
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua03de01_047-2]
[Page 62582]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
4206. DENOMINATION OF CUSTOMER FUNDS AND LOCATION OF DEPOSITORIES
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 1a; 7 USC 2; 7 USC 5; 7 USC 6a to 6d; 7 USC 6f
to 6g; 7 USC 12a; 7 USC 19
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 01/00/02
NPRM Comment Period End 03/00/02
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Helene D. Schroeder, Special Counsel, 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
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua03de01_047-3]
[Page 62582]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
4207. 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 12/00/01
NPRM Comment Period End 02/00/02
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
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua03de01_047-4]
[Page 62582]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
4208. 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
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-;AB69
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua03de01_047-5]
[Page 62582]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
4209. 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
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua03de01_047-6]
[Page 62582-62583]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
4210. 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: 17 CFR 41.43 to 41.48
Legal Deadline: None
Abstract: The Board of Governors of the Federal Reserve System on March
6, 2001 delegated its authority to have the Commission and the
Securities and Exchange Commission, within a reasonable period of time
after delegation, jointly prescribe regulations to establish margin
requirements,
[[Page 62583]]
including the establishment of levels of margin, for security futures
products.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 10/04/01 66 FR 50719
NPRM Comment Period Extended to
12/05/2001 11/02/01 66 FR 55608
Correction 11/13/01 66 FR 56902
Final Action 02/00/02
Final Action Effective 03/00/02
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
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-;AB71
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua03de01_047-7]
[Page 62583]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
4211. AUTHORITY TO MODIFY SECURITY FUTURES PRODUCT LISTING STANDARDS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 2(a)(1)(D)(v)(I)
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 08/00/02
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
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua03de01_047-8]
[Page 62583]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
4212. 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 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
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua03de01_047-9]
[Page 62583]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
4213. 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 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-;AB75
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua03de01_047-10]
[Page 62583-62584]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
4214. 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 10/04/01 66 FR 50785
NPRM Comment Period Extended to
12/05/2001 11/02/01 66 FR 55608
Final Action 02/00/02
Final Action Effective 03/00/02
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
[[Page 62584]]
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
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua03de01_047-11]
[Page 62584]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
4215. 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 10/00/01
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
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua03de01_047-12]
[Page 62584]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
4216. 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 12/00/01
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
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua03de01_047-13]
[Page 62584]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
4217. <bullet> REGULATION CONCERNING CONDUCT OF MEMBERS AND EMPLOYEES
AND FORMER MEMBERS AND EMPLOYEES OF THE COMMISSION, 17 CFR PART 140
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 4a(f); 7 USC 4a(j); 7 USC 12a(5); 7 USC 13
CFR Citation: 17 CFR 140.735
Legal Deadline: None
Abstract: The proposed rule would amend the Commission's standards of
conduct relating to business transactions and interests.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 12/00/01
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: Federal
Agency Contact: Susan Nathan, Assistant General Counsel, Office of
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-;AB85
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua03de01_047-14]
[Page 62584-62585]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
4218. <bullet> CASH SETTLEMENT AND REGULATORY HALTS REQUIRED FOR
SECURITY FUTURES PRODUCTS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 2(a)(1)(D)(i)
CFR Citation: 17 CFR 41.25
Legal Deadline: None
Abstract: The Commission and the Securities and Exchange Commission are
required to jointly publish in the Federal Register requirements for
listing standards for security futures products relating to the cash
settlement of contracts and regulatory trading halts.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 08/30/01 66 FR 45903
NPRM Comment Period End 10/01/01
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Richard A. Shilts, Acting Director, 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-;AB86
[[Page 62585]]
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua03de01_047-15]
[Page 62585]
Commodity Futures Trading Commission (CFTC) Final Rule Stage
_______________________________________________________________________
4219. 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 12/00/01
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
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua03de01_047-16]
[Page 62585]
Commodity Futures Trading Commission (CFTC) Final Rule Stage
_______________________________________________________________________
4220. 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 03/00/02
Final Action Effective 05/00/02
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
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
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[DOCID:ua03de01_047-17]
[Page 62585]
Commodity Futures Trading Commission (CFTC) Final Rule Stage
_______________________________________________________________________
4221. 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 07/11/01 66 FR 36218
NPRM Comment End 08/10/01
Final Action 12/00/01
Final Action Effective 12/00/01
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
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
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[Page 62585-62586]
Commodity Futures Trading Commission (CFTC) Final Rule Stage
_______________________________________________________________________
4222. <bullet> LISTING STANDARDS AND CONDITIONS FOR TRADING SECURITY
FUTURES PRODUCTS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 2(a)(1)(D)(i)
CFR Citation: 17 CFR 41.21 to 41.25
Legal Deadline: None
Abstract: The Commission is required to publish in the Federal Register
requirements and certifications for listing standards for security
futures products.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 07/20/01 66 FR 37932
NPRM Comment Period End 08/20/01
Final Action 12/00/01
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Additional Information: The July 20, 2001 NPRM (66 FR 37932) was
published with an erroneous RIN, 3038-AB73.
