COMMODITY FUTURES TRADING COMMISSION 

17 CFR Ch. 1 

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: Sauntia S. Warfield, Commodity Futures Trading 

Commission, 1155 21st Street NW., Washington, DC 20581, (202) 418-5084, swarfield@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: 

 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 spring 2010 regulatory flexibility agenda is set forth below. 

 

1

 The Commission published its definition of small entity to be used in connection with rulemaking proceedings on 

April 30, 1982 (47 FR 18618). Pursuant to that definition, the Commission is not required to list many of the agenda 

items contained in this regulatory flexibility agenda. See 5 U.S.C. 602(a)(1). Moreover, the Commission has 

previously certified, pursuant to section 605 of the RFA, 5 U.S.C. 605, that certain items contained in this agenda 

will not have a significant economic impact on a substantial number of small entities. Accordingly, the listing of a 

rule in this regulatory flexibility agenda should not, in any event, be taken as a determination that a rule, when 

proposed or promulgated, will in fact require a regulatory flexibility analysis. However, the Commission hopes that 

the publication of an agenda that includes significant rules, regardless of their potential impact on small entities, may 

serve the public generally by providing an early and meaningful opportunity to participate in and comment on the 

formulation of new or revised regulations. In addition to publishing the regulatory flexibility agenda, the 

Commission also makes available to the public, on a monthly basis, a calendar and, on a weekly basis, posts an 

advisory on its website (http://www.cftc.gov) that lists rules that the Commission is considering or will consider in 

the near future. 

1

Regulations.gov Monday, April 26, 2010 Unified Agenda
Issued in Washington, DC on March 12, 2010, by the Commission. 

NAME: David A. Stawick, 

Secretary of the Commission. 

2

Regulations.gov Monday, April 26, 2010 Unified Agenda
The 30 Regulatory Agendas

Commodity Futures Trading Commission - PreRule

Title

Regulation 

Identifier 

Number

Speculative Position Limits and Other Issues Related to Commodities of Finite Supply 3038-AC93

Commodity Futures Trading Commission - Proposed Rule

Title

Regulation 

Identifier 

Number

Offering and Selling Security Futures Products Traded on Foreign Boards of Trade to United States Persons;

Requirements for Foreign Stock Index Contracts To Qualify as Non-Narrow-Based Indices 3038-AB75

Exemption From Subpart B for Certain Commodity Pool Operators Where Units of Pool Participation Are Listed for

Trading on a National Securities Exchange 3038-AC46

Offering and Selling Non-Narrow Based Stock Index Futures Traded on Foreign Boards of Trade to United States

Persons 3038-AC54

Amendments Pertinent to Registered Entities 3038-AC62

Account Ownership and Control Reports 3038-AC63

Portfolio Margining Issues 3038-AC65

Uniform Exemptive Provisions From Federal Speculative Position Limits 3038-AC69

Amendments to Regulations Permitting Specified Senior Staff of the Commission To Disclose Confidential Information to

a Contract Market, Registered Futures Association, or Self-Regulatory Organization 3038-AC70

Financial Resource Requirements for Derivatives Transaction Execution Facilities, Designated Contract Markets, and

Derivatives Clearing Organization 3038-AC72

Electronic Recordkeeping Requirements Applicable to Futures Commission Merchants, Introducing Brokers, and

Members of a Contract Market 3038-AC74

Uncleared Significant Price Discovery Contracts 3038-AC76

Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions 3038-AC79

Position Limits for Contracts Based on Energy Commodities 3038-AC85

Acknowledgment Letters for Customer Funds and Secured Amount Funds 3038-AC88

Amendments to the Commission’s Reporting Rules 3038-AC89

Business Continuity and Disaster Recovery 3038-AC91

Regulation of Market Co-location Services 3038-AC92

Commodity Futures Trading Commission - Final Rule

Title

Regulation 

Identifier 

Number

Execution of Off-Centralized Market Transactions: Regulation 1.38 and Guidance on Core Principle 9 3038-AC07

Retail Off-Exchange Forex Transaction Rules 3038-AC61

Account Class 3038-AC82

Operation in the Ordinary Course of a Commodity Broker in Bankruptcy 3038-AC90

Commodity Futures Trading Commission - Long-term Action

Title

Regulation 

Identifier 

Number

3

Regulations.gov Monday, April 26, 2010 Unified Agenda
Concept Release on the Appropriate Regulatory Treatment of Event Contracts 3038-AC53

Commodity Futures Trading Commission - Completed Action

Title

Regulation 

Identifier 

Number

Interagency Proposal To Consider Alternative Forms of Privacy Notices Under the Gramm-Leach-Bliley Act 3038-AC04

