CFTC 2001 Federal Register Announcements

Last modified on October 05, 2004

SECTION A

Proposed CFTC rules and other announcements requesting comments, including Exchange new contract applications and major rule amendments, posted for six weeks following either the close of the comment period or date of action, with comment file number and closing date.

SECTION B

Final rules, orders, and similar announcements not requesting comments, posted for six weeks following publication, with effective date.

SECTION C

Sunshine Act announcements, posted for four weeks following publication.

SECTION D

CFTC Privacy Act Systems of Records, most recent compilation.

SECTION E

CFTC Public Information Collection Requirements.


======================== SECTION A ========================
Proposed Rules and Amendments


66 FR 66404 (December 26, 2001)

Request of the Merchants Exchange (ME) for Approval of Six Cash-Settled Energy Futures contracts

Comment File 01--022, closing date 01/10/2002

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66 FR 64383 (December 13, 2001)

17 CFR Part 15 Reporting Levels for Large Trader Reports;  Security Futures Products

Comment File 01--021, closing date 01/14/2002, see also 67 FR 11569 (March 15, 2002)

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66 FR 58007 (November 19, 2001)

Commodity Futures Trading Commission 17 CFR Part 41 Securities and Exchange Commission 17 CFR Part 242 Customer Margin Rules Relating to Security Futures

Correction, see also 66 FR 50720 (October 4, 2001)

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66 FR 56902 (November 13, 2001)

Commodity Futures Trading Commission 17 CFR Part 41 Securities and Exchange Commission 17 CFR Part 242 Customer Margin Rules Relating to Security Futures

Correction, see also 66 FR 50720 (October 4, 2001)

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66 FR 56081 (November 6, 2001)

Request of the Coffee, Sugar & Cocoa Exchange (CSCE) for Approval of its Commercial Markets Index Futures and Option Contracts

Comment File 01--020, closing date 11/21/2001

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66 FR 55608 (November 2, 2001)

17 CFR Parts 1, 41 and 190 Securities and Exchange Commission Customer Margin Rules Relating to Security Futures;  Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rule and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products

Join proposed rules;  extension of comment periods, see also 66 FR 50786 (October 4, 2001)

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66 FR 50786 (October 4, 2001)

Commodity Futures Trading Commission 17 CFR Parts 1, 41 and 190 Securities and Exchange Commission 17 CFR Part 240 Applicability of CFTC and SEC Customer protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products

Comment File 01--019, closing date 11/05/2001, see also 66 FR 55608 (November 1, 2001), 67 FR 58283 (September 13, 2002), 67 FR 67445 (November 5, 2002)

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66 FR 50720 (October 4, 2001)

Commodity Futures Trading Commission 17 CFR Part 41 Securities and Exchange Commission 17 CFR Part 242 Customer Margin Rules Relating to Security Futures

Comment File 01--018, closing date 11/05/2001, see also 66 FR 56902 (November 13, 2001), 67 FR 53145 (August 14, 2002)

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66 FR 47059 (September 10, 2001)

17 CFR Parts 3 and 170 Notice Registration as a Futures Commission Merchant or Introducing Broker for Certain Securities Brokers or Dealers

Correction, see also 66 FR 43080 (August 8, 2001)

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66 FR 45903 (August 30, 2001)

Commodity Futures Trading Commission 17 CFR Part 41 Securities and Exchange Commission 17 CFR Part 240 Cash Settlement and Regulatory Halt Requirements for Security Futures Products; Proposed Rule

Comment File 01--017, closing date 10/01/2001, see also 67 FR 36739 (May 24, 2002)

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66 FR 45221 (August 28, 2001)

17 CFR Parts 1, 3, 4, 140 and 155 Rules Relating to Intermediaries of Commodity Interest Transactions

Comment File 01--016, closing date 09/12/2001, see also 66 FR 53510 (October 23, 2001)

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66 FR 37932 (July 20, 2001)

17 CFR Part 41 Listing Standards and Conditions for Trading Security Futures Products

Comment File 01--015, closing date 08/20/2001

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66 FR 36218 (July 11, 2001)

17 CFR Part 41 Proposed Regulation To Restrict Dual Trading in Security Futures Products

Comment File 01--014, closing date 08/10/2001, see also 67 11223 (March 13, 20002)

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66 FR 34864 (July 2, 2001)

Commodity Futures Trading Commission 17 CFR Part 41 and Securities and Exchange Commission 17 CFR Part 240 Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index

