Unified Agenda
17 CFR Ch. I
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. This edition of the Unified Agenda of Federal Regulatory and Deregulatory Actions includes The Regulatory Plan, which appears in part II of this issue of the Federal Register. The Commission's Statement of Regulatory Priorities is included in part II. 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, bblack@cftc.gov.
SUPPLEMENTARY INFORMATION:
The Regulatory Flexibility Act, 5 U.S.C. 601, et seq. (RFA), sets forth a number of requirements for agency rulemaking. Among other things, the RFA requires that:
(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, irrespective of their potential 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." Pursuant to the request of Andrew H. Card, Jr., Assistant to the President and Chief of Staff, in his January 20, 2001 memorandum, the Commission has decided that it will issue no final or proposed rules not mandated by Congress until an agency head appointed by the President after noon on January 20, 2001 reviews and approves the regulatory action, or until further guidance is received from the Administration.
The Commission's October 2001 regulatory flexibility agenda is set forth below.
Issued in Washington, DC, on August 30, 2001 by the Commission.
Jean A. Webb,
Secretary of the Commission.
1The 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 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 | Sequence Number | Title | Regulation Identification Number |
|---|---|---|
| 4206 | Denomination of Customer Funds and Location of Depositories | 3038-AB31 |
| 4207 | Minimum Financial Requirements for Futures Commission Merchants and Introducing Brokers | 3038-AB64 |
| 4208 | Regulation of Hybrid Instruments | 3038-AB69 |
| 4209 | Use of Broker-Dealers, Depository Institutions, and Farm Crediting System Institutions as Intermediaries on Derivatives Transaction Execution Facilities | 3038-AB70 |
| 4210 | Margin Requirements for Security Futures Products | 3038-AB71 |
| 4211 | Authority To Modify Security Futures Product Listing Standards | 3038-AB73 |
| 4212 | Compliance Date for Security Futures Products To Be Cleared by a Clearing Agency That Has Linked and Coordinated Clearing With Other Clearing Agencies | 3038-AB74 |
| 4213 | Offering and Selling Security Futures Products Traded on Foreign Boards of Trade to United States Persons | 3038-AB75 |
| 4214 | Avoidance of Duplicative or Conflicting Regulations Applicable to Dual Registrants | 3038-AB76 |
| 4215 | Requirements for Foreign Stock Index Contracts To Qualify as Non-Narrow-Based Indices | 3038-AB78 |
| 4216 | Special Procedures To Encourage and Facilitate Bona Fide Hedging by Agricultural Producers | 3038-AB79 |
| 4217 | Regulation Concerning Conduct of Members and Employees and Former Members and Employees of the Commission, 17 CFR Part 140 | 3038-AB85 |
| 4218 | Cash Settlement and Regulatory Halts Required for Security Futures Products | 3038-AB86 |
| Commodity Futures Trading Commission—Final Rule Stage | Sequence Number | Title | Regulation Identification Number |
|---|---|---|
| 4219 | Performance Disclosures for Commodity Trading Advisors and Commodity Pool Operators | 3038-AB39 |
| 4220 | Registration Exemptions Pertaining to the Offer and Sale of Foreign Futures and Foreign Options Contracts to Customers Located in the United States | 3038-AB45 |
| 4221 | Prohibition Against Dual Trading | 3038-AB83 |
| 4222 | Listing Standards and Conditions for Trading Security Futures Products | 3038-AB87 |
| Commodity Futures Trading Commission—Long-Term Actions | Sequence Number | Title | Regulation Identification Number |
|---|---|---|
| 4223 | Public Reporting by Operators of Certain Large Commodity Pools—Regulations 4.7, 4.12, and 4.27 | 3038-AB40 |
| 4224 | Trade Options on Enumerated Agricultural Commodities | 3038-AB61 |
| 4225 | Exemption From Compliance With the Listing Standards for Security Futures Products | 3038-AB72 |
| Commodity Futures Trading Commission—Completed Actions | Sequence Number | Title | Regulation Identification Number |
|---|---|---|
| 4226 | Segregated Account; Daily Computation and Record | 3038-AB52 |
| 4227 | New Regulatory Framework for Trading Facilities | 3038-AB63 |
| 4228 | Rules Relating to Intermediaries of Commodity Interest Transactions | 3038-AB65 |
| 4229 | A New Regulatory Framework for Clearing Organizations | 3038-AB66 |
| 4230 | Opting Out of Segregation by Eligible Contract Participants in Connection with Derivatives Transaction Execution Facility Transactions | 3038-AB67 |
| 4231 | CFTC Conformance with Title V Privacy Provisions of the Gramm-Leach-Bliley Act for Federal Functional Regulators | 3038-AB68 |
| 4232 | Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index | 3038-AB77 |
| 4233 | Procedures for Exempting Brokers or Dealers From the Commodity Exchange Act | 3038-AB81 |
| 4234 | Procedures for Notice-Designation as a Contract Market in Security Futures Products and Exemptions from the Commodity Exchange Act | 3038-AB82 |
| 4235 | Notice Registration as a Futures Commission Merchant or Introducing Broker for Certain Securities Brokers or Dealers | 3038-AB84 |
4206. DENOMINATION OF CUSTOMER FUNDS AND LOCATION OF DEPOSITORIES
Agency:
Commodity Futures Trading Commission (CFTC)
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: (To search for a specific CFR, visit the Code of Federal Regulations.)
