[May 13, 2002 (Volume 67, Number 92)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua13my02_047-1]
[Page 34062-34063]
COMMODITY FUTURES TRADING COMMISSION (CFTC)
_______________________________________________________________________
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Part XLVII
Commodity Futures Trading Commission
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Semiannual Regulatory Agenda
[[Page 34062]]
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.
FOR FURTHER INFORMATION CONTACT: Ms. Barbara Webster Black, Special
Assistant to the Executive Director, Commodity Futures Trading
Commission, 1155 21st Street NW., Washington, DC 20581, (202) 418-5130,
[email protected].
SUPPLEMENTARY INFORMATION: The Regulatory Flexibility Act, 5 U.S.C.
601, et seq. (RFA), sets forth a number of requirements for agency
rulemaking. Among other things, the RFA requires that:
(a) During the months of April and October of each year, each
agency shall publish in the Federal Register a regulatory
flexibility agenda that shall contain:
(1) A brief description of the subject area of any rule which
the agency expects to propose or promulgate which is likely to have
a significant economic impact on a substantial number of small
entities;
(2) A summary of the nature of any such rule under
consideration for each subject area listed in the agenda pursuant
to paragraph (1), the objectives and legal basis for the issuance
of the rule, and an approximate schedule for completing action on
any rule for which the agency has issued a general notice of
proposed rulemaking; and
(3) The name and telephone number of an agency official
knowledgeable about the items listed in paragraph (1). 5 U.S.C.
602(a).
The Commission has prepared an agenda of significant rules
which it presently expects may be considered during the course of
the next year. 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 2002 regulatory flexibility agenda is
set forth below.
Issued in Washington, DC, on February 27, 2002 by the Commission.
Catherine D. Dixon,
Assistant Secretary of the Commission.
\1\ The Commission published its definition of small entity to be used
in connection with rulemaking proceedings on April 30, 1982 (47 FR
18618). Pursuant to that definition, the Commission is not required to
list many of the agenda items contained in this regulatory flexibility
agenda. See 5 U.S.C. 602(a)(1). Moreover, the Commission has previously
certified, pursuant to section 605 of the RFA, 5 U.S.C. 605, that
certain items contained in this agenda will not have a significant
economic impact on a substantial number of small entities. Accordingly,
the listing of a rule in this regulatory flexibility agenda should not,
in any event, be taken as a determination that a rule, when proposed or
promulgated, will in fact require a regulatory flexibility analysis.
However, the Commission hopes that the publication of an agenda which
includes significant rules, regardless of their potential impact on
small entities, may serve the public generally by providing an early
and meaningful opportunity to participate in and comment on the
formulation of new or revised regulations. In addition to publishing
the regulatory flexibility agenda, the Commission also makes available
to the public, on a monthly basis, a calendar and, on a weekly basis,
posts an advisory on its website (http://www.cftc.gov) which lists
rules that the Commission is considering or will consider in the near
future.
Commodity Futures Trading Commission--Proposed Rule Stage
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identification
Number Number
----------------------------------------------------------------------------------------------------------------
3622 Denomination of Customer Funds and Location of Depositories......................... 3038-AB31
3623 Minimum Financial Requirements for Futures Commission Merchants and Introducing 3038-AB64
Brokers.............................................................................
3624 Regulation of Hybrid Instruments.................................................... 3038-AB69
3625 Use of Broker-Dealers, Depository Institutions, and Farm Crediting System 3038-AB70
Institutions as Intermediaries on Derivatives Transaction Execution Facilities......
3626 Authority To Modify Security Futures Product Listing Standards...................... 3038-AB73
3627 Compliance Date for Security Futures Products To Be Cleared by a Clearing Agency 3038-AB74
That Has Linked and Coordinated Clearing With Other Clearing Agencies...............
3628 Offering and Selling Security Futures Products Traded on Foreign Boards of Trade to 3038-AB75
United States Persons...............................................................
3629 Requirements for Foreign Stock Index Contracts To Qualify as Non-Narrow-Based 3038-AB78
Indices.............................................................................
----------------------------------------------------------------------------------------------------------------
Commodity Futures Trading Commission--Final Rule Stage
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identification
Number Number
----------------------------------------------------------------------------------------------------------------
3630 Performance Disclosures for Commodity Trading Advisors and Commodity Pool Operators. 3038-AB39
3631 Registration Exemptions Pertaining to the Offer and Sale of Foreign Futures and 3038-AB45
Foreign Options Contracts to Customers Located in the United States.................