Comment File 01--011, reopening and extension of comment period to 07/11/2001, see also 66 FR 27559 (May 17, 2001) and 66 FR 44489 (August 23, 2001)

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66 FR 33531 (June 22, 2001)

Study of the Commodity Exchange Act and Rules Thereunder

Comment File 01--013, closing date 08/21/2001

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66 FR 33494 (June 22, 2001)

17 CFR Parts 3 and 170 Notice Registration as a Futures Commission Merchant or Introducing Broker for Certain Securities Brokers or Dealers

Comment File 01--010, extended closing date 07/11/2001, see also 66 FR 27476 (May 17, 2001)

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66 FR 29517 (May 31, 2001)

17 CFR Parts 41 and 140 Designated Contract Markets in Security Futures Products:  Notice-Designation Requirements, Continuing Obligations, Applications for Exemptive Orders, and Exempt Provisions

Comment File 01--012, closing date 07/02/2001, see also 66 FR 44960 (August 27, 2001)

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66 FR 27559 (May 17, 2001)

Commodity Futures Trading Commission 17 CFR Part 41 Securities and Exchange Commission 17 CFR Part 240 Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index

Comment File 01--011, closing date 06/18/2001

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66 FR 27476 (May 17, 2001)

17 CFR Parts 3 and 170 Notice Registration as a Futures Commission Merchant or Introducing Broker for Certain Securities Brokers or Dealers

Comment File 01--010, closing date 06/18/2001, see also 66 FR 43080 (August 17, 2001)

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66 FR 24308 (May 14, 2001)

17 CFR Part 39 A New Regulatory Framework for Clearing Organizations

Comment File 01--009, closing date 06/13/2001, see also 66 FR 45604 (August 29, 2001)

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66 FR 24183 (May 11, 2001)

17 CFR Part 160 Privacy of Consumer Financial Information

Correction, see also 66 FR 24060 (May 11, 2001), 67 FR 6790 (February 13, 2002)

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66 FR 24060 (May 11, 2001)

17 CFR Part 160 Privacy of Consumer Financial Information; Correction

Correcting amendments, effective date 06/21/2001, see also 66 FR 21236 (April 27, 2001)

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66 FR 20970 (April 26, 2001)

Request of the New York Mercantile Exchange (NYMEX) for Approval of Four Domestic Crude Oil Futures Contracts

Comment File 01--008, closing date 05/29/2001

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66 FR 20118 (April 19, 2001)

17 CFR Parts 41 and 140 Exemption for Certain Brokers or Dealers from Provisions of the Commodity Exchange Act and CFTC Regulations

Comment File 01--007, closing date 05/21/2001, see also 66 FR 43083 (August 17, 2001)


66 FR 16980 (March 28, 2001)

New York Cotton Exchange (NYCE):  Proposed Amendments to the NYCE Cotton No. 2 Futures Contract

Correction, see also 66 FR 15699 (March 20, 2001)

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66 FR 15699 (March 20, 2001)

New York Cotton Exchange (NYCE):  Proposed Amendments to the NYCE Cotton No. 2 Futures Contract

Comment File 01--006, closing date 04/19/2001

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66 FR 15549 (March 19, 2001)

17 CFR Part 160 Privacy of Customer Information

Comment File 01--005, closing date 04/18/2001, see also 66 FR 21236 (April 27, 2001)

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66 FR 14507 (March 13, 2001)

17 CFR Parts 1 and 190 Opting Out of Segregation

Comment File 01--004, closing date 04/12/2001, see also 66 FR 20740 (April 25, 2001)

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66 FR 14262 (March 9, 2001)

17 CFR Parts 1, 5, 15, 36, 37, 38, 40, 41, 100, 166, 170 and 180 A New Regulatory Framework for Trading Facilities, Intermediaries and Clearing Organizations

Comment File 01--003, closing date 04/09/2001

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66 FR 13635 (March 6, 2001)

Request of the Cantor Exchange (CX) for Approval of its US Treasury Ten-Year Note Futures Contract

Correction, see also 66 10273 (February 14, 2001)

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66 FR 11006 (February 21, 2001)

Request of the Chicago Mercantile Exchange (CME) for Approval of its Benzene Futures Contract

Comment File 01--002, closing date 03/23/2001

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66 FR 10273 (February 14, 20001)

Request of the Cantor Exchange (CX) for Approval of its US Treasury Ten-Year Note Futures Contract

Comment File 01--001, closing date 03/16/2001, see also 66 FR 13635 (March 6, 2001)