Commodity Pool Operator Periodic Account Statements and Annual Financial Reports 3038-AC38

Informal Procedure Relating to the Recommendation of Enforcement Proceedings 3038-AC57

Exclusion of Foreign Volatility Indexes From the Definition of a Narrow-Based Security Index 3038-AC64

Revisions to Adjusted Net Capital Requirements for Futures Commission Merchants and Introducing Brokers 3038-AC73

Supplementary Information Concerning Adjudicatory and Reparations Proceedings 3038-AC80

Electronic Filing of Financial Reports and Notices 3038-AC86

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC93

 View Related Documents

Title: Speculative Position Limits and Other Issues Related to Commodities of Finite Supply

Abstract: The Commission is reviewing existing exchange-set position limits and accountability levels for futures and options

contracts based on certain metals. The Commission is considering the establishment of position limits and related exemptions

for such contracts. The Commission will solicit public comment on any proposed regulatory amendments or guidance.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: PreRule

Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1 et seq

Legal Deadline: None

Timetable:

Action Date FR Cite

ANPRM 02/25/2010 75 FR 8682 

ANPRM Comment Period End 04/30/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Stephen Sherrod 

Assistant Director, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5452 

FAX: 202 418-5527

E-Mail: ssherrod@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AB75

 View Related Documents

Title: Offering and Selling Security Futures Products Traded on Foreign Boards of Trade to United States Persons;

Requirements for Foreign Stock Index Contracts To Qualify as Non-Narrow-Based Indices

4

Regulations.gov Monday, April 26, 2010 Unified Agenda
Abstract: The Commission and the Securities and Exchange Commission are required to jointly issue: (1) Rules, regulations,

or orders as are necessary and appropriate to permit the offer and sale to United States persons of security futures products

traded on or subject to the rules of a foreign board of trade, and (2) rules and regulations that set forth the requirements for

foreign stock index contracts to qualify as non-narrow-based indices.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1a, as amended by PL 106-554, app E; 7 USC 2, as amended by PL 106-554, app E

Legal Deadline: 

Action Source Description Date

Other Statutory Within one year after the date of enactment of the Commodity Futures

Modernization Act of 2000. 12/21/2001 

Other Statutory Pursuant to the Food, Conservation and Energy Act of 2008, PL 110-

246, sec 13106 06/30/2009 

Timetable:

Action Date FR Cite

NPRM 03/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 3038-AB78

Agency Contact: Julian E. Hammar

Assistant General Counsel, Office of General Counsel

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5118 

FAX: 202 418-5524

E-Mail: jhammar@cftc.gov

Agency Contact: Thomas M. Leahy Jr.

Associate Director for Product Review, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5278 

FAX: 202 418-5527

E-Mail: tleahy@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC46

 View Related Documents

Title: Exemption From Subpart B for Certain Commodity Pool Operators Where Units of Pool Participation Are Listed for

Trading on a National Securities Exchange

Abstract: The proposed regulation would provide the registered commodity pool operator of a commodity pool whose units of

participation are listed for trading on a national securities exchange certain exemptions from: (1) The Disclosure Document

delivery and acknowledgement requirements of Regulation 4.21; (2) the Account Statement distribution requirement of

Regulation 4.22; and (3) the books and records location requirement of Regulation 4.23, provided the CPO complies with the

alternative requirements specified in the proposed regulation. The proposed regulation would codify relief given in several

previous exemptive letters.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

5

Regulations.gov Monday, April 26, 2010 Unified Agenda
CFR Citation: 17 CFR 4.12(c) (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1a; 7 USC 2; 7 USC 6b to 6c; 7 USC 6l to 6o; 7 USC 12a

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 06/00/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Barbara Stern Gold

Associate Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5450 

FAX: 202 418-5528

E-Mail: bgold@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC54

 View Related Documents

Title: Offering and Selling Non-Narrow Based Stock Index Futures Traded on Foreign Boards of Trade to United States

Persons

Abstract: The Commission has received a petition from a foreign board of trade for a rulemaking to expedite the process for

review of foreign stock index futures contracts to determine whether they meet the requirements for offer and sale to United

States persons (cash-settled, not readily susceptible to manipulation, and based on a non-narrow-based stock index).

