Font Size: AAA // Print // Bookmark

07-01270

  • [April 30, 2007 (Volume 72, Number 82)]

    [Unified Agenda]

    From the Federal Register Online via GPO Access [frwais.access.gpo.gov]

    [DOCID: f:ua070446.wais]

    [Page 23442-23446]

    Commodity Futures Trading Commission

    -----------------------------------------------------------------------

    Part XLVI

    -----------------------------------------------------------------------

    Semiannual Regulatory Agenda

    [[Page 23442]]

    COMMODITY FUTURES TRADING COMMISSION (CFTC)

    ________________________________________________________________

    COMMODITY FUTURES TRADING COMMISSION

    17 CFR Ch. I

    Regulatory Flexibility Agenda

    AGENCY: Commodity Futures Trading Commission.

    ACTION: Semiannual regulatory agenda.

    ________________________________________________________________

    SUMMARY: The Commodity Futures Trading Commission, in accordance with

    the requirements of the Regulatory Flexibility Act, is publishing a

    semiannual agenda of significant rules that the Commission expects to

    propose or promulgate over the next year. The Commission welcomes

    comments from small entities and others on the agenda.

    FOR FURTHER INFORMATION CONTACT: Eileen A. Donovan, Acting Secretary of

    the Commission, Commodity Futures Trading Commission, 1155 21st Street

    NW., Washington, DC 20581; (202) 418-5096, edonovan@cftc.gov.

    SUPPLEMENTARY INFORMATION: The Regulatory Flexibility Act, (5 U.S.C.

    601, et seq.) (RFA), sets forth a number of requirements for agency

    rulemaking. Among other things, the RFA requires that:

    Semiannually, each agency shall publish in the Federal

    Register a regulatory flexibility agenda that shall contain:

    (1) A brief description of the subject area of any rule that the agency

    expects to propose or promulgate, which is likely to have a significant

    economic impact on a substantial number of small entities;

    (2) A summary of the nature of any such rule under consideration for

    each subject area listed in the agenda pursuant to paragraph (1), the

    objectives and legal basis for the issuance of the rule, and an

    approximate schedule for completing action on any rule for which the

    agency has issued a general notice of proposed rulemaking; and

    (3) The name and telephone number of an agency official knowledgeable

    about the items listed in paragraph (1). 5 U.S.C. 602(a).

    The Commission has prepared an agenda of significant rules

    that it presently expects may be considered during the course of

    the next year. These rules may have some impact on small

    entities.\1\ In this regard, section 602(d) of the RFA, 5 U.S.C.

    602(d), provides: "Nothing in [section 602] precludes an agency

    from considering or acting on any matter not included in a

    regulatory flexibility agenda or requires an agency to consider or

    act on any matter listed in such agenda."

    The Commission's spring 2007 regulatory flexibility agenda is

    set forth below.

    Issued in Washington, DC on February 28, 2007, by the Commission.

    Eileen A. Donovan,

    Acting Secretary of the Commission.

    \1\ The Commission published its definition of small entity to be used

    in connection with rulemaking proceedings on April 30, 1982 (47 FR

    18618). Pursuant to that definition, the Commission is not required to

    list many of the agenda items contained in this regulatory flexibility

    agenda. See 5 U.S.C. 602(a)(1). Moreover, the Commission has previously

    certified, pursuant to section 605 of the RFA, 5 U.S.C. 605, that

    certain items contained in this agenda will not have a significant

    economic impact on a substantial number of small entities. Accordingly,

    the listing of a rule in this regulatory flexibility agenda should not,

    in any event, be taken as a determination that a rule, when proposed or

    promulgated, will in fact require a regulatory flexibility analysis.