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======================== SECTION B ========================
Final Rules and Orders


66 FR 62580 (December 3, 2001)

17 CFR Ch. 1 Regulatory Flexibility Agenda

Semiannual regulatory agenda

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66 FR 57427 (November 15, 2001)

Technology Advisory Committee;  First Renewal

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66 FR 55078 (November 1, 2001)

17 CFR Part 41 Listing Standards and Conditions for Trading Security Futures Products

Final rules, effective date 11/01/2001, see also 66 FR 37932 (July 20, 2001)

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66 FR 54984 (October 31, 2001)

Technology Advisory Committee;  Security Procedures for November 27, 2001;  Meeting

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66 FR 53510 (October 23, 2001)

17 CFR Parts 1, 3, 4, 140 and 155 Rules Relating to Intermediaries of Commodity Interest Transactions

Final rules, effective date 10/23/2001, see also 66 FR 45221 (August 28, 2001), 69 FR 59544 (October 5, 2004)

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66 FR 52747 (October 17, 2001)

Technology Advisory Committee Meeting

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66 FR 49742 (September 28, 2001)

Public Workshop on Financial Privacy Notices

Joint Notice Announcing Public Workshop and Requesting Public Comment

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66 FR 49356 (September 27, 2001)

Notice of Statement of Commission Policy Regarding Temporary Relief From Certain Provisions of the Commission's Regulations

Statement of policy, effective date 09/11/2001

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66 FR 46780 (September 7, 2001)

Membership of the Commission's Performance Review Board

Membership change of Performance Review Board, effective date 8/31/2001

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66 FR 45604 (August 29, 2001)

17 CFR Part 39 A New Regulatory Framework for Clearing Organizations

Final rulemaking, effective date 10/29/2001, see also 66 FR 24308 (May 14, 2001)

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66 FR 44960 (August 27, 2001)

17 CFR Parts 41 and 140 Designated Contract Markets in Security Futures Products:  Notice-Designation Requirements, Continuing Obligation, Applications for Exemptive Orders, and Exempt Provisions

Final rulemaking, effective date 08/21/2001, see also 66 FR 29517 (May 31, 2001)

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66 FR 44489 (August 23, 2001)

Commodity Futures Trading Commission Securities and Exchange Commission 17 CFR Parts 41 and 240 Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume;  Application of the Definition of Narrow-Based Security Index

Joint Final Rule, effective date 08/21/2001, see also 66 FR 34864 (July 2, 2001)

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66 FR 43227 (August 17, 2001)

Performance of Notice Registration Processing Functions by National Futures Association With Respect to Certain Securities Brokers and Dealers

Notice and order, effective date 09/17/2001

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66 FR 43083 (August 17, 2001)

17 CFR Parts 41 and 140 Exemption for Certain Brokers or Dealers From Provisions of the Commodity Exchange Act and CFTC Regulations

Final rules, effective date 10/9/2001, see also66 FR 20118 (April 19, 2001)

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66 FR 43080 (August 17, 2001)

17 CFR Parts 3 and 170 Notice Registration as a Futures Commission Merchant or Introducing Broker for Certain Securities Brokers or Dealers

Final rules, effective date 09/17/2001, see also 66 FR 33494 (June 22, 2001), 66 FR 47059 (September 10, 2001)

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66 FR 42256 (August 10, 2001)

17 CFR Parts 1, 5, 15, 36, 37, 38, 40, 41, 100, 166, 170, and 180 A New Regulatory Framework for Trading Facilities, Intermediaries and Clearing Organizations

Final rules, effective date 10/09/2001, see also 66 FR 14262 (March 9, 2001) 

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66 FR 42289 (August 10, 2001)

19 CFR Part 40 Fees for Product Review and Approval

Establishment of a new schedule of fees, effective 08/10/2001

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66 FR 41842 (August 9, 2001)

Privacy Act of 1974; Systems of Records; Biennial Publication

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66 FR 41131 (August 7, 2001)

17 CFR Part 1 Recordkeeping Amendments to the Daily Computation of the Amount of Customer Funds Required to be Segregated

Final rules, effective date 08/07/2001, see also 65 FR 64904 (October 31, 2000)

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66 FR 37017 (July 16, 2001)

Global Markets Advisory Committee Meeting

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66 FR 34110 (June 27, 2001)

17 CFR Parts 1 and 30 Treatment of Customer Funds

Order, effective date 06/20/2001

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66 FR 32737 (June 18, 2001)