Additional issues related to the petition include whether to move from a no-action process to rules or a certification process and,

if the latter, whether such certifications should be issued at the staff or Commission level.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 30 (app D) (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 6(c)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 05/00/2010 

NPRM Comment Period End 07/00/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Carlene Kim 

Assistant General Counsel

Commodity Futures Trading Commission

1155 21st Street NW

Washington , DC 20581 

Phone: 202 418-5613 

E-Mail: ckim@cftc.gov

6

Regulations.gov Monday, April 26, 2010 Unified Agenda
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC62

 View Related Documents

Title: Amendments Pertinent to Registered Entities

Abstract: The Commission is proposing several amendments to enhance its ability to administer the Commodity Exchange

Act (Act) with respect to registered entities. In addition to clarifying and technical amendments, the proposed amendments would

require the filing of agreements transferring equity interests of 10 percent or more in designated contract markets (DCM) with

the Commission and subsequent certifications that subject DCMs continue to comply with the designation criteria and core

principles of the Act. The proposed amendments also would require registered entities to provide notice of legal proceedings

that may impact a product's trading and explicitly define resolutions and procedures under which emergency actions are taken

as exchange rules that may be certified prior to implementation.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 38; 17 CFR 40 and 41 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1 et seq, as amended by PL 110-246

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 04/00/2010 

NPRM Comment Period End 05/00/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Bruce Fekrat 

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5578 

FAX: 202 418-5527

E-Mail: bfekrat@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC63

 View Related Documents

Title: Account Ownership and Control Reports

Abstract: The Commission intends to solicit public comment with respect to the adoption of regulations that would identify the

owners of transactions reported to the trade surveillance system. Such regulations would enable trade practice and market

surveillance staff to perform timely and customized analysis of trading activity.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 15 to 21 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1 et seq, as amended by PL 110-246

Legal Deadline: None

Timetable:

Action Date FR Cite

ANPRM 07/02/2009 74 FR 31642 

ANPRM Comment Period End 08/17/2009 

7

Regulations.gov Monday, April 26, 2010 Unified Agenda
NPRM 05/00/2010 

NPRM Comment Period End 06/00/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Rachel F. Berdansky

Deputy Director for Market Compliance, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5641 

FAX: 202 418-5426

E-Mail: rberdansky@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC65

 View Related Documents

Title: Portfolio Margining Issues

Abstract: The Food, Conservation and Energy Act of 2008 (the Farm Bill), enacted June 18, 2008, requires the SEC, the

Commission, "or both, as appropriate," to take action by September 30, 2009, to permit risk-based portfolio margining for

security options and security futures products. The Commission will consult with the SEC on these issues and may publish

notice of proposed and/or final actions relating to these issues in the Federal Register.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 110-246, sec 13106

Legal Deadline: 

Action Source Description Date

Other Statutory September 30, 2009, pursuant to the Food, Conservation and Energy

Act of 2008, PL 110-246, sec 13106 09/30/2009 

Timetable:

Action Date FR Cite

NPRM 03/00/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Ananda Radhakrishnan 

Director, DCIO

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5000 

E-Mail: aradhakrishnan@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC69

 View Related Documents

8

Regulations.gov Monday, April 26, 2010 Unified Agenda
Title: Uniform Exemptive Provisions From Federal Speculative Position Limits

Abstract: The Commission is considering proposing regulations to address the application of Commission set speculative

position limits to swap dealers and index traders.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1 et seq

Legal Deadline: None

Timetable:

Action Date FR Cite

ANPRM 03/24/2009 74 FR 12282 

ANPRM Comment Period End 05/26/2009 

NPRM 07/00/2010 

NPRM Comment Period End 08/00/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Stephen Sherrod 

Assistant Director, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5452 

FAX: 202 418-5527

E-Mail: ssherrod@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC70

 View Related Documents

Title: Amendments to Regulations Permitting Specified Senior Staff of the Commission To Disclose Confidential Information

to a Contract Market, Registered Futures Association, or Self-Regulatory Organization

Abstract: The Commission is proposing to amend regulation 140.72 to permit agency designees to disclose information to

exempt commercial markets (ECM) with respect to which the Commission has issued an order finding that a contract traded on

the ECM performs a significant price discovery function. In addition, the Commission is proposing to amend regulation 140.73 to

eliminate the requirement that disclosures made pursuant to this regulation require the concurrence of the Director of the

Division of Enforcement.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 140.72; 17 CFR 140.73 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1 et seq

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 04/00/2010 

NPRM Comment Period End 05/00/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

9

Regulations.gov Monday, April 26, 2010 Unified Agenda
Agency Contact: Donald H. Heitman 

Senior Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5041 

FAX: 202 418-5507

E-Mail: dheitman@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC72

 View Related Documents

Title: Financial Resource Requirements for Derivatives Transaction Execution Facilities, Designated Contract Markets, and

