[December 22, 2003 (Volume 68, Number 245)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua22de03_048-1]
[Page 73854-73855]
Commodity Futures Trading Commission
COMMODITY FUTURES TRADING COMMISSION (CFTC)
_______________________________________________________________________
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Part XLVIII
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Semiannual Regulatory Agenda
[[Page 73854]]
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, Assistant Secretary
for FOIA Matters, Commodity Futures Trading Commission, 1155 21st
Street NW., Washington, DC 20581, (202) 418-5096, [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:
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 fall 2003 regulatory flexibility agenda is
set forth below.
Issued in Washington, DC on September 2, 2003, 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 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 website (http://www.cftc.gov) that lists rules
that the Commission is considering or will consider in the near future.
Commodity Futures Trading Commission--Prerule Stage
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identification
Number Number
----------------------------------------------------------------------------------------------------------------
3974 Interagency Proposal To Consider Alternative Forms of Privacy Notices Under the 3038--AC04
Gramm--Leach--Bliley Act............................................................
----------------------------------------------------------------------------------------------------------------
Commodity Futures Trading Commission--Proposed Rule Stage
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identification
Number Number
----------------------------------------------------------------------------------------------------------------
3975 Registration Exemptions Pertaining to the Offer and Sale of Foreign Futures and 3038--AB45
Foreign Options Contracts to Customers Located in the United States.................
3976 Use of Broker--Dealers, Depository Institutions, and Farm Crediting System 3038--AB70
Institutions as Intermediaries on Derivatives Transaction Execution Facilities......
3977 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..........................................................
3978 Information Access and Price Transparency For Exempt Commercial Markets............. 3038--AC02
3979 Collection of Claims Owed the United States Arising from Activities Under the 3038--AC03
Commission's Jurisdiction...........................................................
3980 Haircuts on Foreign Currency........................................................ 3038--AC05
----------------------------------------------------------------------------------------------------------------
[[Page 73855]]
Commodity Futures Trading Commission--Final Rule Stage
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identification
Number Number
----------------------------------------------------------------------------------------------------------------
3981 Minimum Financial Requirements for Futures Commission Merchants and Introducing 3038--AB64
Brokers.............................................................................
3982 Investment of Customer Funds........................................................ 3038--AC01
----------------------------------------------------------------------------------------------------------------
Commodity Futures Trading Commission--Long--Term Actions
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identification
Number Number
----------------------------------------------------------------------------------------------------------------
3983 Regulation of Hybrid Instruments.................................................... 3038--AB69
----------------------------------------------------------------------------------------------------------------
Commodity Futures Trading Commission--Completed Actions
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identification
Number Number
----------------------------------------------------------------------------------------------------------------
3984 Performance Disclosures for Commodity Trading Advisors and Commodity Pool Operators. 3038--AB39
3985 Customer Identification Program for Futures Commission Merchants and Introducing 3038--AB90
Brokers.............................................................................
3986 Allocation of Bunched Orders........................................................ 3038--AB93
3987 Treatment of Foreign Futures or Foreign Options Secured Amount...................... 3038--AB96
3988 Exclusion for Certain Otherwise Regulated Persons From Definition of Commodity Pool 3038--AB97
Operator (CPO); Exemption From Certain Part 4 Requirements for Commodity Pool
Operators & Commodity Trading Advisors..............................................
----------------------------------------------------------------------------------------------------------------
_______________________________________________________________________
[December 22, 2003 (Volume 68, Number 245)]
[Unified Agenda]
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Commodity Futures Trading Commission
Commodity Futures Trading Commission (CFTC) Prerule Stage
_______________________________________________________________________
3974. [bull] INTERAGENCY PROPOSAL TO CONSIDER ALTERNATIVE FORMS OF
PRIVACY NOTICES UNDER THE GRAMM--LEACH--BLILEY ACT
Priority: Substantive, Nonsignificant. Major status under 5 USC 801 is
undetermined.
