[December 9, 2002 (Volume 67, Number 236)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[Page 75489-75495]
Commodity Futures Trading Commission
[[Page 75489]]
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Part XLVIII
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Semiannual Regulatory Agenda
[[Page 75490]]
COMMODITY FUTURES TRADING COMMISSION (CFTC)
_______________________________________________________________________
COMMODITY FUTURES TRADING COMMISSION
17 CFR Ch. I
Regulatory Flexibility Agenda
AGENCY: Commodity Futures Trading Commission.
ACTION: Semiannual regulatory agenda.
_______________________________________________________________________
SUMMARY: The Commodity Futures Trading Commission, in accordance with
the requirements of the Regulatory Flexibility Act, is publishing a
semiannual agenda of significant rules that the Commission expects to
propose or promulgate over the next year. The Commission welcomes
comments from small entities and others on the agenda.
FOR FURTHER INFORMATION CONTACT: 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) 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 2002 regulatory flexibility agenda is
set forth below.
Issued in Washington, DC on September 18, 2002 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 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) that lists rules
that the Commission is considering or will consider in the near future.
Commodity Futures Trading Commission--Proposed Rule Stage
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identification
Number Number
----------------------------------------------------------------------------------------------------------------
3921 Denomination of Customer Funds and Location of Depositories......................... 3038-AB31
3922 Minimum Financial Requirements for Futures Commission Merchants and Introducing 3038-AB64
Brokers.............................................................................
3923 Regulation of Hybrid Instruments.................................................... 3038-AB69
3924 Use of Broker-Dealers, Depository Institutions, and Farm Crediting System 3038-AB70
Institutions as Intermediaries on Derivatives Transaction Execution Facilities......
3925 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...............
3926 Offering and Selling Security Futures Products Traded on Foreign Boards of Trade to 3038-AB75
United States Persons...............................................................
3927 Requirements for Foreign Stock Index Contracts To Qualify as Non-Narrow-Based 3038-AB78
Indices.............................................................................
3928 Allocation of Bunched Orders........................................................ 3038-AB93
3929 Treatment of Foreign Futures or Foreign Options Secured Amount...................... 3038-AB96
----------------------------------------------------------------------------------------------------------------
Commodity Futures Trading Commission--Final Rule Stage
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identification
Number Number
----------------------------------------------------------------------------------------------------------------
3930 Performance Disclosures for Commodity Trading Advisors and Commodity Pool Operators. 3038-AB39
3931 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 75491]]
3932 Customer Identification Program for Futures Commission Merchants and Introducing 3038-AB90
Brokers.............................................................................
3933 Reporting Levels for Large Trader Reports; TRAKRS................................... 3038-AB91
----------------------------------------------------------------------------------------------------------------
Commodity Futures Trading Commission--Long-Term Actions
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identification
Number Number
----------------------------------------------------------------------------------------------------------------
3934 Public Reporting by Operators of Certain Large Commodity Pools--Regulations 4.7, 3038-AB40
4.12, and 4.27......................................................................