Derivatives Clearing Organization

Abstract: The Commission is proposing regulations that would establish financial resource requirements for derivatives

transaction execution facilities, designated contract markets, and derivatives clearing organizations for the purpose of ensuring

that they maintain sufficient financial resources to enable them to perform their functions in compliance with the Commodity

Exchange Act.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 37.10; 17 CFR 38.7; 17 CFR 39.8 (To search for a specific CFR, visit the Code of Federal

Regulations ) 

Legal Authority: 7 USC 2 and 5; 7 USC 6 and 6c; 7 USC 6(c) and 7a; 7 USC 7a-2 and 7b; 7 USC 12a as amended by

app E of PL 106-554

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 09/00/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Eileen Donovan Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5096 

E-Mail: edonovan@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC74

 View Related Documents

Title: Electronic Recordkeeping Requirements Applicable to Futures Commission Merchants, Introducing Brokers, and

Members of a Contract Market

Abstract: The Commission is considering the issuance of proposed amendments relating to the recordkeeping requirements

of CFTC registrants and large traders under regluations 1.31 and 1.35. Such proposed amendments would explicitly apply

certain record retention and production requirements to e-mails, instant messages, and other forms of digital or electronic

written communication and recorded oral communications.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

10

Regulations.gov Monday, April 26, 2010 Unified Agenda
CFR Citation: 17 CFR 1.35; 17 CFR 4.23; 17 CFR 4.33; 17 CFR 18.05 (To search for a specific CFR, visit the Code of

Federal Regulations ) 

Legal Authority: 7 USC 6 and 12a(5)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 06/00/2010 

NPRM Comment Period End 07/00/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Christine P. Remy

Counsel, Office of General Counsel

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5134 

FAX: 202 418-5524

E-Mail: cremy@cftc.gov

Agency Contact: Edward Riccobene 

Chief, Policy and Review

Commodity Futures Trading Commission

Division of Enforcement 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5327 

E-Mail: ericcobene@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC76

 View Related Documents

Title: Uncleared Significant Price Discovery Contracts

Abstract: In response to comments received in a recent proposed rulemaking, the Commission is proposing guidance and

acceptable practices applicable to exempt commercial markets trading contracts that fulfill a significant price discovery function.

These acceptable practices relate to position accountability for uncleared significant price discovery contracts traded or executed

on electronic trading facilities.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 36.3 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 2(h)(7)

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 06/00/2010 

NPRM Comment Period End 07/00/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Agency Contact: Susan Nathan 

Senior Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

11

Regulations.gov Monday, April 26, 2010 Unified Agenda
Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5133 

FAX: 202 418-5527

E-Mail: snathan@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC79

 View Related Documents

Title: Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions

Abstract: The Commodity Futures Trading Commission is issuing an Advance Notice of Proposed Rulemaking in which it

seeks public comment on possible changes to its regulations regarding the investment of customer funds segregated pursuant

to section 4d of the Commodity Exchange Act (17 CFR 1.25) and funds held in an account subject to Commission Regulation

30.7 (17 CFR 30.7). The Commission is considering significantly revising the scope and character of permitted investments and

is requesting public comment before issuing proposed rule amendments

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1.25 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 6d; 7 USC 6

Legal Deadline: None

Timetable:

Action Date FR Cite

ANPRM 05/22/2009 74 FR 23962 

ANPRM Comment Period End 07/21/2009 

NPRM 06/00/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Sarah E. Josephson

Special Counsel, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5684 

E-Mail: sjosephson@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC85

 View Related Documents

Title: Position Limits for Contracts Based on Energy Commodities

Abstract: The Commission is reviewing existing exchange-set position limits and accountability levels for futures and options

contracts based on energy commodities. The Commission is considering the establishment of position limits and related

exemptions for positions in energy commodities. The Commission will solicit public comment on these regulatory amendments.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 150 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1 et seq

12

Regulations.gov Monday, April 26, 2010 Unified Agenda
Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 01/26/2010 75 FR 4144 

NPRM Comment Period End 04/26/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Stephen Sherrod 

Assistant Director, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5452 

FAX: 202 418-5527

E-Mail: ssherrod@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC88

 View Related Documents

Title: Acknowledgment Letters for Customer Funds and Secured Amount Funds

Abstract: The Commission is proposing to amend its regulations regarding the required content of the acknowledgment letter

that a registrant must obtain from any depository holding its segregated customer funds or funds of foreign futures or foreign

options customers.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1.20 and 1.26; 17 CFR 30.7 and 140.91 (To search for a specific CFR, visit the Code of Federal

Regulations ) 

Legal Authority: 7 USC 1a and 2; 7 USC 5 and 6; 7 USC 6a to 6p; 7 USC 7; 7 USC 7a and 7b; 7 USC 8 and 9; 7 USC