Legal Authority: 7 USC 7b--2 and 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,
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. Consequently, GLB Act agencies
are considering whether to amend the privacy rule to provide for
simpler, more useful notices. The GLB Act agencies intend to issue an
advance notice of proposed rulemaking to determine whether to propose
changes to the privacy rule, and if so, will seek further public
comment on specific programs. The agencies expect that consumer testing
would be a key component in the development of any specific proposals.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
ANPRM 12/00/03
Regulatory Flexibility Analysis Required: No
Small Entities Affected: Businesses
Government Levels Affected: Federal
Agency Contact: Laura M. Richards, Senior Assistant 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: [email protected]
David Jacobsohn, Counsel, Office of General Counsel, Commodity Futures
Trading Commission, Three Lafayette Centre, 1155 21st Street NW.,
Washington, DC 20581
Phone: 202 418--5161
Email: [email protected]
RIN: 3038-AC04
[[Page 73856]]
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[December 22, 2003 (Volume 68, Number 245)]
[Unified Agenda]
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Commodity Futures Trading Commission
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
3975. 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 carry only:
(1) customer omnibus accounts for U.S. FCMs; (2) U.S. affiliate
accounts that are proprietary to the foreign futures and options
broker; or (3) 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
Second NPRM 01/00/04
Second NPRM Comment Period End 03/00/04
Final Action 07/00/04
Final Action Effective 08/00/04
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Susan A. Elliott, Attorney Advisor, Division of
Clearing and Intermediary Oversight, 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 22, 2003 (Volume 68, Number 245)]
[Unified Agenda]
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[DOCID:ua22de03_048-4]
[Page 73856]
Commodity Futures Trading Commission
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
3976. 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 07/00/04
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Lawrence B. Patent, Deputy Director, Division of
Clearing and Intermediary Oversight, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street NW., Washington,
DC 20581
Phone: 202 418--5439
Fax: 202 418--5536
Email: [email protected]
RIN: 3038-AB70
_______________________________________________________________________
[December 22, 2003 (Volume 68, Number 245)]
[Unified Agenda]
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Commodity Futures Trading Commission
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
3977. 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, Other.
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 01/00/04
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Andrew V. Chapin, Attorney Advisor, 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: [email protected]
Thomas M. Leahy Jr., Industry Economist, Division of Market Oversight,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418--5278
Email: [email protected]
RIN: 3038-AB75
[[Page 73857]]
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[December 22, 2003 (Volume 68, Number 245)]
[Unified Agenda]
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[DOCID:ua22de03_048-6]
[Page 73857]
Commodity Futures Trading Commission
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
3978. [bull] INFORMATION ACCESS AND PRICE TRANSPARENCY FOR EXEMPT
COMMERCIAL MARKETS
Priority: Substantive, Nonsignificant. Major status under 5 USC 801 is
undetermined.
Legal Authority: 7 USC 2(h)(3)--(5)
CFR Citation: 17 CFR 36.3
Legal Deadline: None
Abstract: The proposal would revise the rules on Commission access to
information on transactions on electronic trading facilities operating
as exempt commercial markets under the Commodity Exchange Act to
provide for access to more relevant and useful information. The
proposed rules also would require such markets to publicly disseminate
certain trading data if, as defined, they perform a significant price
discovery function in the underlying cash market.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 12/00/03
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: [email protected]
RIN: 3038-AC02
_______________________________________________________________________
[December 22, 2003 (Volume 68, Number 245)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua22de03_048-7]
[Page 73857]
Commodity Futures Trading Commission
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
3979. [bull] COLLECTION OF CLAIMS OWED THE UNITED STATES ARISING FROM
ACTIVITIES UNDER THE COMMISSION'S JURISDICTION
Priority: Substantive, Nonsignificant. Major status under 5 USC 801 is
undetermined.