    However, the Commission hopes that the publication of an agenda that

    includes significant rules, regardless of their potential impact on

    small entities, may serve the public generally by providing an early

    and meaningful opportunity to participate in and comment on the

    formulation of new or revised regulations. In addition to publishing

    the regulatory flexibility agenda, the Commission also makes available

    to the public, on a monthly basis, a calendar and, on a weekly basis,

    posts an advisory on its Web site (http://www.cftc.gov) that lists

    rules that the Commission is considering or will consider in the near

    future.

    Commodity Futures Trading Commission--Proposed Rule Stage

    -----------------------------------------------------------------------------------------------------------

    Regulation

    Sequence Title Identifier

    Number Number

    -----------------------------------------------------------------------------------------------------------

    3349 Offering and Selling Security Futures Products Traded on Foreign Boards of Trade to 3038-AB75

    United States Persons; Requirements for Foreign Stock Index Contracts To Qualify as

    Non-Narrow-Based Indices..............................................................

    3350 Interagency Proposal To Consider Alternative Forms of Privacy Notices Under the Gramm- 3038-AC04

    Leach-Bliley Act......................................................................

    3351 Execution of Off-Centralized Market Transactions: Regulation 1.38 and Guidance on Core 3038-AC07

    Principle 9...........................................................................

    3352 Exemption From Registration for Certain Foreign Persons............................... 3038-AC26

    3353 Debt Securities Conforming Amendments................................................. 3038-AC31

    3354 Exemption From Federal Speculative Position Limits.................................... 3038-AC36

    3355 Registration of Futures Commission Merchants, Introducing Brokers, Commodity Trading 3038-AC37

    Advisors, Commodity Pool Operators and Leverage Transaction Merchants.................

    3356 Extension of Time for Commodity Pool Operators To File Pool Annual Reports............ 3038-AC38

    3357 Technical and Clarifying Amendments to Part 40 of the Commission's Regulations........ 3038-AC39

    3358 Periodic Revision of Federally Established Position Limits............................ 3038-AC40

    ----------------------------------------------------------------------------------------------------------------

    Commodity Futures Trading Commission--Completed Actions

    ----------------------------------------------------------------------------------------------------------------

    Regulation

    Sequence Title Identifier

    Number Number

    ----------------------------------------------------------------------------------------------------------------

    3359 Limitations on Withdrawals of Equity Capital.......................................... 3038-AC27

    3360 Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations............ 3038-AC28

    3361 Electronic Filing of Notices of Exemption or Exclusion Under Part 4 of the 3038-AC33

    Commission's Regulations..............................................................

    [[Page 23443]]

    3362 Introducing Broker Electronic Filing of Annual Reports................................ 3038-AC34

    3363 Advertising by Commodity Pool Operators, Commodity Trading Advisors, and the 3038-AC35

    Principals Thereof....................................................................

    ----------------------------------------------------------------------------------------------------------------

    _______________________________________________________________________

    Commodity Futures Trading Commission (CFTC) Proposed Rule Stage

    _______________________________________________________________________

    3349. OFFERING AND SELLING SECURITY FUTURES PRODUCTS TRADED ON FOREIGN

    BOARDS OF TRADE TO UNITED STATES PERSONS; REQUIREMENTS FOR FOREIGN STOCK

    INDEX CONTRACTS TO QUALIFY AS NON-NARROW-BASED INDICES

    Priority: Substantive, Nonsignificant

    Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat

    2763

    CFR Citation: Not Yet Determined

    Legal Deadline: Other, Statutory, December 21, 2001, Within one year

    after the date of enactment of the Commodity Futures Modernization Act

    of 2000.

    Abstract: The Commission and the Securities and Exchange Commission are

    required to jointly issue: (1) Rules, regulations, or orders as are

    necessary and appropriate to permit the offer and sale of security

    futures products traded on or subject to the rules of a foreign board

    of trade to United States persons, and (2) rules and regulations that

    set forth the requirements for foreign stock index contracts to qualify

    as non-narrow-based indices.