12 and 12a; 7 USC 12c and 13a; 7 USC 13-a1 and 16; 7 USC 16a and 19; 7 USC 21

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 02/20/2009 74 FR 7838 

NPRM Comment Period End 03/23/2009 

Reproposal 06/00/2010 

Final Action 06/00/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Eileen Donovan Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5096 

E-Mail: edonovan@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC89

13

Regulations.gov Monday, April 26, 2010 Unified Agenda
 View Related Documents

Title: Amendments to the Commission’s Reporting Rules

Abstract: Information provided pursuant to the reporting rules serve as the foundation of the Commission’s surveillance

programs. The Commission is considering amendments to its reporting rules to permit for or further facilitate the filing of

electronic Forms 40, 102, and ‘04s reports. In addition, the Commission may propose amendments to improve the information

reported on Form 40. For example, a revised Form 40 could better classify trading activities and, along with other amendments,

provide greater clarity with respect to the reporting of positions on an aggregated basis.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 15 to 21 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1 et seq, as amended by PL 110-246

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 07/00/2010 

NPRM Comment Period End 08/00/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Stephen Sherrod 

Assistant Director, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5452 

FAX: 202 418-5527

E-Mail: ssherrod@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC91

 View Related Documents

Title: Business Continuity and Disaster Recovery

Abstract: The Commission is proposing regulations that would require designated contract markets that qualify as critical

financial markets, and derivatives clearing organizations that qualify as core clearing and settlement organizations, to have

business continuity and disaster recovery plans and resources sufficient to meet specified requirements for the purpose of

ensuring that they can reliably meet the requirements of the Commodity Exchange Act.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 17 CFR 40.9 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 7, 7a-1 and 12a, as amended by app E of PL 106-554; 114 Stat 2763A-365

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 09/00/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Agency Contact: Robert B. Wasserman 

14

Regulations.gov Monday, April 26, 2010 Unified Agenda
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

E-Mail: rwasserman@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC92

 View Related Documents

Title: Regulation of Market Co-location Services

Abstract: The Commission intends to provide guidance to exchanges that offer co-location services to market participants.

The guidance will ensure that any exchange that offers such services offers the services in a way that allows equal access to

co-location by all market participants that choose to use the service, and that co-location services are priced in a fair, equitable,

and reasonable manner.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1 et seq

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 03/31/2010 

NPRM Comment Period End 04/30/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Michael Otten 

Special Assistant to the Director, DMO

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5388 

E-Mail: motten@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC07

 View Related Documents

Title: Execution of Off-Centralized Market Transactions: Regulation 1.38 and Guidance on Core Principle 9

Abstract: Since the Commission originally promulgated regulation 1.38, the Commodity Futures Modernization Act of 2000

(CFMA), was signed into law. The CFMA, among other things, specifically expanded the allowable transactions that could be

executed off the centralized market. In light of its further experience with administering the CFMA, the Commission is amending

regulation 1.38, which applies to trading off the centralized market, and providing additional guidance on block trading rules that

are consistent with Core Principle 9.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

15

Regulations.gov Monday, April 26, 2010 Unified Agenda
CFR Citation: 17 CFR 1; 17 CFR 38 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 7

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 07/01/2004 69 FR 39880 

NPRM Comment Period End 08/30/2004 

Second NPRM 09/18/2008 73 FR 54097 

Second NPRM Comment Period End 11/17/2008 

Second NPRM Comment Period Extended 01/05/2009 74 FR 67453 

Final Action 08/00/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Riva Spear Adriance

Associate Director for Market Review, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5494 

FAX: 202 418-5507

E-Mail: radriance@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC61

 View Related Documents

Title: Retail Off-Exchange Forex Transaction Rules

Abstract: The Food, Conservation and Energy Act of 2008 (the Farm Bill) was enacted June 18, 2008. Within the Farm Bill

are several amendments to the Commodity Exchange Act concerning off-exchange retail foreign currency (forex) transactions.