Legal Authority: 31 USC 3720D; 31 CFR 285.11
CFR Citation: 17 CFR 143
Legal Deadline: None
Abstract: Pursuant to the Debt Collection Improvement Act (DCIA) of
1996, the Department of the Treasury has promulgated regulations
authorizing and governing the administrative garnishment of wages of
persons, not employed by the Federal government, who owe claims to the
United States. Under the DCIA and Treasury regulations, Federal
agencies can promulgate rules allowing for the garnishment of such
claims arising from actions within their jurisdiction. As a general
matter, the individual agencies' rules must adopt, or otherwise conform
to, the Treasury rules. To expedite the collection of claims arising
from activity within its jurisdiction, the Commission is amending its
part 143 rules, governing debt collections, to provide for
administrative wage garnishment.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 12/00/03
NPRM Comment Period End 01/00/04
Final Action 02/00/04
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Stephen F. Mihans, Counsel, Office of General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418--5399
Fax: 202--418--5524
Email: [email protected]
RIN: 3038-AC03
_______________________________________________________________________
[December 22, 2003 (Volume 68, Number 245)]
[Unified Agenda]
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[DOCID:ua22de03_048-8]
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Commodity Futures Trading Commission
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
3980. [bull] HAIRCUTS ON FOREIGN CURRENCY
Priority: Substantive, Nonsignificant. Major status under 5 USC 801 is
undetermined.
Legal Authority: 7 USC 6f(b)
CFR Citation: 17 CFR 1.17
Legal Deadline: None
Abstract: The Commission is proposing to amend regulations that specify
required capital charges, or exclusions from net capital, to be
deducted by futures commission merchants (FCMs) and introducing brokers
(IBs) when computing their adjusted net capital. For forward contracts
that are not covered by an open futures contract or commodity option,
and are in specified foreign currencies (British pounds, Canadian
dollars, Japanese yen, Swiss francs or the Euro), the proposed
amendment would apply a capital charge of 6 percent of the market value
of the FCM's or IB's uncovered forward contracts in these currencies.
Uncovered forwards in any other non--U.S. currency would remain subject
to the 20 percent capital charge currently set forth in the
Commission's regulations.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 01/00/04
NPRM Comment Period End 03/00/04
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Thelma Diaz, Senior Counsel, Division of Clearing and
Intermediary Oversight, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418--5137
Fax: 202--418--5536
Email: [email protected]
RIN: 3038-AC05
[[Page 73858]]
_______________________________________________________________________
[December 22, 2003 (Volume 68, Number 245)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua22de03_048-9]
[Page 73858]
Commodity Futures Trading Commission
Commodity Futures Trading Commission (CFTC) Final Rule Stage
_______________________________________________________________________
3981. 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 intends to propose amendments to Rule 1.17
that would adopt a risk--based capital requirement for futures
commission merchants.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 07/09/03 68 FR 40835
NPRM Comment Period End 09/08/03
Final Action 02/00/04
Final Action Effective 03/00/04
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Thomas J. Smith, Chief Accountant and Associate
Director, Division of Clearing and Intermediary Oversight, 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 22, 2003 (Volume 68, Number 245)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua22de03_048-10]
[Page 73858]
Commodity Futures Trading Commission
Commodity Futures Trading Commission (CFTC) Final Rule Stage
_______________________________________________________________________
3982. [bull] INVESTMENT OF CUSTOMER FUNDS
Priority: Substantive, Nonsignificant. Major status under 5 USC 801 is
undetermined.
