[October 29, 1997 (Volume 62, Number 209)] [Unified Agenda] From the Federal Register Online via GPO Access [frwais.access.gpo.gov] [Page 58359-58361] COMMODITY FUTURES TRADING COMMISSION (CFTC) _______________________________________________________________________ [[Page 58359]] _______________________________________________________________________ Part XLVI Commodity Futures Trading Commission _______________________________________________________________________ Semiannual Regulatory Agenda [[Page 58360]] 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. ADDRESSES: Comments should be sent to: Gerald P. Smith, Special Assistant to the Executive Director, Commodity Futures Trading Commission, 1155 21st Street NW., Washington, DC 20581, (202) 418-5160. 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 October and April of each year, each agency shall publish in the Federal Register a regulatory flexibility agenda which 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 concerning 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.<SUP>1</SUP> 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.'' <SUP>1</SUP> The Commission has published its definition of small entity to be used by the Commission in connection with rulemaking proceedings. 47 FR 18618 (April 30, 1982). Pursuant to those definitions, 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, 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 list rules that the Commission is considering or will consider in the near future. For this edition of the Commodity Futures Trading Commission's regulatory agenda, the most important significant regulatory actions are included in The Regulatory Plan, which appears in Part II of this issue of the Federal Register. The Regulatory Plan entries are listed in the Table of Contents below and are denoted by a bracketed bold reference, which directs the reader to the appropriate Sequence Number in Part II. The Commission's October 1997 regulatory flexibility agenda is set forth below. Issued in Washington, DC, on August 14, 1997, by the Commission. Jean A. Webb, Secretary to the Commission. Proposed Rule Stage ---------------------------------------------------------------------------------------------------------------- Regulation Sequence Title Identifier Number Number ---------------------------------------------------------------------------------------------------------------- 4136 Procedures for Involuntary Bulk Transfers or Liquidations of Customer Accounts....... 3038-AA77 4137 Trade Options on the Agricultural Commodities Enumerated in the Commodity Exchange Act (Reg Plan Seq. No. 162)........................................................... 3038-AB23 4138 Distribution of Risk Disclosure Statements By Futures Commission Merchants and Introducing Brokers................................................................... 3038-AB24 ---------------------------------------------------------------------------------------------------------------- References in boldface appear in the Regulatory Plan in Part II of this issue of the Federal Register. Final Rule Stage ---------------------------------------------------------------------------------------------------------------- Regulation Sequence Title Identifier Number Number ---------------------------------------------------------------------------------------------------------------- 4139 Risk Assessment for Holding Company Systems.......................................... 3038-AB01 4140 Prohibition on Voting by Interested Members (Reg Plan Seq. No. 163).................. 3038-AB03 ---------------------------------------------------------------------------------------------------------------- References in boldface appear in the Regulatory Plan in Part II of this issue of the Federal Register. [[Page 58361]] Long-Term Actions ---------------------------------------------------------------------------------------------------------------- Regulation Sequence Title Identifier Number Number ---------------------------------------------------------------------------------------------------------------- 4141 Account Identification for Orders Submitted on Behalf of Multiple Customer Accounts.. 3038-AB08 ---------------------------------------------------------------------------------------------------------------- Completed Actions ---------------------------------------------------------------------------------------------------------------- Regulation Sequence Title Identifier Number Number ---------------------------------------------------------------------------------------------------------------- 4142 Use of Electronic Media by Commodity Pool Operators and Commodity Trading Advisors... 3038-AB17 4143 Recordkeeping: Option Large Trader Reports by Futures Commission Merchants, Clearing Members, Foreign Brokers and Large Traders............................................ 3038-AB19 4144 Securities Representing Investment of Customer Funds................................. 3038-AB22 ---------------------------------------------------------------------------------------------------------------- _______________________________________________________________________
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