Among other things, the legislation creates a new category of Commission registrant known as a "retail foreign exchange

dealer" (RFED), provides financial requirements for futures commission merchants and RFEDs who act as counterparties in

retail forex transactions, and limits the intermediation of such transactions to registered commodity pool operators, commodity

trading advisors and introducing brokers. A proposed rulemaking will provide for the new category of registrant and for

regulations concerning registration, maintenance of books and records, anti-fraud, risk-disclosure, supervisory and financial

requirements. The proposed rules will also conform those sections of existing regulations that apply to registrants but do not

currently include the new category of registrant.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1 et seq as amended by PL 110-246, sec 13101

Legal Deadline: 

Action Source Description Date

NPRM Statutory 

120 days after the enactment of the bill or at such time as the

Commission shall determine, pursuant to the Food, Conservation and

Energy Act of 2008, PL 110-246, sec 13101 

01/01/2010 

Timetable:

Action Date FR Cite

NPRM 01/20/2010 75 FR 3282 

NPRM Comment Period End 03/22/2010 

Final Action 03/00/2011 

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Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: William Penner 

Deputy Director, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5407 

E-Mail: wpenner@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC82

 View Related Documents

Title: Account Class

Abstract: The Commodity Futures Trading Commission (the Commission) proposes amending its regulations (17 CFR

chapter 1, hereinafter, the Regulations) to create a sixth and separate account class (as such term is defined in Regulation

190.01(a) (17 CFR 190.01(a)), applicable only to the bankruptcy of a commodity broker that is a futures commission merchant

(FCM), for positions in cleared over-the-counter (OTC) derivatives (and money, securities, and/or other property margining,

guaranteeing, and securing such positions). In general, the concept of "account class" governs the manner in which the trustee

calculates the net equity (i.e., claims against the estate) and the allowed net equity (i.e., pro rata share of the estate) for each

customer of a commodity broker in bankruptcy. The Commission further proposes amending the Regulations to codify the

appropriate allocation, in a bankruptcy of any commodity broker, of positions in commodity contracts of one account class (and

the money, securities, and/or other property margining, guaranteeing, or securing such positions) that are commingled with

positions in commodity contracts of the futures account class (and the money, securities, and/or other property margining,

guaranteeing, or securing such positions), pursuant to an order issued by the Commission.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 190 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1a and 2; 7 USC 4a and 6c; 7 USC 6d and 6g; 7 USC 7a and 12; 7 USC 19 and 24; 11 USC 362

and 546; 11 USC 548 and 556; 11 USC 761 to 766

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 08/13/2009 74 FR 40794 

NPRM Comment Period End 09/14/2009 

Final Action 04/00/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

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

E-Mail: rwasserman@cftc.gov

17

Regulations.gov Monday, April 26, 2010 Unified Agenda
Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC90

 View Related Documents

Title: Operation in the Ordinary Course of a Commodity Broker in Bankruptcy

Abstract: The proposed rule would amend Commission regulations applicable to the bankruptcy of a commodity broker by

permitting the relevant trustee to operate, with the written permission of the Commission, the business of such commodity

broker in the ordinary course, including the purchase or sale of new commodity contracts on behalf of the customers of such

commodity broker under appropriate circumstances, as determined by the Commission.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 190.04(d) (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1a and 2; 7 USC 4a; 7 USC 6c and 6d; 7 USC 6g and 7a; 7 USC 12 and 19; 7 USC 24; 11 USC

362 and 546; 11 USC 548 and 556; 11 USC 761 to 766

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 12/16/2009 74 FR 66598 

NPRM Comment Period End 01/15/2010 

Final Action 06/00/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Nancy Schnabel 

Attorney-Advisor

Commodity Futures Trading Commission

Three Lafayette Center 1155 21st Street

Washington , DC 20581 

Phone: 202 418-5344 

E-Mail: nschnabel@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC53

 View Related Documents

Title: Concept Release on the Appropriate Regulatory Treatment of Event Contracts

Abstract: The Commission has solicited comment on the appropriate regulatory treatment of financial agreements commonly

referred to as event contracts. Event contracts may be based on eventualities and measures that neither derive from nor

correlate to market prices or broad economic or commercial measures. The Commission’s staff has received a substantial

number of requests for guidance on the propriety of trading various event contracts under the regulatory rubric of the

Commodity Exchange Act. Given the substantive and practical concerns that may arise from applying federal regulation to event

contracts and markets, the Commission believes that it is appropriate to consider the public’s comments in advance of issuing

any definitive guidance.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1 et seq,

Legal Deadline: None

Timetable:

Action Date FR Cite

Next Action Undetermined 

18

Regulations.gov Monday, April 26, 2010 Unified Agenda
ANPRM 05/07/2008 73 FR 25669 

ANPRM Comment Period End 07/07/2008 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Bruce Fekrat 

Special Counsel, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5578 

FAX: 202 418-5527

E-Mail: bfekrat@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC04

 View Related Documents

Title: Interagency Proposal To Consider Alternative Forms of Privacy Notices Under the Gramm-Leach-Bliley Act

Abstract: Subtitle A of the Gramm-Leach-Bliley Act (GLB Act), captioned Disclosure of Nonpublic Personal Information (15