Agency Contact: Richard A. Shilts, Acting Director, Division of
Economic Analysis, Commodity Futures Trading Commission, Three
Lafayette Centre,
[[Page 62586]]
1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5260
Fax: 202 418-5527
Email: [email protected]
RIN: 3038-;AB87
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
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[DOCID:ua03de01_047-19]
[Page 62586]
Commodity Futures Trading Commission (CFTC) Long-Term Actions
_______________________________________________________________________
4223. 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
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Tobey Kaczensky
Phone: 202 418-5460
Fax: 202 418-5520
Email: [email protected]
RIN: 3038-;AB40
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua03de01_047-20]
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Commodity Futures Trading Commission (CFTC) Long-Term Actions
_______________________________________________________________________
4224. TRADE OPTIONS ON ENUMERATED AGRICULTURAL COMMODITIES
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 32.13
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
Phone: 202 418-5260
Fax: 202 418-5527
Email: [email protected]
Nancy E. Yanofsky
Phone: 202 418-5292
Fax: 202 418-5567
Email: [email protected]
RIN: 3038-;AB61
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
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[DOCID:ua03de01_047-21]
[Page 62586]
Commodity Futures Trading Commission (CFTC) Long-Term Actions
_______________________________________________________________________
4225. EXEMPTION FROM COMPLIANCE WITH THE LISTING STANDARDS FOR SECURITY
FUTURES PRODUCTS
Priority: Substantive, Nonsignificant
CFR Citation: Not Yet Determined
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 12/00/03
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Elizabeth L.R. Fox
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-;AB72
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
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Commodity Futures Trading Commission (CFTC) Completed Actions
_______________________________________________________________________
4226. SEGREGATED ACCOUNT; DAILY COMPUTATION AND RECORD
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 1.32
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
Final Action 08/07/01 66 FR 41131
Final Action Effective 08/07/01
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Thomas J. Smith
Phone: 202 418-5495
Email: [email protected]
RIN: 3038-;AB52
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
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[DOCID:ua03de01_047-23]
[Page 62586]
Commodity Futures Trading Commission (CFTC) Completed Actions
_______________________________________________________________________
4227. NEW REGULATORY FRAMEWORK FOR TRADING FACILITIES
Priority: Other Significant
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; ...
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
Final Action 08/10/01 66 FR 42256
Final Action Effective 10/09/01
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]
Alan L. Seifert
Phone: 202 418-5490
Email: [email protected]
Riva Spear Adriance
Phone: 202 418-5494
Fax: 202 418-5536
Email: [email protected]
Nancy E. Yanofsky
Phone: 202 418-5292
Fax: 202 418-5567
Email: [email protected]
RIN: 3038-;AB63
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
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[DOCID:ua03de01_047-24]
[Page 62586-62587]
Commodity Futures Trading Commission (CFTC) Completed Actions
_______________________________________________________________________
4228. RULES RELATING TO INTERMEDIARIES OF COMMODITY INTEREST
TRANSACTIONS
Priority: Substantive, Nonsignificant
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;
[[Page 62587]]
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
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
NPRM 08/28/01 66 FR 45221
Final Action 10/23/01 66 FR 53510
Final Action Effective 10/23/01
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Lawrence B. Patent
Phone: 202 418-5439
Email: [email protected]
RIN: 3038-;AB65
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
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[DOCID:ua03de01_047-25]
[Page 62587]
Commodity Futures Trading Commission (CFTC) Completed Actions
_______________________________________________________________________
4229. A NEW REGULATORY FRAMEWORK FOR CLEARING ORGANIZATIONS
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 39
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
NPRM 05/14/01 66 FR 24308
Final Action 08/29/01 66 FR 45604
Final Action Effective 10/29/01
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-;AB66
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
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[DOCID:ua03de01_047-28]
[Page 62587]
Commodity Futures Trading Commission (CFTC) Completed Actions