[[Page 34063]]
3632 Margin Requirements for Security Futures Products................................... 3038-AB71
3633 Avoidance of Duplicative or Conflicting Regulations Applicable to Dual Registrants.. 3038-AB76
3634 Cash Settlement and Regulatory Halts Required for Security Futures Products......... 3038-AB86
----------------------------------------------------------------------------------------------------------------
Commodity Futures Trading Commission--Long-Term Actions
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identification
Number Number
----------------------------------------------------------------------------------------------------------------
3635 Public Reporting by Operators of Certain Large Commodity Pools--Regulations 4.7, 3038-AB40
4.12, and 4.27......................................................................
3636 Trade Options on Enumerated Agricultural Commodities................................ 3038-AB61
3637 Exemption From Compliance With the Criterion for Linked and Coordinated Clearing.... 3038-AB72
----------------------------------------------------------------------------------------------------------------
Commodity Futures Trading Commission--Completed Actions
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identification
Number Number
----------------------------------------------------------------------------------------------------------------
3638 Prohibition Against Dual Trading.................................................... 3038-AB83
3639 Regulation Concerning Conduct of Members and Employees and Former Members and 3038-AB85
Employees of the Commission, 17 CFR Part 140........................................
3640 Listing Standards and Conditions for Trading Security Futures Products.............. 3038-AB87
3641 Reporting Levels for Large Trader Reports; Security Futures Products................ 3038-AB88
----------------------------------------------------------------------------------------------------------------
Commodity Futures Trading Commission--Discontinued Entries
--------------------------------------------------------------------------------------------------------------------------------------------------------
Regulation
Identification Title Date Withdrawn Comments
Number
--------------------------------------------------------------------------------------------------------------------------------------------------------
3038-AB79 Special Procedures To Encourage and Facilitate Bona Fide Hedging by Agricultural Producers 02/01/2002 Withdrawn
--------------------------------------------------------------------------------------------------------------------------------------------------------
_______________________________________________________________________
[Page 34063]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
3622. DENOMINATION OF CUSTOMER FUNDS AND LOCATION OF DEPOSITORIES
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 1a; 7 USC 2; 7 USC 5; 7 USC 6a to 6d; 7 USC 6f
to 6g; 7 USC 12a; 7 USC 19
CFR Citation: Not Yet Determined
Legal Deadline: None
Abstract: The Commission is proposing rules requesting public comment
on how to address the risks relating to holding segregated funds
offshore or in foreign currencies.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
Concept Release 12/30/97 62 FR 67841
NPRM 05/00/02
NPRM Comment Period End 06/00/02
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Michael A. Piracci, Attorney Advisor, Division of
Trading and Markets, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5446
Fax: 202 418-5536
Email: [email protected]
RIN: 3038-AB31
_______________________________________________________________________
[Page 34063-34064]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
3623. MINIMUM FINANCIAL REQUIREMENTS FOR FUTURES COMMISSION MERCHANTS
AND INTRODUCING BROKERS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 6f
CFR Citation: 17 CFR 1.17
Legal Deadline: None
Abstract: The Commission is requesting public comment on proposed
amendments to Rule 1.17 that
[[Page 34064]]
would adopt a risk-based capital requirement for futures commission
merchants.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 05/00/02
NPRM Comment Period End 06/00/02
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Thomas J. Smith, Special Counsel, Division of Trading
and Markets, Commodity Futures Trading Commission, Three Lafayette
Centre, 1121 21st Street NW., Washington, DC 20581
Phone: 202 418-5495
Email: [email protected]
RIN: 3038-AB64
_______________________________________________________________________
[Page 34064]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
3624. REGULATION OF HYBRID INSTRUMENTS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat.
2763
CFR Citation: Not Yet Determined
Legal Deadline: None
Abstract: The Commission is required, after consulting with and
obtaining the concurrence of the Board of Governors of the Federal
Reserve System, to prescribe regulations to govern hybrid instruments
if it determines that it is in the public interest and consistent with
the Commodity Exchange Act, and the product is not predominantly a
banking product under the test enumerated in title IV of the Commodity
Futures Modernization Act of 2000.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 01/00/03
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Elizabeth L. Ritter, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB69
_______________________________________________________________________
[Page 34064]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
3625. USE OF BROKER-DEALERS, DEPOSITORY INSTITUTIONS, AND FARM CREDITING
SYSTEM INSTITUTIONS AS INTERMEDIARIES ON DERIVATIVES TRANSACTION
EXECUTION FACILITIES
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat.