U.S.C. 6801 et seq.), requires each financial institution to provide a notice of its privacy policies and practices to its consumer

customers. In general, the privacy notices must describe a financial institution's policies and practices with respect to disclosing

nonpublic personal information about a consumer to both affiliated and nonaffiliated third parties, and provide a consumer a

reasonable opportunity to direct the institution not to share nonpublic personal information about the consumer with nonaffiliated

third parties. The GLB Act agencies, which include eight Federal regulators including the CFTC, have published substantially

identical regulations to implement GLB title V, known collectively as the "privacy rule." Many notices issued under the privacy

rule were long and complex, and difficult to compare with each other. The Financial Services Regulatory Relief Act of 2006

amended the GLB Act, requiring the agencies to propose a model notice to consumers. Use of the model notice will constitute a

safe harbor for a financial institution's compliance with the notice requirements of the GLB Act. The model notice is set forth in

the joint NPRM issued by the GLB Act agencies in March 2007. The NPRM sought comment on the content and form of the

form, among other matters. The NPRM was developed jointly by the Board of Governors of the Federal Reserve System, the

Federal Deposit Insurance Corporation, the Federal Trade Commission, the National Credit Union Administration, the Office of

the Comptroller of the Currency, the Office of Thrift Supervision, the Securities and Exchange Commission and the CFTC. The

agencies conducted further consumer research based on comments received. The comments have been considered by all the

GLB Act agencies and the rule is anticipated by September 2009.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 160 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 7b-2; 7 USC 12a(5); 15 USC 6801 et seq

Legal Deadline: None

Timetable:

Action Date FR Cite

ANPRM 12/30/2003 68 FR 75164 

ANPRM Comment Period End 03/29/2004 

NPRM 03/29/2007 72 FR 14939 

NPRM Comment Period End 05/29/2007 

Final Action 12/31/2009 74 FR 62890 

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal

Small Entities Affected: Business Federalism: No

Energy Affected: No

Agency Contact: Laura M. Richards

Deputy General Counsel, Office of General Counsel

19

Regulations.gov Monday, April 26, 2010 Unified Agenda
Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5126 

FAX: 202 418-5524

E-Mail: lrichards@cftc.gov

Agency Contact: Gail B. Scott

Counsel, Office of General Counsel

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5139 

FAX: 202 418-5524

E-Mail: gscott@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC38

 View Related Documents

Title: Commodity Pool Operator Periodic Account Statements and Annual Financial Reports

Abstract: The Commission is proposing to revise its regulations to clarify certain periodic and annual reporting requirements

applicable to commodity pool operators. The amendments would extend the time period for filing and distributing annual reports

of commodity pools that invest in other funds, codify existing Commission staff interpretations regarding the proper accounting

treatment and financial statement presentation of certain income and expense items in the periodic account statements and

annual reports, streamline annual reporting requirements for pools ceasing operation, codify exemptions staff has provided to

CPOs that operate offshore funds that elected to use non-United States GAAP in the preparation of pool financial statements,

and clarify and update several other requirements for periodic and annual reports prepared and distributed by CPOs.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 4.7 and 4.22 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1a and 2; 7 USC 4 and 6b; 7 USC 6c and 6l; 7 USC 6m and 6n; 7 USC 6o and 12a; 7 USC 23

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 02/24/2009 74 FR 8220 

NPRM Comment Period End 03/26/2009 

Final Action 11/09/2009 74 FR 57585 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Eileen R. Chotiner 

Futures Trading Specialist, Division of Clearing and Intermediary Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5467 

FAX: 202 418-5536

E-Mail: echotiner@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC57

20

Regulations.gov Monday, April 26, 2010 Unified Agenda
 View Related Documents

Title: Informal Procedure Relating to the Recommendation of Enforcement Proceedings

Abstract: The Appendix to the Commission's Rules Relating to Investigations, 17 CFR part 11, set forth informal procedures

relating to the recommendation of enforcement proceedings. Under appendix A to part 11, persons who may be named in the

proposed enforcement action may submit to the Division of Enforcement written statements setting forth their views of factual,

legal or policy matters relevant to commencement of an enforcement proceeding. The Commission is considering extending the

page limit for such written submissions from 20 pages to 45 pages.