    Timetable:

    ________________________________________________________________________

    Action Date FR Cite

    ________________________________________________________________________

    NPRM 04/00/07

    Regulatory Flexibility Analysis Required: No

    Government Levels Affected: None

    Agency Contact: Elizabeth L. Ritter, Deputy General Counsel, Office of

    General Counsel, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street NW., Washington, DC 20581

    Phone: 202 418-5052

    Fax: 202 418-5524

    Email: eritter@cftc.gov

    Thomas M. Leahy Jr., Associate Director for Product Review, Division of

    Market Oversight, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street NW., Washington, DC 20581

    Phone: 202 418-5278

    Fax: 202 418-5527

    Email: tleahy@cftc.gov

    Related RIN: Related to 3038-AB78

    RIN: 3038-AB75

    _______________________________________________________________________

    3350. INTERAGENCY PROPOSAL TO CONSIDER ALTERNATIVE FORMS OF PRIVACY

    NOTICES UNDER THE GRAMM-LEACH-BLILEY ACT

    Priority: Substantive, Nonsignificant

    Legal Authority: 7 USC 7b-2; 7 USC 12a(5); 15 USC 6801 et seq

    CFR Citation: 17 CFR 160

    Legal Deadline: None

    Abstract: Subtitle A of the Gramm-Leach-Bliley Act (GLB Act), captioned

    Disclosure of Nonpublic Personal Information (15 U.S.C. 6801 et seq.),

    requires each financial institution to provide a notice of its privacy

    policies and practices to its consumer customers. In general, the

    privacy notices must describe a financial institution's policies and

    practices with respect to disclosing nonpublic personal information

    about a consumer to both affiliated and nonaffiliated third parties,

    and provide a consumer a reasonable opportunity to direct the

    institution not to share nonpublic personal information about the

    consumer with nonaffiliated third parties. The GLB Act agencies, which

    include eight Federal regulators including the CFTC, have published

    substantially identical regulations to implement GLB title V, known

    collectively as the "privacy rule." Many notices issued under the

    privacy rule were long and complex, and difficult to compare with each

    other.

    The Financial Services Regulatory Relief Act of 2006 amended the GLB

    Act, requiring the agencies to propose a model form to consumers. This

    so-called "safe harbor" model form is set forth in the joint NPRM

    issued by the GLB Act agencies in March. The NPRM seeks comment on the

    content and form of the form, among other matters. The NPRM was

    developed jointly by the Board of Governors of the Federal Reserve

    System, the Federal Deposit Insurance Corporation, the Federal Trade

    Commission, the National Credit Union Administration, the Office of the

    Comptroller of the Currency, the Office of Thrift Supervision, the

    Securities and Exchange Commission and the CFTC. The comments will be

    considered by all the GLB Act agencies before adopting a final rule.

    Timetable:

    ________________________________________________________________________

    Action Date FR Cite

    ________________________________________________________________________

    ANPRM 12/30/03 68 FR 75164

    ANPRM Comment Period End 03/29/04

    NPRM 03/29/07 72 FR 14939

    NPRM Comment Period End 05/29/07

    Regulatory Flexibility Analysis Required: No

    Small Entities Affected: Businesses

    Government Levels Affected: Federal

    Agency Contact: Laura M. Richards, Deputy General Counsel, Office of

    General Counsel, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street NW., Washington, DC 20581

    Phone: 202 418-5126

    Fax: 202 418-5524

    Email: lrichards@cftc.gov

    RIN: 3038-AC04

    [[Page 23444]]

    _______________________________________________________________________

    3351. EXECUTION OF OFF-CENTRALIZED MARKET TRANSACTIONS: REGULATION 1.38

    AND GUIDANCE ON CORE PRINCIPLE 9

    Priority: Substantive, Nonsignificant

    Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat

    2763

    CFR Citation: 17 CFR 1; 17 CFR 38

    Legal Deadline: None

    Abstract: Since the Commission originally promulgated Regulation 1.38,

    the Commodity Futures Modernization Act of 2000 (CFMA) was signed into

    law. The CFMA, among other things, specifically expanded the allowable

    transactions that could be executed off the centralized market. The

    Commission has proposed amendments to its rules concerning trading off

    the centralized market, including the addition of guidance on contract

    market block trading rules, in light of further administrative

    experience with, and consideration of, the implications of the CFMA.