2763
CFR Citation: Not Yet Determined
Legal Deadline: None
Abstract: The Commission is required to coordinate with the Securities
and Exchange Commission, the Secretary of the Treasury and Federal
banking regulators (including the Farm Credit Administration) in
adopting rules and taking any other appropriate action to implement the
provisions of the Commodity Futures Modernization Act of 2000 relating
to the use of broker-dealers, depository institutions, and farm credit
system institutions as intermediaries on derivatives transaction
execution facilities.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 01/00/03
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Elizabeth L. Ritter, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB70
_______________________________________________________________________
[Page 34064]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
3626. AUTHORITY TO MODIFY SECURITY FUTURES PRODUCT LISTING STANDARDS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 2(a)(1)(D)(v)(I)
CFR Citation: Not Yet Determined
Legal Deadline: None
Abstract: The Commission and the Securities and Exchange Commission may
adopt rules to jointly modify security futures product listing
standards requiring that any security underlying the security future,
including each component security of a narrow-based security index, be
registered pursuant to section 12 of the Securities Exchange Act of
1934, and that the security futures be based upon common stock and such
other equity securities as both agencies jointly determine appropriate.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 08/00/02
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Elizabeth L. Ritter, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB73
_______________________________________________________________________
[Page 34064-34065]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
3627. COMPLIANCE DATE FOR SECURITY FUTURES PRODUCTS TO BE CLEARED BY A
CLEARING AGENCY THAT HAS LINKED AND COORDINATED CLEARING WITH OTHER
CLEARING AGENCIES
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat.
2763
CFR Citation: Not Yet Determined
Legal Deadline: None
Abstract: The Commission and the Securities and Exchange Commission are
required to jointly publish in the Federal Register a notice of the
compliance date for requiring security futures products to be cleared
by a clearing agency that has in place provisions for linked and
coordinated clearing with other clearing agencies that clear security
futures products to be purchased on one market and offset on another
market that trades such product within 165 days of the compliance date.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 01/00/03
Regulatory Flexibility Analysis Required: No
[[Page 34065]]
Government Levels Affected: None
Agency Contact: Elizabeth L. Ritter, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB74
_______________________________________________________________________
[Page 34065]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
3628. OFFERING AND SELLING SECURITY FUTURES PRODUCTS TRADED ON FOREIGN
BOARDS OF TRADE TO UNITED STATES PERSONS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat.
2763
CFR Citation: Not Yet Determined
Legal Deadline: None
Abstract: The Commission and the Securities and Exchange Commission are
required to jointly issue rules, regulations, or orders as are
necessary and appropriate to permit the offer and sale of security
futures products traded on or subject to the rules of a foreign board
of trade to United States persons.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 07/00/02
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Elizabeth L. Ritter, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB75
_______________________________________________________________________
[Page 34065]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
3629. REQUIREMENTS FOR FOREIGN STOCK INDEX CONTRACTS TO QUALIFY AS NON-
NARROW-BASED INDICES
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat.
2763
CFR Citation: Not Yet Determined
Legal Deadline: Other, Statutory, December 21, 2001, Prior to 12/21/
2001.
Within one year after the date of enactment of the Commodity Futures
Modernization Act of 2000.
Abstract: The Commission and the Securities and Exchange Commission are
required to jointly adopt rules and regulations that set forth the
requirements for foreign stock index contracts to qualify as non-
narrow-based indices.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 07/00/02
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Elizabeth L. Ritter, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB78
_______________________________________________________________________
[Page 34065]
Commodity Futures Trading Commission (CFTC) Final Rule Stage
_______________________________________________________________________
3630. PERFORMANCE DISCLOSURES FOR COMMODITY TRADING ADVISORS AND
COMMODITY POOL OPERATORS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 6n; 7 USC 6o; 7 USC 12a
CFR Citation: 17 CFR 4.25; 17 CFR 4.35
Legal Deadline: None
Abstract: The Commodity Futures Trading Commission is proposing
amendments to the requirements concerning the presentation of rate of
return data by commodity trading advisors and commodity pool operators.