_______________________________________________________________________
4232. METHOD FOR DETERMINING MARKET CAPITALIZATION AND DOLLAR VALUE OF
AVERAGE DAILY TRADING VOLUME; APPLICATION OF THE DEFINITION OF NARROW-
BASED SECURITY INDEX
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 41.1; 17 CFR 41.2; 17 CFR 41.10 to 41.14
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
NPRM 05/17/01 66 FR 27559
Final Action Effective 08/21/01
Final Action 08/23/01 66 FR 44489
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Elizabeth L.R. Fox
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-;AB77
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
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[DOCID:ua03de01_047-27]
[Page 62587]
Commodity Futures Trading Commission (CFTC) Completed Actions
_______________________________________________________________________
4231. CFTC CONFORMANCE WITH TITLE V PRIVACY PROVISIONS OF THE GRAMM-
LEACH-BLILEY ACT FOR FEDERAL FUNCTIONAL REGULATORS
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 160
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
Final Action 04/27/01 66 FR 21236
Final Action Effective 06/21/01
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Elizabeth L.R. Fox
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-;AB68
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
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[DOCID:ua03de01_047-26]
[Page 62587]
Commodity Futures Trading Commission (CFTC) Completed Actions
_______________________________________________________________________
4230. OPTING OUT OF SEGREGATION BY ELIGIBLE CONTRACT PARTICIPANTS IN
CONNECTION WITH DERIVATIVES TRANSACTION EXECUTION FACILITY TRANSACTIONS
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 1.3(gg); 17 CFR 1.3(uu); 17 CFR 1.12; 17 CFR 1.17;
17 CFR 1.37; 17 CFR 1.68; 17 CFR 190.01(bb)
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
Final Action 04/25/01 66 FR 20740
Final Action Effective 06/19/01
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Michael A. Piracci
Phone: 202 418-5446
Fax: 202 418-5536
Email: [email protected]
RIN: 3038-;AB67
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
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[DOCID:ua03de01_047-29]
[Page 62587]
Commodity Futures Trading Commission (CFTC) Completed Actions
_______________________________________________________________________
4233. PROCEDURES FOR EXEMPTING BROKERS OR DEALERS FROM THE COMMODITY
EXCHANGE ACT
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 41; 17 CFR 140
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
NPRM 04/19/01 66 FR 20118
Final Action 08/17/01 66 FR 43083
Final Action Effective 10/09/01
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Christopher W. Cummings
Phone: 202 418-5445
Fax: 202 418-5536
Email: [email protected]
RIN: 3038-;AB81
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua03de01_047-30]
[Page 62587]
Commodity Futures Trading Commission (CFTC) Completed Actions
_______________________________________________________________________
4234. PROCEDURES FOR NOTICE-DESIGNATION AS A CONTRACT MARKET IN SECURITY
FUTURES PRODUCTS AND EXEMPTIONS FROM THE COMMODITY EXCHANGE ACT
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 41; 17 CFR 140
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
NPRM 05/31/01 66 FR 29517
Final Action Effective 08/21/01
Final Action 08/27/01 66 FR 44960
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Joshua Marlow
Phone: 202 418-5484
Fax: 202 418-5536
Email: [email protected]
RIN: 3038-;AB82
_______________________________________________________________________
[December 3, 2001 (Volume 66, Number 232)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua03de01_047-31]
[Page 62587-62588]
Commodity Futures Trading Commission (CFTC) Completed Actions
_______________________________________________________________________
4235. <bullet> NOTICE REGISTRATION AS A FUTURES COMMISSION MERCHANT OR
INTRODUCING BROKER FOR CERTAIN SECURITIES BROKERS OR DEALERS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat.
2763
CFR Citation: 17 CFR 3.10; 17 CFR 170.15
Legal Deadline: None
Abstract: Registered securities broker/dealers that, among other
things, limit their involvement with commodity futures contracts to
security futures products, may notice register as a futures commission
merchant or introducing broker. Such notice-registered futures
commission
[[Page 62588]]
merchants are not required to become members of the National Futures
Association.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 05/17/01 66 FR 27476
NPRM Comment Extended 06/22/01 66 FR 33494
NPRM Comment End 07/11/01
Final Action 08/17/01 66 FR 43080
Correction 09/10/01 66 FR 47059
Final Action Effective 09/17/01
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Barbara S. Gold, Assistant Chief Counsel, Division of
Trading and Markets, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5450
Fax: 202 418-5536
Email: [email protected]
RIN: 3038-;AB84
[FR Doc. 01-;23866 Filed 11-;30-;01; 8:45 am]
BILLING CODE 6351-;01-;S