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.
| Action | Date | FR Cite |
| Concept Release | 12/30/97 | 62 FR 67841 |
| NPRM | 01/00/02 | |
| NPRM Comment Period End | 03/00/02 |
Regulatory Flexibility Analysis Required:
No
Small Entities Affected:
No
Government Levels Affected:
None
Agency Contact:
Helene D. Schroeder, Special Counsel, Division of Trading and Markets, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581
Phone: 202 418-5424
Fax: 202 418-5528
Email: hschroeder@cftc.gov
RIN:
3038-AB31
4207. MINIMUM FINANCIAL REQUIREMENTS FOR FUTURES COMMISSION MERCHANTS AND INTRODUCING BROKERS
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
Legal Authority:
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
17 CFR 1.17
Legal Deadline:
None
Abstract:
The Commission is requesting public comment on proposed amendments to Rule 1.17 that would adopt a risk-based capital requirement for futures commission merchants.
| Action | Date | FR Cite |
| NPRM | 12/00/01 | |
| NPRM Comment Period End | 02/00/02 |
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: tsmith@cftc.gov
RIN:
3038-AB64
4208. REGULATION OF HYBRID INSTRUMENTS
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
Legal Authority:
7 USC 1 et seq, as amended by PL 106-554, 114 Stat. 2763
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
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.
| Action | Date | FR Cite |
| NPRM | 01/00/02 |
Regulatory Flexibility Analysis Required:
No
Small Entities Affected:
No
Government Levels Affected:
None
Agency Contact:
Elizabeth L.R. Fox, 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: efox@cftc.gov
RIN:
3038-AB69
4209. USE OF BROKER-DEALERS, DEPOSITORY INSTITUTIONS, AND FARM CREDITING SYSTEM INSTITUTIONS AS INTERMEDIARIES ON DERIVATIVES TRANSACTION EXECUTION FACILITIES
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
Legal Authority:
7 USC 1 et seq, as amended by PL 106-554, 114 Stat. 2763
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
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.
| Action | Date | FR Cite |
| NPRM | 01/00/02 |
Regulatory Flexibility Analysis Required:
No
Government Levels Affected:
None
Agency Contact:
Elizabeth L.R. Fox, 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: efox@cftc.gov
RIN:
3038-AB70
4210. MARGIN REQUIREMENTS FOR SECURITY FUTURES PRODUCTS
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
Legal Authority:
7 USC 1 et seq, as amended by PL 106-554, 114 Stat. 2763
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
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.
| 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 |
| Final Action | 02/00/02 | |
| Final Action Effective | 03/00/02 |
Regulatory Flexibility Analysis Required:
No
Small Entities Affected:
No
Government Levels Affected:
None
Agency Contact:
Elizabeth L.R. Fox, 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: efox@cftc.gov
RIN:
3038-AB71
4211. AUTHORITY TO MODIFY SECURITY FUTURES PRODUCT LISTING STANDARDS
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
Legal Authority:
7 USC 2(a)(1)(D)(v)(I)
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
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.
| Action | Date | FR Cite |
| NPRM | 08/00/02 |
Regulatory Flexibility Analysis Required:
No
Government Levels Affected:
None
Agency Contact:
Elizabeth L.R. Fox, 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: efox@cftc.gov
RIN:
3038-AB73
4212. COMPLIANCE DATE FOR SECURITY FUTURES PRODUCTS TO BE CLEARED BY A CLEARING AGENCY THAT HAS LINKED AND COORDINATED CLEARING WITH OTHER CLEARING AGENCIES
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
Legal Authority:
7 USC 1 et seq, as amended by PL 106-554, 114 Stat. 2763
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
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.