3935 Trade Options on Enumerated Agricultural Commodities................................ 3038-AB61
3936 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
----------------------------------------------------------------------------------------------------------------
3937 Margin Requirements for Security Futures Products................................... 3038-AB71
3938 Avoidance of Duplicative or Conflicting Regulations Applicable to Dual Registrants.. 3038-AB76
3939 Cash Settlement and Regulatory Halts Required for Security Futures Products......... 3038-AB86
----------------------------------------------------------------------------------------------------------------
Commodity Futures Trading Commission--Discontinued Entries
--------------------------------------------------------------------------------------------------------------------------------------------------------
Regulation
Identification Title Date Comments
Number
--------------------------------------------------------------------------------------------------------------------------------------------------------
3038-AB73 Authority To Modify Security Futures Product Listing Standards 06/25/2002 Withdrawn
--------------------------------------------------------------------------------------------------------------------------------------------------------
_______________________________________________________________________
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
3921. 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: 17 CFR 1.32; 17 CFR 1.49
Legal Deadline: None
Abstract: The Commission is requesting public comment on proposed rules
that would permit futures commission merchants and derivatives clearing
organizations, under certain conditions, to deposit customer funds in
foreign depositories and in certain currencies other than United States
dollars. The Commission is also requesting public comment on a proposed
amendment to appendix B of its bankruptcy rules that would govern the
distribution of property where the bankrupt futures commission merchant
or derivatives clearing organization maintains customer property in
depositories outside the United States or in a foreign currency.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
Concept Release 12/30/97 62 FR 67841
NPRM 08/13/02 67 FR 52641
NPRM Comment Period End 10/15/02
Final Action 02/00/03
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Michael A. Piracci, Attorney Advisor, Division of
Clearing and Intermediary Oversight, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street NW., Washington,
DC 20581
Phone: 202 418-5446
Fax: 202 418-5536
Email: mpiracci@cftc.gov
RIN: 3038-AB31
_______________________________________________________________________
3922. 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
[[Page 75492]]
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 11/00/02
NPRM Comment Period End 12/00/02
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Thomas J. Smith, Deputy 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: tsmith@cftc.gov
RIN: 3038-AB64
_______________________________________________________________________
3923. 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: eritter@cftc.gov
RIN: 3038-AB69
_______________________________________________________________________
3924. 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: eritter@cftc.gov
RIN: 3038-AB70
_______________________________________________________________________
3925. 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
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: eritter@cftc.gov
RIN: 3038-AB74
_______________________________________________________________________
3926. 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 01/00/03
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
[[Page 75493]]
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: eritter@cftc.gov
RIN: 3038-AB75
_______________________________________________________________________
3927. 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 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: eritter@cftc.gov
RIN: 3038-AB78
_______________________________________________________________________
3928. [bull] ALLOCATION OF BUNCHED ORDERS
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat.
2763
CFR Citation: 17 CFR 1.35
Legal Deadline: None
Abstract: The Commission intends to propose procedures for streamlining
the allocation of bunched orders for futures and commodity option
trades, as well as the associated recordkeeping requirements. The
proposal was referred to in the Commission's intermediaries study, and
it addresses concerns regarding the possibility of fraud and money-
laundering activities.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 11/00/02
NPRM Comment Period End 01/00/03
Final Action 03/00/03
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: Christopher Ward Cummings, Special Counsel, Division of
Clearing and Intermediary Oversight, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street NW., Washington,
DC 20581
Phone: 202 418-5445
Fax: 202 418-5536
Email: ccummings@cftc.gov
RIN: 3038-AB93
_______________________________________________________________________
3929. [bull] TREATMENT OF FOREIGN FUTURES OR FOREIGN OPTIONS SECURED
AMOUNT
Priority: Substantive, Nonsignificant
Legal Authority: 7 USC 6
CFR Citation: 17 CFR 30.7
Legal Deadline: None
Abstract: The Commission intends to propose an amendment to Rule 30.7
to provide that a futures commission merchant that holds funds on
behalf of customers for trading futures and options on foreign markets
may invest such funds in certain permitted investments. The proposal
would establish investments that are comparable to the investments that
a futures commission merchant may make with customer funds deposited
for trading on United States markets pursuant to Rule 1.25.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 03/00/03
NPRM Comment Period End 06/00/03
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Thomas J. Smith, Deputy 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: tsmith@cftc.gov
RIN: 3038-AB96
_______________________________________________________________________
Commodity Futures Trading Commission (CFTC) Final Rule Stage
_______________________________________________________________________
3930. 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
[[Page 75494]]
NPRM Comment Period End 10/01/99
Final Action 11/00/02
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Robert B. Wasserman, Associate Director, Division of
Clearing and Intermediary Oversight, 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
_______________________________________________________________________
3931. 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 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 12/00/02
Final Action Effective 02/00/03
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: selliott@cftc.gov
RIN: 3038-AB45
_______________________________________________________________________
3932. [bull] CUSTOMER IDENTIFICATION PROGRAM FOR FUTURES COMMISSION
MERCHANTS AND INTRODUCING BROKERS
Priority: Substantive, Nonsignificant
Legal Authority: PL 107-56, sec 326, codified at 31 USC 5318(l)
CFR Citation: 31 CFR 103; 31 CFR 123; 17 CFR 1
Legal Deadline: NPRM, Statutory, October 25, 2002.