    Timetable:

    ________________________________________________________________________

    Action Date FR Cite

    ________________________________________________________________________

    NPRM 07/01/04 69 FR 39880

    NPRM Comment Period End 08/30/04

    Second NPRM 10/00/07

    Second NPRM Comment Period End 12/00/07

    Regulatory Flexibility Analysis Required: No

    Small Entities Affected: No

    Government Levels Affected: None

    Agency Contact: Riva Spear Adriance, Associate Deputy Director,

    Division of Market Oversight, Commodity Futures Trading Commission,

    Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581

    Phone: 202 418-5494

    Fax: 202 418-5507

    Email: radriance@cftc.gov

    Gabrielle A. Sudik, Special Counsel, Division of Market Oversight,

    Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st

    Street NW., Washington, DC 20581

    Phone: 202 418-5171

    Fax: 202 418-5507

    Email: gsudik@cftc.gov

    RIN: 3038-AC07

    _______________________________________________________________________

    3352. EXEMPTION FROM REGISTRATION FOR CERTAIN FOREIGN PERSONS

    Priority: Substantive, Nonsignificant

    Legal Authority: 7 USC 6d ; 7 USC 6m

    CFR Citation: 17 CFR 3.10(c)

    Legal Deadline: None

    Abstract: The Commission is proposing to amend its regulations

    regarding registration to permit certain foreign firms located outside

    the U.S. that limit their customers to foreign customers to clear their

    U.S. contract market business on an omnibus basis through a registered

    futures commission merchant without having to register as a futures

    commission merchant pursuant to section 4d of the Commodity Exchange

    Act.

    Timetable:

    ________________________________________________________________________

    Action Date FR Cite

    ________________________________________________________________________

    NPRM 04/02/07 72 FR 15637

    NPRM Comment Period End 05/02/07

    Regulatory Flexibility Analysis Required: No

    Small Entities Affected: No

    Government Levels Affected: None

    Agency Contact: Andrew V. Chapin, Special Counsel, Division of Clearing

    and Intermediary Oversight, Commodity Futures Trading Commission, Three

    Lafayette Centre, 1155 21st Street NW., Washington, DC 20581

    Phone: 202 418-5465

    Fax: 202 418-5536

    Email: achapin@cftc.gov

    RIN: 3038-AC26

    _______________________________________________________________________

    3353. DEBT SECURITIES CONFORMING AMENDMENTS

    Priority: Substantive, Nonsignificant

    Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat

    2763

    CFR Citation: 17 CFR 41

    Legal Deadline: None

    Abstract: On July 13, 2006, the Commodity Futures Trading Commission

    ("CFTC") and the Securities and Exchange Commission ("SEC") issued

    joint final rules to permit the trading of futures contracts based on

    individual debt securities and indexes comprised of individual debt

    securities. The effective date for the joint rules is August 14, 2006.

    The present language of several CFTC rules is not fully consistent with

    the offer and trading of futures contracts based on debt securities.

    Therefore the CFTC is proposing to adopt several conforming amendments

    that clarify the applicability of the rules to futures contracts based

    on debt.