17 CFR Part 1 Fees for Reviews of the Rule Enforcement Programs of Contract Markets and Registered Futures Association

Establish a new schedule of fees, effective date 08/17/2001

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66 FR 27859 (May 21, 2001)

17 CFR Part 30 Foreign Futures and Options Transactions

Order, effective 05/21/2001

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66 FR 26448 (May 14, 2001)

17 CFR Ch. 1 Regulatory Flexibility Agenda

Semiannual regulatory agenda

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66 FR 22217 (May 3, 2001)

Agricultural Advisory Committee;  Ninth Renewal

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66 FR 21236 (April 27, 2001)

17 CFR Part 160 Privacy of Consumer Financial Information

Final rules, effective June 21, 2001, see also 66 FR 15549 (March 19, 2001), 66 FR 24060 (May 11, 2001)

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66 FR 20740 (April 25, 2001)

17 CFR Parts 1 and 190 Opting Out of Segregation

Final rules, effective 06/19/2001, see also 66 FR 14507 (March 13, 2001)

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66 FR 19429 (April 16, 2001)

Technology Advisory Committee Meeting

Notice of meeting 05/02/2001

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66 FR 14555 (March 13, 2001)

Agricultural Advisory Committee Meeting

Notice of meeting 03/28/2001

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66 FR 1574 (January 9, 2001)

17 CFR Part 140 Delegation of Authority to Disclose and Request Information

Final rules effective 01/09/20001

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66 FR 1375 (January 8, 2001)

17 CFR Part 1 Investment of Customer Funding

Final rules, correction, see also 65 FR 82270 (December 28, 2000)

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======================== SECTION C ========================
Sunshine Act Announcements


66 FR 64404 (December 13, 2001)

Sunshine Act Meeting

Closed Commission Meeting 01/25/2002

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66 FR 64403 (December 13, 2001)

Sunshine Act Meeting

Closed Commission Meeting 01/11/2002

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66 FR 64403 (December 13, 2001)

Sunshine Act Meeting

Closed Commission Meeting 01/18/2001

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66 FR 64403 (December 13, 2001)

Sunshine Act Meeting

Closed Commission Meeting 01/04/2002

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66 FR 60202 (December 3, 2001)

Sunshine Act Meeting

Closed Commission Meeting 12/28/2001

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66 FR 60202 (December 3, 2001)

Sunshine Act Meeting

Closed Commission Meeting 12/21/2001

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66 FR 60202 (December 3, 2001)

Sunshine Act Meeting

Closed Commission Meeting 12/14/2001

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66 FR 60202 (December 3, 2001)

Sunshine Act Meeting

Closed Commission Meeting 12/07/2001

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66 FR 52894 (October 18, 2001)

Sunshine Act Meeting

Closed Commission Meeting 11/02/2001

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66 FR 52894 (October 18, 2001)

Sunshine Act Meeting

Closed Commission Meeting 11/30/2001

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66 FR 52894 (October 18, 2001)

Sunshine Act Meeting

Closed Commission Meeting 11/23/2001

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66 FR 52894 (October 18, 2001)

Sunshine Act Meeting

Closed Commission Meeting 11/16/2001

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66 FR 52894 (October 18, 2001)

Sunshine Act Meeting

Closed Commission Meeting 11/09/2001

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66 FR 52116 (October 12, 2001)

Sunshine Act Meeting

Closed Commission Meeting 10/30/2001

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66 FR 48861 (September 24, 2001)

Sunshine Act Meeting

Closed Commission Meeting 10/26/2001

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66 FR 48861 (September 24, 2001)

Sunshine Act Meeting

Closed Commission Meeting 10/19/2001

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66 FR 48861 (September 24, 2001)

Sunshine Act Meeting

Closed Commission Meeting 10/12/2001

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66 FR 48861 (September 24, 2001)

Sunshine Act Meeting

Closed Commission Meeting 10/05/2001

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66 FR 42998 (August 16, 2001)

Sunshine Act Meeting

Closed Commission Meeting 09/28/2001

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66 FR 42998 (August 16, 2001)

Sunshine Act Meeting

Closed Commission Meeting 09/21/2001

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66 FR 42998 (August 16, 2001)

Sunshine Act Meeting

Closed Commission Meeting 09/7/2001

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66 FR 42997 (August 16, 2001)

Sunshine Act Meeting

Closed Commission Meeting 09/14/2001

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66 FR 41561 (August 8, 2001)

Sunshine Act Meeting

Closed Commission Meeting 08/31/2001

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66 FR 41561 (August 8, 2001)