The Commission's proposed rules address computational and disclosure
matters relating to participating in commodity trading advisor programs
on a partially funded basis.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
ANPRM 06/18/98 63 FR 33297
ANPRM Comment Period End 09/16/98
NPRM 08/02/99 64 FR 41843
NPRM Comment Period End 10/01/99
Final Action 05/00/02
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Robert B. Wasserman, Associate Director, Division of
Trading and Markets, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5092
Fax: 202 418-5528
Email: [email protected]
RIN: 3038-AB39
_______________________________________________________________________
[Page 34065-34066]
Commodity Futures Trading Commission (CFTC) Final Rule Stage
_______________________________________________________________________
3631. 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
[[Page 34066]]
those with U.S. bank branches, are not required to register as futures
commission merchants (FCMs) pursuant to Rule 30.4, or seek Rule 30.10
relief, if they fall generally into the following categories: (1) those
that carry customer omnibus accounts for U.S. FCMs; (2) those that
carry U.S. affiliate accounts that are proprietary to the foreign
futures and options broker; and (3) those that carry U.S. accounts that
are proprietary to a U.S. FCM. In addition, proposed Rule 30.10(a) will
specify representations that must be made by a foreign futures and
options broker that has U.S. bank branches in order to obtain a Rule
30.10 comparability exemption or to come within the registration
exception of Rule 30.4.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 08/26/99 64 FR 46613
NPRM Comment Period End 10/25/99
Final Action 06/00/02
Final Action Effective 08/00/02
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Susan A. Elliott, Attorney Advisor, Division of Trading
and Markets, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5464
Fax: 202 418-5528
Email: [email protected]
RIN: 3038-AB45
_______________________________________________________________________
[Page 34066]
Commodity Futures Trading Commission (CFTC) Final Rule Stage
_______________________________________________________________________
3632. MARGIN REQUIREMENTS FOR SECURITY FUTURES PRODUCTS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat.
2763
CFR Citation: 17 CFR 41.43 to 41.48
Legal Deadline: None
Abstract: The Board of Governors of the Federal Reserve System on March
6, 2001 delegated its authority to have the Commission and the
Securities and Exchange Commission, within a reasonable period of time
after delegation, jointly prescribe regulations to establish margin
requirements, including the establishment of levels of margin, for
security futures products.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 10/04/01 66 FR 50719
NPRM Comment Period Extended to
12/05/2001 11/02/01 66 FR 55608
Correction 11/13/01 66 FR 56902
Correction 11/19/01 66 FR 58007
Final Action 05/00/02
Final Action Effective 05/00/02
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Elizabeth L. Ritter, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB71
_______________________________________________________________________
[Page 34066]
Commodity Futures Trading Commission (CFTC) Final Rule Stage
_______________________________________________________________________
3633. AVOIDANCE OF DUPLICATIVE OR CONFLICTING REGULATIONS APPLICABLE TO
DUAL REGISTRANTS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat.
2763
CFR Citation: Not Yet Determined
Legal Deadline: None
Abstract: The Commission, in consultation with the Securities and
Exchange Commission, is required to issue rules, regulations, or orders
as are necessary to avoid duplicative or conflicting regulations
applicable to dual registrants involving security futures products.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 10/04/01 66 FR 50785
NPRM Comment Period Extended to
12/05/2001 11/02/01 66 FR 55608
Final Action 05/00/02
Final Action Effective 05/00/02
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Elizabeth L. Ritter, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB76
_______________________________________________________________________
[Page 34066]