| Action | Date | FR Cite |
| NPRM | 01/00/02 |
Regulatory Flexibility Analysis Required:
No
Government Levels Affected:
None
Agency Contact:
Elizabeth L.R. Fox, 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: efox@cftc.gov
RIN:
3038-AB74
4213. OFFERING AND SELLING SECURITY FUTURES PRODUCTS TRADED ON FOREIGN BOARDS OF TRADE TO UNITED STATES PERSONS
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
Legal Authority:
7 USC 1 et seq, as amended by PL 106-554, 114 Stat. 2763
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
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.
| Action | Date | FR Cite |
| NPRM | 01/00/02 |
Regulatory Flexibility Analysis Required:
No
Government Levels Affected:
None
Agency Contact:
Elizabeth L.R. Fox, 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: efox@cftc.gov
RIN:
3038-AB75
4214. AVOIDANCE OF DUPLICATIVE OR CONFLICTING REGULATIONS APPLICABLE TO DUAL REGISTRANTS
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
Legal Authority:
7 USC 1 et seq, as amended by PL 106-554, 114 Stat. 2763
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
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.
| 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 | 02/00/02 | |
| Final Action Effective | 03/00/02 |
Regulatory Flexibility Analysis Required:
No
Government Levels Affected:
None
Agency Contact:
Elizabeth L.R. Fox, 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: efox@cftc.gov
RIN:
3038-AB76
4215. REQUIREMENTS FOR FOREIGN STOCK INDEX CONTRACTS TO QUALIFY AS NON-NARROW-BASED INDICES
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
Legal Authority:
7 USC 1 et seq, as amended by PL 106-554, 114 Stat. 2763
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
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:
Prior to December 21, 2001, 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.
| Action | Date | FR Cite |
| NPRM | 10/00/01 |
Regulatory Flexibility Analysis Required:
No
Government Levels Affected:
None
Agency Contact:
Elizabeth L.R. Fox, 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: efox@cftc.gov
RIN:
3038-AB78
4216. SPECIAL PROCEDURES TO ENCOURAGE AND FACILITATE BONA FIDE HEDGING BY AGRICULTURAL PRODUCERS
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
Legal Authority:
7 USC 1 et seq, as amended by PL 106-554, 114 Stat. 2763
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
Not Yet Determined
Legal Deadline:
None
Abstract:
The Commission is required to consider issuing rules or orders which prescribe procedures for contract markets to provide orderly delivery and increased ease for domestic agricultural producers to hedge price risk.
| Action | Date | FR Cite |
| NPRM | 12/00/01 |
Regulatory Flexibility Analysis Required:
No
Government Levels Affected:
None
Agency Contact:
Elizabeth L.R. Fox, 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: efox@cftc.gov
RIN:
3038-AB79
4217. ¤ REGULATION CONCERNING CONDUCT OF MEMBERS AND EMPLOYEES AND FORMER MEMBERS AND EMPLOYEES OF THE COMMISSION, 17 CFR PART 140
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
Legal Authority:
7 USC 4a(f); 7 USC 4a(j); 7 USC 12a(5); 7 USC 13
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
17 CFR 140.735
Legal Deadline:
None
Abstract:
The proposed rule would amend the Commission's standards of conduct relating to business transactions and interests.
| Action | Date | FR Cite |
| NPRM | 12/00/01 |
Regulatory Flexibility Analysis Required:
No
Small Entities Affected:
No
Government Levels Affected:
Federal
Agency Contact:
Susan Nathan, Assistant General Counsel, Office of 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: snathan@cftc.gov
RIN:
3038-AB85
4218. ¤ CASH SETTLEMENT AND REGULATORY HALTS REQUIRED FOR SECURITY FUTURES PRODUCTS
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
Legal Authority:
7 USC 2(a)(1)(D)(i)
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
17 CFR 41.25
Legal Deadline:
None
Abstract:
The Commission and the Securities and Exchange Commission are required to jointly publish in the Federal Register requirements for listing standards for security futures products relating to the cash settlement of contracts and regulatory trading halts.
| Action | Date | FR Cite |
| NPRM | 08/30/01 | 66 FR 45903 |
| NPRM Comment Period End | 10/01/01 |
Regulatory Flexibility Analysis Required:
No
Small Entities Affected:
No
Government Levels Affected:
None
Agency Contact:
Richard A. Shilts, Acting Director, Division of Economic Analysis, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5260
Fax: 202 418-5527
Email: rshilts@cftc.gov
RIN:
3038-AB86
4219. PERFORMANCE DISCLOSURES FOR COMMODITY TRADING ADVISORS AND COMMODITY POOL OPERATORS
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
Legal Authority:
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
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.