Sunshine Act Meeting

Closed Commission Meeting 08/24/2001

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66 FR 41561 (August 8, 2001)

Sunshine Act Meeting

Closed Commission Meeting 08/17/2001

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66 FR 41561 (August 8, 2001)

Sunshine Act Meeting

Closed Commission Meeting 08/10/2001

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66 FR 22217 (May 3, 2001)

Sunshine Act Meeting

Closed Commission Meeting 05/30/2001

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66 FR 20440 (April 23, 2001)

Sunshine Act Meeting

Closed Commission Meeting 05/25/2001

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66 FR 20440 (April 23, 2001)

Sunshine Act Meeting

Closed Commission Meeting 05/18/2001

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66 FR 20440 (April 23, 2001)

Sunshine Act Meeting

Closed Commission Meeting 05/11/2001

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66 FR 20440 (April 23, 2001)

Sunshine Act Meeting

Closed Commission Meeting 05/04/2001

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66 FR 20272 (April 20, 2001)

Sunshine Act Meeting

Closed Commission Meeting 05/01/2001

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66 FR 16447 (March 26, 2001)

Sunshine Act Meeting

Closed Commission Meeting 04/27/2001

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66 FR 16447 (March 26, 2001)

Sunshine Act Meeting

Closed Commission Meeting 04/20/2001

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66 FR 16446 (March 26, 2001)

Sunshine Act Meeting

Closed Commission Meeting 04/13/2001

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66 FR 16446 (March 26, 2001)

Sunshine Act Meeting

Closed Commission Meeting 04/06/2001

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66 FR 12929 (March 1, 2001)

Sunshine Act Meeting

Closed Commission Meeting 03/09/2001

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66 FR 12929 (March 1, 2001)

Sunshine Act Meeting

Closed Commission Meeting 03/23/2001

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66 FR 12929 (March 1, 2001)

Sunshine Act Meeting

Closed Commission Meeting 03/16/2001

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66 FR 12929 (March 1, 2001)

Sunshine Act Meeting

Closed Commission Meeting 03/30/2001

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66 FR 12928 (March 1, 2001)

Sunshine Act Meeting

Closed Commission Meeting 03/02/2001

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66 FR 8100 (January 29, 2001)

Sunshine Act Meeting

Closed Commission Meeting 02/16/2001

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66 FR 8100 (January 29, 2001)

Sunshine Act Meeting

Closed Commission Meeting 02/09/2001

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66 FR 8100 (January 29, 2001)

Sunshine Act Meeting

Closed Commission Meeting 02/23/2001

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66 FR 8099 (January 29, 2001)

Sunshine Act Meeting

Closed Commission Meeting 02/02/2001

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66 FR 1958 (January 10, 2001)

Sunshine Act Meeting

Closed Commission Meeting 01/12/2001

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66 FR 1958 (January 10, 2001)

Sunshine Act Meeting

Closed Commission Meeting 01/19/2001

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66 FR 1958 (January 10, 2001)

Sunshine Act Meeting

Closed Commission Meeting 01/26/2001

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======================== SECTION E ========================
CFTC Public Information Collection Requirements


66 FR 56081 (November 6, 2001)

Agency Information Collection Activities Under OMB Review

Notice

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66 FR 56080 (November 6, 2001)

Agency Information Collection Activities Under OMB Review

Notice

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66 FR 51025 (October 5, 2001)

Agency Information Collection Activities: Notice of Intent to Renew Collection 3038-0026, gross Margining of Omnibus Accounts

Notice

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66 FR 49355 (September 27, 2001)

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0012, Futures Volume, Open Interest, Price, Deliveries and Exchange of Futures for Physicals

Notice

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66 FR 48860 (September 24, 2001)

Agency Information Collection Activities Under OMB Review

Notice

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66 FR 42846 (August 15, 2001)

Agency Information Collection Activities:  Notice of Intent To Renew Collection 3028-0022, Rules Pertaining to Contract Markets and Their Members

Notice

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66 FR 30715 (June 7, 2001)

Agency Information Collection Activities Under OMB Review

Notice

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66 FR 27079 (May 16, 2001)

Agency Information Collection Activities:  Notice of Intent To Renew Collection 3038-0025, Practice by Former Members and Employees of the Commission

Notice

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66 FR 8099 (January 29, 2001)

Agency Information Collection Activities Under OMB Review

Notice

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66 FR 6586 (January 22, 2001)

Agency Information Collection Activities Under OMB Review

Notice

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