Legal Authority: 7 USC 6d
CFR Citation: 17 CFR 1.25
Legal Deadline: None
Abstract: The Commission has proposed to amend Regulation 1.25 to allow
futures commission merchants to engage in repurchase agreements with
customer--deposited securities subject to certain conditions and to
modify the portfolio time--to--maturity requirements for securities
deposited in connection with certain collateral management programs of
derivatives clearing organizations.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 06/30/03 68 FR 38654
NPRM Comment Period Reopened 08/06/03 68 FR 46516
NPRM Comment Period End 09/05/03
Final Action 01/00/04
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Phyllis P. Dietz, 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--5449
Fax: 202 418--5536
Email: [email protected]
RIN: 3038-AC01
_______________________________________________________________________
[December 22, 2003 (Volume 68, Number 245)]
[Unified Agenda]
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Commodity Futures Trading Commission
Commodity Futures Trading Commission (CFTC) Final Rule Stage
_______________________________________________________________________
[December 22, 2003 (Volume 68, Number 245)]
[Unified Agenda]
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[Page 73858]
Commodity Futures Trading Commission
Commodity Futures Trading Commission (CFTC) Long-Term Actions
_______________________________________________________________________
3983. REGULATION OF HYBRID INSTRUMENTS
Priority: Substantive, Nonsignificant
CFR Citation: Not Yet Determined
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 12/00/04
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Nancy E. Yanofsky
Phone: 202 418--5292
Fax: 202 418--5567
Email: [email protected]
RIN: 3038-AB69
_______________________________________________________________________
[December 22, 2003 (Volume 68, Number 245)]
[Unified Agenda]
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Commodity Futures Trading Commission
Commodity Futures Trading Commission (CFTC) Completed Actions
_______________________________________________________________________
3984. PERFORMANCE DISCLOSURES FOR COMMODITY TRADING ADVISORS AND
COMMODITY POOL OPERATORS
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 4.25; 17 CFR 4.35
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
Final Action 07/21/03 68 FR 42964
Final Action Effective 08/20/03
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Robert B. Wasserman
Phone: 202 418--5092
Fax: 202 418--5528
Email: [email protected]
RIN: 3038-AB39
_______________________________________________________________________
[December 22, 2003 (Volume 68, Number 245)]
[Unified Agenda]
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[DOCID:ua22de03_048-13]
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Commodity Futures Trading Commission
Commodity Futures Trading Commission (CFTC) Completed Actions
_______________________________________________________________________
3985. CUSTOMER IDENTIFICATION PROGRAM FOR FUTURES COMMISSION MERCHANTS
AND INTRODUCING BROKERS
Priority: Substantive, Nonsignificant
CFR Citation: 31 CFR 103; 17 CFR 42
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
Final Action 05/09/03 68 FR 25149
Final Action Effective 06/09/03
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Office of General Counsel
Phone: 202 418--5120
Fax: 202 418--5524
Email: [email protected]
RIN: 3038-AB90
[[Page 73859]]
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[December 22, 2003 (Volume 68, Number 245)]
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Commodity Futures Trading Commission
Commodity Futures Trading Commission (CFTC) Completed Actions
_______________________________________________________________________
3986. ALLOCATION OF BUNCHED ORDERS
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 1.35
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
Final Action 06/11/03 68 FR 34790
Final Action Effective 07/11/03
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: R. Trabue Bland
Phone: 202 418--5466
Email: [email protected]
RIN: 3038-AB93
_______________________________________________________________________
[December 22, 2003 (Volume 68, Number 245)]
[Unified Agenda]
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Commodity Futures Trading Commission
Commodity Futures Trading Commission (CFTC) Completed Actions
_______________________________________________________________________
3987. TREATMENT OF FOREIGN FUTURES OR FOREIGN OPTIONS SECURED AMOUNT
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 30.7
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
Withdrawn 07/31/03
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Thomas J. Smith
Phone: 202 418--5495
Email: [email protected]
RIN: 3038-AB96
_______________________________________________________________________
[December 22, 2003 (Volume 68, Number 245)]
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[Page 73859]
Commodity Futures Trading Commission
Commodity Futures Trading Commission (CFTC) Completed Actions
_______________________________________________________________________
3988. EXCLUSION FOR CERTAIN OTHERWISE REGULATED PERSONS FROM DEFINITION
OF COMMODITY POOL OPERATOR (CPO); EXEMPTION FROM CERTAIN PART 4
REQUIREMENTS FOR COMMODITY POOL OPERATORS & COMMODITY TRADING ADVISORS
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 4.5; 17 CFR 4.7; 17 CFR 4.12 to 4.14; 17 CFR 4.21;
17 CFR 4.22; 17 CFR 4.31
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
Final Action 08/08/03 68 FR 47221
Final Action Effective 08/08/03
Regulatory Flexibility Analysis Required: Yes
Government Levels Affected: None
Agency Contact: Barbara S. Gold
Phone: 202 418--5450
Fax: 202 418--5528
Email: [email protected]
Christopher W. Cummings
Phone: 202 418--5450
Fax: 202 418--5528
Email: [email protected]
RIN: 3038-AB97
[FR Doc. 03-24024 Filed 12-19-03; 8:45 am]
BILLING CODE 6351-01-S