Priority: Info./Admin./Other Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 11, app A (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 2(a)(12); 7 USC 9 and 12; 7 USC 12a(5) and 15

Legal Deadline: None

Timetable:

Action Date FR Cite

Withdrawn 03/12/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Edward Riccobene 

Chief, Policy and Review

Commodity Futures Trading Commission

Division of Enforcement 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5327 

E-Mail: ericcobene@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC64

 View Related Documents

Title: Exclusion of Foreign Volatility Indexes From the Definition of a Narrow-Based Security Index

Abstract: The Commission and the Securities and Exchange Commission (SEC) are considering issuing a joint order that

would exclude from the definition of a narrow-based security index certain volatility indexes composed of broad-based security

index options that are listed for trading on foreign boards of trade. Previously, the Commission and SEC issued a joint order that

excluded from the definition of a narrow-based security index volatility indexes that are composed of index options listed for

trading on domestic securities exchanges.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: None (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 1 et seq, as amended by PL 110-246

Legal Deadline: None

Timetable:

Action Date FR Cite

Final Action 11/23/2009 74 FR 61116 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Thomas M. Leahy Jr.

21

Regulations.gov Monday, April 26, 2010 Unified Agenda
Associate Director for Product Review, Division of Market Oversight

Commodity Futures Trading Commission

Three Lafayette Centre 1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5278 

FAX: 202 418-5527

E-Mail: tleahy@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC73

 View Related Documents

Title: Revisions to Adjusted Net Capital Requirements for Futures Commission Merchants and Introducing Brokers

Abstract: Commission staff members are considering proposed amendments to Commission regulations that require

minimum levels of adjusted net capital for Futures Commission Merchants (FCMs) and Introducing Brokers (IBs). The proposals

under consideration include: (1) Increasing the minimum dollar amounts required under Commission regulations from $250,000

to $1,000,000 (for FCMs) and $30,000 to $45,000 (for IBs), (2) increasing the risk-based computation to 10 percent of the

maintenance margin associated with positions carried for both non-customers and customers, and (3) amending required

margin-based calculations to reflect all customer and noncustomer over-the-counter contracts that are submitted for clearing by

the FCM to U.S. or foreign clearing organizations

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1.17 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 6f

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 05/07/2009 

NPRM Comment Period End 07/06/2009 

Final Action 12/31/2009 74 FR 21290 

Final Action Effective 04/01/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Mark Bretscher 

Special Counsel

Commodity Futures Trading Commission

525 W. Monroe Street Suite 1100

Chicago , IL 60661 

Phone: 312 596-0529 

E-Mail: mbretscher@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC80

 View Related Documents

Title: Supplementary Information Concerning Adjudicatory and Reparations Proceedings

Abstract: The Commission is considering amending its part 140 Organization, Functions and Procedures rules to set internal

deadlines for issuance of Commission adjudicatory opinions

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

22

Regulations.gov Monday, April 26, 2010 Unified Agenda
Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 140.12a (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 2 and 12a

Legal Deadline: None

Timetable:

Action Date FR Cite

Withdrawn 03/12/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Megan Sperling 

Assistant General Counsel

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5150 

E-Mail: msperling@cftc.gov

Agency Contact: Megan Sperling 

Assistant General Counsel

Commodity Futures Trading Commission

1155 21st Street NW.

Washington , DC 20581 

Phone: 202 418-5150 

E-Mail: msperling@cftc.gov

Commodity Futures Trading Commission ( CFTC ) RIN: 3038-AC86

 View Related Documents

Title: Electronic Filing of Financial Reports and Notices

Abstract: The Commission is considering proposed amendments to update requirements in its regulations applicable to the

electronic filing of financial reports by futures commission merchants (FCMs’). Further, the proposed amendments would

facilitate other required filings by FCMs to be made electronically, including “early warning” notices; elections to use a noncalendar fiscal year; and requests for extensions of time to file uncertified financial reports. Consistent with other requirements

and existing practice, the proposed amendments would also require more immediate, but less prescriptive, documentation

regarding a firm’s capital condition when a firm falls below its required minimum adjusted net capital, and would also specify that

a statement of income and loss is included as part of the non-certified 1-FR filings of FCMs and introducing brokers (IBs).

Finally, the proposed amendments would correct certain outdated references and make several other minor clarifying revisions.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 17 CFR 1 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 7 USC 6f

Legal Deadline: None

Timetable:

Action Date FR Cite

NPRM 10/13/2009 74 FR 52434 

NPRM Comment Period End 11/13/2009 

Final Action 12/30/2009 74 FR 69004 

Final Action Effective 01/04/2010 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

23

Regulations.gov Monday, April 26, 2010 Unified Agenda
Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Lawrence Eckert 

Special Counsel, Divison of Intermediary Oversight

Commodity Futures Trading Commission

140 Broadway, Room 1905

New York , NY 10005 

Phone: 646 746-9704 

E-Mail: leckert@cftc.gov

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Regulations.gov Monday, April 26, 2010 Unified Agenda