    Timetable:

    ________________________________________________________________________

    Action Date FR Cite

    ________________________________________________________________________

    NPRM 10/00/07

    NPRM Comment Period End 12/00/07

    Regulatory Flexibility Analysis Required: No

    Small Entities Affected: No

    Government Levels Affected: None

    Agency Contact: Bruce Fekrat, Special Counsel, Division of Market

    Oversight, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street NW., Washington, DC 20581

    Phone: 202 418-5578

    Fax: 202 418-5527

    Email: bfekrat@cftc.gov

    RIN: 3038-AC31

    _______________________________________________________________________

    3354. EXEMPTION FROM FEDERAL SPECULATIVE POSITION LIMITS

    Priority: Substantive, Nonsignificant

    Legal Authority: 7 USC 6a

    CFR Citation: 17 CFR 150

    Legal Deadline: None

    Abstract: In recent years, the Commission has received requests for

    exemption or relief from Federal speculative position limits, as

    various entities seek to gain commodity price exposure by tracking an

    index that contains, among other things, futures contracts that are

    subject to such limits. Commission staff is considering different

    approaches for providing relief or exemption to commodity-index-related

    futures positions from Federal speculative position limits.

    Timetable:

    ________________________________________________________________________

    Action Date FR Cite

    ________________________________________________________________________

    NPRM 08/00/07

    NPRM Comment Period End 09/00/07

    Regulatory Flexibility Analysis Required: No

    Small Entities Affected: No

    Government Levels Affected: None

    [[Page 23445]]

    Agency Contact: Donald H. Heitman, Senior Special Counsel, Division of

    Market Oversight, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street NW., Washington, DC 20581

    Phone: 202 418-5041

    Fax: 202 418-5507

    Email: dheitman@cftc.gov

    RIN: 3038-AC36

    _______________________________________________________________________

    3355. [bull] REGISTRATION OF FUTURES COMMISSION MERCHANTS, INTRODUCING

    BROKERS, COMMODITY TRADING ADVISORS, COMMODITY POOL OPERATORS AND

    LEVERAGE TRANSACTION MERCHANTS

    Priority: Substantive, Nonsignificant

    Legal Authority: 7 USC 6f; 7 USC 6n; 7 USC 23

    CFR Citation: 17 CFR 3.10

    Legal Deadline: None

    Abstract: The Commission is proposing to re-institute a procedure that

    will require registered intermediaries, including futures commission

    merchants, introducing brokers, commodity pool operators, commodity

    trading advisors, and leverage transaction merchants, to review, on an

    annual basis, the registration information maintained with the National

    Futures Association. Registrants will be required to complete the

    update electronically in accordance with procedures to be established

    by the National Futures Association.

    Timetable:

    ________________________________________________________________________

    Action Date FR Cite

    ________________________________________________________________________

    NPRM 04/00/07

    NPRM Comment Period End 05/00/07

    Regulatory Flexibility Analysis Required: No

    Government Levels Affected: None

    Agency Contact: Helene D. Schroeder, Special Counsel, Division of

    Clearing and Intermediary Oversight, Commodity Futures Trading

    Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC

    20581

    Phone: 202 418-5424

    Fax: 202 418-5528

    Email: hschroeder@cftc.gov

    RIN: 3038-AC37

    _______________________________________________________________________

    3356. [bull] EXTENSION OF TIME FOR COMMODITY POOL OPERATORS TO FILE POOL

    ANNUAL REPORTS

    Priority: Substantive, Nonsignificant

    Legal Authority: 7 USC 6n

    CFR Citation: 17 CFR 4.7; 17 CFR 4.22

    Legal Deadline: None

    Abstract: Registered commodity pool operators must prepare, distribute

    and file annual reports for each pool that they operate within 90 days

    of the end of the pool's fiscal year. Under Commission Regulation

    4.22(f)(2), operators of pools that invest in other funds may claim an

    extension of an additional 60 days with respect to the annual report.

    The Commission is considering amending Regulation 4.22(f)(2) to

    increase the extension for annual reports of funds that invest in other

    funds from 60 to 90 days.