| 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 | 12/00/01 |
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: rwasserman@cftc.gov
RIN:
3038-AB39
4220. REGISTRATION EXEMPTIONS PERTAINING TO THE OFFER AND SALE OF FOREIGN FUTURES AND FOREIGN OPTIONS CONTRACTS TO CUSTOMERS LOCATED IN THE UNITED STATES
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
Legal Authority:
7 USC 2(a)(1)(A); 7 USC 6(b); 7 USC 6c
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
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 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.
| Action | Date | FR Cite |
| NPRM | 08/26/99 | 64 FR 46613 |
| NPRM Comment Period End | 10/25/99 | |
| Final Action | 03/00/02 | |
| Final Action Effective | 05/00/02 |
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: selliott@cftc.gov
RIN:
3038-AB45
4221. PROHIBITION AGAINST DUAL TRADING
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
Legal Authority:
7 USC 1 et seq, as amended by PL 106-554, 114 Stat. 2763
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
Not Yet Determined
Legal Deadline:
None
Abstract:
The Commission is required to issue regulations to prohibit dual trading in security futures products on contract markets and derivatives transaction execution facilities.
| Action | Date | FR Cite |
| NPRM | 07/11/01 | 66 FR 36218 |
| NPRM Comment End | 08/10/01 | |
| Final Action | 12/00/01 | |
| Final Action Effective | 12/00/01 |
Regulatory Flexibility Analysis Required:
No
Government Levels Affected:
None
Agency Contact:
Rachel F. Berdansky, Attorney Advisor, Division of Trading and Markets, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5429
Fax: 202 418-5536
Email: rberdansky@cftc.gov
RIN:
3038-AB83
4222. ¤ LISTING STANDARDS AND CONDITIONS FOR TRADING SECURITY FUTURES PRODUCTS
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
Legal Authority:
7 USC 2(a)(1)(D)(i)
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
17 CFR 41.21 to 41.25
Legal Deadline:
None
Abstract:
The Commission is required to publish in the Federal Register requirements and certifications for listing standards for security futures products.
| Action | Date | FR Cite |
| NPRM | 07/20/01 | 66 FR 37932 |
| NPRM Comment Period End | 08/20/01 | |
| Final Action | 12/00/01 |
Regulatory Flexibility Analysis Required:
No
Small Entities Affected:
No
Government Levels Affected:
None
Additional Information:
The July 20, 2001 NPRM (66 FR 37932) was published with an erroneous RIN, 3038-AB73.
Agency Contact:
Richard A. Shilts, Acting Director, Division of Economic Analysis, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5260
Fax: 202 418-5527
Email: rshilts@cftc.gov
RIN:
3038-AB87
4223. PUBLIC REPORTING BY OPERATORS OF CERTAIN LARGE COMMODITY POOLS—REGULATIONS 4.7, 4.12, AND 4.27
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
17 CFR 4.7; 17 CFR 4.12; 17 CFR 4.27 (Proposed)
| Action | Date | FR Cite |
| NPRM | 04/17/00 | 65 FR 20395 |
| NPRM Comment Period End | 06/16/00 |
Regulatory Flexibility Analysis Required:
No
Small Entities Affected:
No
Government Levels Affected:
None
Agency Contact:
Tobey Kaczensky
Phone: 202 418-5460
Fax: 202 418-5520
Email: tkaczensky@cftc.gov
RIN:
3038-AB40
4224. TRADE OPTIONS ON ENUMERATED AGRICULTURAL COMMODITIES
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
17 CFR 32.13
| Action | Date | FR Cite |
| NPRM | 12/13/00 | 65 FR 77838 |
| NPRM Comment Period End | 12/28/00 |
Regulatory Flexibility Analysis Required:
No
Government Levels Affected:
None
Agency Contact:
Paul M. Architzel
Phone: 202 418-5260
Fax: 202 418-5527
Email: parchitzel@cftc.gov
Nancy E. Yanofsky
Phone: 202 418-5292
Fax: 202 418-5567
Email: nyanofsky@cftc.gov
RIN:
3038-AB61
4225. EXEMPTION FROM COMPLIANCE WITH THE LISTING STANDARDS FOR SECURITY FUTURES PRODUCTS
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
Not Yet Determined
| Action | Date | FR Cite |
| NPRM | 12/00/03 |
Regulatory Flexibility Analysis Required:
No
Government Levels Affected:
None
Agency Contact:
Elizabeth L.R. Fox
Phone: 202 418-5120
Fax: 202 418-5524
Email: efox@cftc.gov
RIN:
3038-AB72
4226. SEGREGATED ACCOUNT; DAILY COMPUTATION AND RECORD
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
17 CFR 1.32
| Reason | Date | FR Cite |
| Final Action | 08/07/01 | 66 FR 41131 |
| Final Action Effective | 08/07/01 |
Regulatory Flexibility Analysis Required:
No
Government Levels Affected:
None
Agency Contact:
Thomas J. Smith
Phone: 202 418-5495
Email: tsmith@cftc.gov
RIN:
3038-AB52
4227. NEW REGULATORY FRAMEWORK FOR TRADING FACILITIES
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Other Significant
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
17 CFR 1; 17 CFR 5; 17 CFR 15; 17 CFR 20; 17 CFR 36; 17 CFR 37; 17 CFR 38; 17 CFR 40; 17 CFR 41; 17 CFR 100; 17 CFR 170; 17 CFR 180; ...