Abstract: The Department of the Treasury and the Commodity Futures
Trading Commission are required to jointly prescribe regulations
relating to customer identification programs for futures commission
merchants and introducing brokers.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 07/23/02 67 FR 48328
Comment Period End 09/06/02
Final Action 12/00/02
Regulatory Flexibility Analysis Required: No
Small Entities Affected: No
Government Levels Affected: None
Agency Contact: 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: ogc@cftc.gov
RIN: 3038-AB90
_______________________________________________________________________
3933. [bull] REPORTING LEVELS FOR LARGE TRADER REPORTS; TRAKRS
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 proposing to amend part 15 of its rules, 17
CFR part 15, to establish a reporting level for TRAKRS futures
contracts to be traded on the Chicago Mercantile Exchange.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
NPRM 08/05/02 67 FR 50608
NPRM Comment Period End 09/04/02
Final Action 11/00/02
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Gary J. Martinaitis, Deputy Associate Director, Market
Surveillance Section, Division of Market Oversight, Commodity Futures
Trading Commission
Phone: 202 418-5260
Fax: 202 418-5527
Email: gmartinaitis@cftc.gov
RIN: 3038-AB91
[[Page 75495]]
_______________________________________________________________________
Commodity Futures Trading Commission (CFTC) Long-Term Actions
_______________________________________________________________________
3934. 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
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
_______________________________________________________________________
3935. 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: parchitzel@cftc.gov
Nancy E. Yanofsky
Phone: 202 418-5292
Fax: 202 418-5567
Email: nyanofsky@cftc.gov
RIN: 3038-AB61
_______________________________________________________________________
3936. 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: eritter@cftc.gov
RIN: 3038-AB72
_______________________________________________________________________
Commodity Futures Trading Commission (CFTC) Completed Actions
_______________________________________________________________________
3937. MARGIN REQUIREMENTS FOR SECURITY FUTURES PRODUCTS
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 41.43 to 41.48
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
Final Action 08/14/02 67 FR 53145
Final Action Effective 09/13/02
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Elizabeth L. Ritter
Phone: 202 418-5120
Fax: 202 418-5524
Email: eritter@cftc.gov
RIN: 3038-AB71
_______________________________________________________________________
3938. AVOIDANCE OF DUPLICATIVE OR CONFLICTING REGULATIONS APPLICABLE TO
DUAL REGISTRANTS
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 1.3; 17 CFR 1.55; 17 CFR 41.41; 17 CFR 190
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
Final Action 09/13/02 67 FR 58284
Final Action Effective 09/13/02
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Elizabeth L. Ritter
Phone: 202 418-5120
Fax: 202 418-5524
Email: eritter@cftc.gov
RIN: 3038-AB76
_______________________________________________________________________
3939. CASH SETTLEMENT AND REGULATORY HALTS REQUIRED FOR SECURITY FUTURES
PRODUCTS
Priority: Substantive, Nonsignificant
CFR Citation: 17 CFR 41.25; 17 CFR 41.1
Completed:
________________________________________________________________________
Reason Date FR Cite
________________________________________________________________________
Final Action 05/24/02 67 FR 36739
Final Action Effective 06/24/02
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Richard A. Shilts
Phone: 202 418-5260
Fax: 202 418-5527
Email: rshilts@cftc.gov
RIN: 3038-AB86
[FR Doc. 02-25196 Filed 12-06-02; 8:45 am]
BILLING CODE 6351-01-S