    Timetable:

    ________________________________________________________________________

    Action Date FR Cite

    ________________________________________________________________________

    NPRM 04/00/07

    Regulatory Flexibility Analysis Required: No

    Small Entities Affected: No

    Government Levels Affected: None

    Agency Contact: Eileen R. Chotiner, Futures Trading Specialist,

    Division of Clearing and Intermediary Oversight, Commodity Futures

    Trading Commission, Three Lafayette Centre, 1155 21st Street NW.,

    Washington, DC 20581

    Phone: 202 418-5467

    Fax: 202 418-5536

    Email: echotiner@cftc.gov

    RIN: 3038-AC38

    _______________________________________________________________________

    3357. [bull] TECHNICAL AND CLARIFYING AMENDMENTS TO PART 40 OF THE

    COMMISSION'S REGULATIONS

    Priority: Substantive, Nonsignificant

    Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat

    2763

    CFR Citation: 17 CFR 40

    Legal Deadline: None

    Abstract: The Commission is proposing several technical and clarifying

    amendments to part 40 of the Commission's regulations to align the

    requirements of that part with the Commission's current regulatory

    practice and interpretations. The proposed amendments intend to

    accomplish, among other things, the following: (1) Clarify that

    registered entity rules, in general, must be implemented pursuant to

    the process for self-certification or pursuant to a request for

    Commission approval, (2) clarify that the rules and contracts of

    dormant registered entities will automatically be deemed dormant; (3)

    clarify that persons, other than governing board members, may declare

    emergencies on behalf of a designated contract market or derivatives

    transaction execution facility; (4) clarify the implementation time

    limits applicable to newly self-certified products and rules; (5)

    clarify the approval time limits applicable to certain agricultural

    rule changes; and (6) codify additional categories of rules that may be

    implemented without certification or notification because they are

    routine rules and rule amendments or are otherwise already reported to

    the Commission.

    Timetable:

    ________________________________________________________________________

    Action Date FR Cite

    ________________________________________________________________________

    NPRM 05/00/07

    NPRM Comment Period End 06/00/07

    Regulatory Flexibility Analysis Required: No

    Small Entities Affected: No

    Government Levels Affected: None

    Agency Contact: Bruce Fekrat, Special Counsel, Division of Market

    Oversight, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street NW., Washington, DC 20581

    Phone: 202 418-5578

    Fax: 202 418-5527

    Email: bfekrat@cftc.gov

    RIN: 3038-AC39

    _______________________________________________________________________

    3358. [bull] PERIODIC REVISION OF FEDERALLY ESTABLISHED POSITION LIMITS

    Priority: Substantive, Nonsignificant

    Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat

    2763

    CFR Citation: 17 CFR 150

    Legal Deadline: None

    Abstract: The Commission establishes speculative position limits for

    futures and options contracts based on various agricultural commodities

    in Commission regulation 150.2. Pursuant to its periodic position

    limits regulatory framework suitability review, and in

    [[Page 23446]]

    response to prevailing market conditions, the Commission proposes to

    update these limits for all single-month and all-months-combined

    positions. In addition, the Commission proposes certain conforming and

    technical amendments to part 150 of the Commission's regulations.

    Timetable:

    ________________________________________________________________________

    Action Date FR Cite

    ________________________________________________________________________

    NPRM 07/00/07

    NPRM Comment Period End 08/00/07

    Regulatory Flexibility Analysis Required: No

    Small Entities Affected: No

    Government Levels Affected: None

    Agency Contact: Donald H. Heitman, Senior Special Counsel, Division of

    Market Oversight, Commodity Futures Trading Commission, Three Lafayette

    Centre, 1155 21st Street NW., Washington, DC 20581

    Phone: 202 418-5041

    Fax: 202 418-5507

    Email: dheitman@cftc.gov

    RIN: 3038-AC40

    _______________________________________________________________________

    Commodity Futures Trading Commission (CFTC) Completed Actions

    _______________________________________________________________________

    3359. LIMITATIONS ON WITHDRAWALS OF EQUITY CAPITAL

    Priority: Substantive, Nonsignificant

    CFR Citation: 17 CFR 1.12; 17 CFR 1.17

    Completed:

    ________________________________________________________________________

    Reason Date FR Cite

    ________________________________________________________________________

    Final Action 01/10/07 72 FR 1148

    Final Action Effective 03/12/07

    Regulatory Flexibility Analysis Required: No

    Small Entities Affected: No

    Government Levels Affected: None

    Agency Contact: Thelma Diaz

    Phone: 202 418-5137

    Fax: 202 418-5536

    Email: tdiaz@cftc.gov

    RIN: 3038-AC27

    _______________________________________________________________________

    3360. CONFLICTS OF INTEREST IN SELF-REGULATION AND SELF-REGULATORY

    ORGANIZATIONS

    Priority: Substantive, Nonsignificant

    CFR Citation: 17 CFR part 38

    Completed:

    ________________________________________________________________________

    Reason Date FR Cite

    ________________________________________________________________________

    Final Action 02/14/07 72 FR 6936

    Regulatory Flexibility Analysis Required: No

    Small Entities Affected: No

    Government Levels Affected: None

    Agency Contact: Rachel F. Berdansky

    Phone: 202 418-5641

    Email: rberdansky@cftc.gov

    RIN: 3038-AC28

    _______________________________________________________________________

    3361. ELECTRONIC FILING OF NOTICES OF EXEMPTION OR EXCLUSION UNDER PART

    4 OF THE COMMISSION'S REGULATIONS

    Priority: Substantive, Nonsignificant

    CFR Citation: 17 CFR 4.5 ; 17 CFR 4.7; 17 CFR 4.12 to 4.14

    Completed:

    ________________________________________________________________________

    Reason Date FR Cite

    ________________________________________________________________________

    NPRM 10/13/06 71 FR 60454

    Final Action 01/16/07 72 FR 1658

    Final Action Effective 02/15/07

    Regulatory Flexibility Analysis Required: No

    Small Entities Affected: No

    Government Levels Affected: None

    Agency Contact: Eileen R. Chotiner

    Phone: 202 418-5467

    Fax: 202 418-5536

    Email: echotiner@cftc.gov

    RIN: 3038-AC33

    _______________________________________________________________________

    3362. INTRODUCING BROKER ELECTRONIC FILING OF ANNUAL REPORTS

    Priority: Substantive, Nonsignificant

    CFR Citation: 17 CFR 1.10; 17 CFR 1.31

    Completed:

    ________________________________________________________________________

    Reason Date FR Cite

    ________________________________________________________________________

    Final Action 11/22/06 71 FR 67462

    Final Action Effective 12/22/06

    Regulatory Flexibility Analysis Required: No

    Small Entities Affected: No

    Government Levels Affected: None

    Agency Contact: Jennifer C.P. Bauer

    Phone: 202 418-5472

    Fax: 202-418-5547

    Email: jbauer@cftc.gov

    RIN: 3038-AC34

    _______________________________________________________________________

    3363. ADVERTISING BY COMMODITY POOL OPERATORS, COMMODITY TRADING

    ADVISORS, AND THE PRINCIPALS THEREOF

    Priority: Substantive, Nonsignificant

    CFR Citation: 17 CFR 4.41

    Completed:

    ________________________________________________________________________

    Reason Date FR Cite

    ________________________________________________________________________

    Final Action 02/23/07 72 FR 8106

    Final Action Effective 03/26/07

    Regulatory Flexibility Analysis Required: No

    Small Entities Affected: No

    Government Levels Affected: None

    Agency Contact: Barbara S. Gold

    Phone: 202 418-5450

    Fax: 202 418-5528

    Email: bgold@cftc.gov

    RIN: 3038-AC35

    [FR Doc. 07-01270 Filed 04-27-07; 8:45 am]

    BILLING CODE 6351-01-S

    Last Updated: July 18, 2007



See Also:

OpenGov Logo

CFTC's Commitment to Open Government

Gavel and Book

Follow the Status of Enforcement Actions