| Reason | Date | FR Cite |
| Final Action | 08/10/01 | 66 FR 42256 |
| Final Action Effective | 10/09/01 |
Regulatory Flexibility Analysis Required:
No
Government Levels Affected:
None
Agency Contact:
Paul M. Architzel
Phone: 202 418-5260
Fax: 202 418-5527
Email: parchitzel@cftc.gov
Alan L. Seifert
Phone: 202 418-5490
Email: aseifert@cftc.gov
Riva Spear Adriance
Phone: 202 418-5494
Fax: 202 418-5536
Email: radriance@cftc.gov
Nancy E. Yanofsky
Phone: 202 418-5292
Fax: 202 418-5567
Email: nyanofsky@cftc.gov
RIN:
3038-AB63
4228. RULES RELATING TO INTERMEDIARIES OF COMMODITY INTEREST TRANSACTIONS
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
17 CFR 1.3; 17 CFR 1.10; 17 CFR 1.17; 17 CFR 1.33; 17 CFR 1.46; 17 CFR 1.52; 17 CFR 1.55; 17 CFR 3.1; 17 CFR 3.10; 17 CFR 3.21; 17 CFR 3.31; 17 CFR 3.32; 17 CFR 3.34; 17 CFR 3, app A; 17 CFR 3, app B; 17 CFR 4.10; 17 CFR 4.24; 17 CFR 4.32; 17 CFR 4.34; 17 CFR 140.91; 17 CFR 155.2; 17 CFR 155.3; 17 CFR 155.4; 17 CFR 155.5; 17 CFR 155.6; 17 CFR 166.5
| Reason | Date | FR Cite |
| NPRM | 08/28/01 | 66 FR 45221 |
| Final Action | 10/23/01 | 66 FR 53510 |
| Final Action Effective | 10/23/01 |
Regulatory Flexibility Analysis Required:
No
Government Levels Affected:
None
Agency Contact:
Lawrence B. Patent
Phone: 202 418-5439
Email: lpatent@cftc.gov
RIN:
3038-AB65
4229. A NEW REGULATORY FRAMEWORK FOR CLEARING ORGANIZATIONS
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
17 CFR 39
| Reason | Date | FR Cite |
| NPRM | 05/14/01 | 66 FR 24308 |
| Final Action | 08/29/01 | 66 FR 45604 |
| Final Action Effective | 10/29/01 |
Regulatory Flexibility Analysis Required:
No
Government Levels Affected:
None
Agency Contact:
Lois J. Gregory
Phone: 202 418-5260
Fax: 202 418-5536
Email: lgregory@cftc.gov
RIN:
3038-AB66
4230. OPTING OUT OF SEGREGATION BY ELIGIBLE CONTRACT PARTICIPANTS IN CONNECTION WITH DERIVATIVES TRANSACTION EXECUTION FACILITY TRANSACTIONS
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
17 CFR 1.3(gg); 17 CFR 1.3(uu); 17 CFR 1.12; 17 CFR 1.17; 17 CFR 1.37; 17 CFR 1.68; 17 CFR 190.01(bb)
| Reason | Date | FR Cite |
| Final Action | 04/25/01 | 66 FR 20740 |
| Final Action Effective | 06/19/01 |
Regulatory Flexibility Analysis Required:
No
Government Levels Affected:
None
Agency Contact:
Michael A. Piracci
Phone: 202 418-5446
Fax: 202 418-5536
Email: mpiracci@cftc.gov
RIN:
3038-AB67
4231. CFTC CONFORMANCE WITH TITLE V PRIVACY PROVISIONS OF THE GRAMM-LEACH-BLILEY ACT FOR FEDERAL FUNCTIONAL REGULATORS
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
17 CFR 160
| Reason | Date | FR Cite |
| Final Action | 04/27/01 | 66 FR 21236 |
| Final Action Effective | 06/21/01 |
Regulatory Flexibility Analysis Required:
No
Government Levels Affected:
None
Agency Contact:
Elizabeth L.R. Fox
Phone: 202 418-5120
Fax: 202 418-5524
Email: efox@cftc.gov
RIN:
3038-AB68