Commodity Futures Trading Commission (CFTC) Final Rule Stage
_______________________________________________________________________
3632. MARGIN REQUIREMENTS FOR SECURITY FUTURES PRODUCTS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat.
2763
CFR Citation: 17 CFR 41.43 to 41.48
Legal Deadline: None
Abstract: The Board of Governors of the Federal Reserve System on March
6, 2001 delegated its authority to have the Commission and the
Securities and Exchange Commission, within a reasonable period of time
after delegation, jointly prescribe regulations to establish margin
requirements, including the establishment of levels of margin, for
security futures products.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 10/04/01 66 FR 50719
NPRM Comment Period Extended to
12/05/2001 11/02/01 66 FR 55608
Correction 11/13/01 66 FR 56902
Correction 11/19/01 66 FR 58007
Final Action 05/00/02
Final Action Effective 05/00/02
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Elizabeth L. Ritter, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB71
_______________________________________________________________________
[Page 34067]
Commodity Futures Trading Commission (CFTC) Long-Term Actions
_______________________________________________________________________
3635. PUBLIC REPORTING BY OPERATORS OF CERTAIN LARGE COMMODITY POOLS--
REGULATIONS 4.7, 4.12, AND 4.27
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 4.7; 17 CFR 4.12; 17 CFR 4.27 (Proposed)
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 04/17/00 65 FR 20395
NPRM Comment Period End 06/16/00
Next Action Undetermined
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Tobey Kaczensky
Phone: 202 418-5460
Fax: 202 418-5520
Email: [email protected]
RIN: 3038-AB40
_______________________________________________________________________
[Page 34067]
Commodity Futures Trading Commission (CFTC) Long-Term Actions
_______________________________________________________________________
3636. TRADE OPTIONS ON ENUMERATED AGRICULTURAL COMMODITIES
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 32.13
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 12/13/00 65 FR 77838
NPRM Comment Period End 12/28/00
Next Action Undetermined
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Paul M. Architzel
Phone: 202 418-5260
Fax: 202 418-5527
Email: [email protected]
Nancy E. Yanofsky
Phone: 202 418-5292
Fax: 202 418-5567
Email: [email protected]
RIN: 3038-AB61
_______________________________________________________________________
[Page 34067]
Commodity Futures Trading Commission (CFTC) Long-Term Actions
_______________________________________________________________________
3637. EXEMPTION FROM COMPLIANCE WITH THE CRITERION FOR LINKED AND
COORDINATED CLEARING
Priority: Substantive, Nonsignificant
CFR Citation: Not Yet Determined
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 12/00/03
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Elizabeth L. Ritter
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB72
_______________________________________________________________________
[Page 34067]
Commodity Futures Trading Commission (CFTC) Completed Actions
_______________________________________________________________________
3638. PROHIBITION AGAINST DUAL TRADING
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 41.27
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
Final Action 03/13/02 67 FR 11223
Final Action Effective 04/12/02
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Rachel F. Berdansky
Phone: 202 418-5429
Fax: 202 418-5536
Email: [email protected]
RIN: 3038-AB83
_______________________________________________________________________
[Page 34067]
Commodity Futures Trading Commission (CFTC) Completed Actions
_______________________________________________________________________
3639. REGULATION CONCERNING CONDUCT OF MEMBERS AND EMPLOYEES AND FORMER
MEMBERS AND EMPLOYEES OF THE COMMISSION, 17 CFR PART 140
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 140.735
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
Final Action 02/08/02 67 FR 5938
Final Action Effective 02/08/02
Regulatory Flexibility Analysis Required: No
Government Levels Affected: Federal
Agency Contact: Susan Nathan
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]
RIN: 3038-AB85
_______________________________________________________________________
[Page 34067]
Commodity Futures Trading Commission (CFTC) Completed Actions
_______________________________________________________________________
3640. LISTING STANDARDS AND CONDITIONS FOR TRADING SECURITY FUTURES
PRODUCTS
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 41.21 to 41.25
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
Final Action 11/01/01 66 FR 55078
Final Action Effective 11/01/01
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Richard A. Shilts
Phone: 202 418-5260
Fax: 202 418-5527
Email: [email protected]
RIN: 3038-AB87
_______________________________________________________________________
[May 13, 2002 (Volume 67, Number 92)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua13my02_047-21]
[Page 34067-34068]
Commodity Futures Trading Commission (CFTC) Completed Actions
_______________________________________________________________________
3641. <bullet> REPORTING LEVELS FOR LARGE TRADER REPORTS; SECURITY FUTURES
PRODUCTS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 6g; 7 USC 6i; 7 USC 7; 7 USC 7a; 7 USC 12a
CFR Citation: 17 CFR 15.03
Legal Deadline: None
Abstract: The Commission is amending part 15 of its rules to establish
reporting levels for security futures products.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 12/13/01 66 FR 64383
NPRM Comment Period End 01/14/02
Final Action 03/15/02 67 FR 11569
Final Action Effective 03/15/02
Correction 03/25/02 67 FR 13680
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Gary J. Martinaitis, Deputy Associate Director, Market
Surveillance Section, Division of Economic Analysis, Commodity Futures
Trading Commission
Phone: 202 418-5260
Fax: 202 418-5527
[[Page 34068]]
Email: [email protected]
RIN: 3038-AB88
[FR Doc. 02-7691 Filed 05-10-02 8:45 am]
BILLING CODE 6351-01-S