4232. METHOD FOR DETERMINING MARKET CAPITALIZATION AND DOLLAR VALUE OF AVERAGE DAILY TRADING VOLUME; APPLICATION OF THE DEFINITION OF NARROW-BASED SECURITY INDEX
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
17 CFR 41.1; 17 CFR 41.2; 17 CFR 41.10 to 41.14
| Reason | Date | FR Cite |
| NPRM | 05/17/01 | 66 FR 27559 |
| Final Action Effective | 08/21/01 | |
| Final Action | 08/23/01 | 66 FR 44489 |
Regulatory Flexibility Analysis Required:
No
Government Levels Affected:
None
Agency Contact:
Elizabeth L.R. Fox
Phone: 202 418-5120
Fax: 202 418-5524
Email: efox@cftc.gov
RIN:
3038-AB77
4233. PROCEDURES FOR EXEMPTING BROKERS OR DEALERS FROM THE COMMODITY EXCHANGE ACT
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
17 CFR 41; 17 CFR 140
| Reason | Date | FR Cite |
| NPRM | 04/19/01 | 66 FR 20118 |
| Final Action | 08/17/01 | 66 FR 43083 |
| Final Action Effective | 10/09/01 |
Regulatory Flexibility Analysis Required:
No
Government Levels Affected:
None
Agency Contact:
Christopher W. Cummings
Phone: 202 418-5445
Fax: 202 418-5536
Email: ccummings@cftc.gov
RIN:
3038-AB81
4234. PROCEDURES FOR NOTICE-DESIGNATION AS A CONTRACT MARKET IN SECURITY FUTURES PRODUCTS AND EXEMPTIONS FROM THE COMMODITY EXCHANGE ACT
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
17 CFR 41; 17 CFR 140
| Reason | Date | FR Cite |
| NPRM | 05/31/01 | 66 FR 29517 |
| Final Action Effective | 08/21/01 | |
| Final Action | 08/27/01 | 66 FR 44960 |
Regulatory Flexibility Analysis Required:
No
Government Levels Affected:
None
Agency Contact:
Joshua Marlow
Phone: 202 418-5484
Fax: 202 418-5536
Email: jmarlow@cftc.gov
RIN:
3038-AB82
4235. ¤ NOTICE REGISTRATION AS A FUTURES COMMISSION MERCHANT OR INTRODUCING BROKER FOR CERTAIN SECURITIES BROKERS OR DEALERS
Agency:
Commodity Futures Trading Commission (CFTC)
Priority:
Substantive, Nonsignificant
Legal Authority:
7 USC 1 et seq, as amended by PL 106-554, 114 Stat. 2763
CFR Citation: (To search for a specific CFR, visit the Code of Federal Regulations.)
17 CFR 3.10; 17 CFR 170.15
Legal Deadline:
None
Abstract:
Registered securities broker/dealers that, among other things, limit their involvement with commodity futures contracts to security futures products, may notice register as a futures commission merchant or introducing broker. Such notice-registered futures commission merchants are not required to become members of the National Futures Association.
| Action | Date | FR Cite |
| NPRM | 05/17/01 | 66 FR 27476 |
| NPRM Comment Extended | 06/22/01 | 66 FR 33494 |
| NPRM Comment End | 07/11/01 | |
| Final Action | 08/17/01 | 66 FR 43080 |
| Correction | 09/10/01 | 66 FR 47059 |
| Final Action Effective | 09/17/01 |
Regulatory Flexibility Analysis Required:
No
Small Entities Affected:
No
Government Levels Affected:
None
Agency Contact:
Barbara S. Gold, Assistant Chief Counsel, Division of Trading and Markets, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5450
Fax: 202 418-5536
Email: bgold@cftc.gov
RIN:
3038-AB84