| COMMENT FILE          NUMBER: | **01--011** | 8/23/01 07:42 AM |
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| **__________________________________________________________** |
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| **Commodity Futures          Trading Commission 17 CFR Part 41 Securities** |
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| **and Exchange          Commission 17 CFR Part 240 Method for Determining** |
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| **Market Capitalization          and Dollar Value of Average Daily Trading** |
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| **Volume; Application of          the Definition of Narrow-Based Security** |
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| **Index** |
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|  | __________________________________________________________ |
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|  | FR CITE: | 66 FR 27559 (May 17,          2001) |
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|  | CLOSES: | 6/18/01 | 7/11/01 |
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|  | EXTENDED: | 7/2/01 |
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|  | **__________________________________________________________** |
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|  | **FILE          CONTENTS** |
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|  | **(FR = Federal          Register; NC = Non Comment or Background Material; CL = Comment          Letter)** |
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|  | Documents which do not          have PDF links are availabe on request to [email protected] by using          the electronic |
|--|-------------------------------------------------------------------------------------------------------------------------------------|

|  | request form. Electronic          distribution of the documents is possible, depending on the          requester's ability to receive |
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|  | them. Paper copies of          documents are available within the Washington, D.C., area through the          Commission's |
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|  | Public Reading Room and          outside the area through use of the electronic request form. Fees of          15 cents per page |
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|  | apply to paper          copies. |
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|  | **REQUEST FORM** | **If you are unfamiliar with PDF files, click here for          help** |
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| **__________________________________________________________** |
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| **--------------------------------------------------------------------------------------------------------------------** |
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| DOCUMENT: | **FR** | **3** |
|-----------|--------|-------|

|  | **Joint Final          Rule** |
|--|--------------------------------|

| DATE: |  | 8/23/01 | FR PAGE: | 44489 | PAGES: | 28 | PDF SIZE: | 212 KB | PDF LINK: | /files/foia/ |
|-------|--|---------|----------|-------|--------|----|-----------|--------|-----------|--------------|

|  | **--------------------------------------------------------------------------------------------------------------------** |
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| **--------------------------------------------------------------------------------------------------------------------** |
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| DOCUMENT: | **FR** | **2** |
|-----------|--------|-------|

|  | **Proposed rule;          reopening and extension of comment period** |
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| DATE: |  | 7/2/01 | FR PAGE: |  | 34864 | PAGES: |  | 1 | PDF SIZE: | 33 KB | PDF LINK: | /files/foia/ |
|-------|--|--------|----------|--|-------|--------|--|---|-----------|-------|-----------|--------------|

|  | **--------------------------------------------------------------------------------------------------------------------** |
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| **--------------------------------------------------------------------------------------------------------------------** |
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| DOCUMENT: | **FR** | **1** |
|-----------|--------|-------|

|  | **Joint proposed          rules** |
|--|------------------------------------|

| DATE: |  | 5/17/01 | FR PAGE: |  | 27559 | PAGES: |  | 21 | PDF SIZE: | 178 KB | PDF LINK: | /files/foia/ |
|-------|--|---------|----------|--|-------|--------|--|----|-----------|--------|-----------|--------------|

|  | **--------------------------------------------------------------------------------------------------------------------** |
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| **--------------------------------------------------------------------------------------------------------------------** |
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| DOCUMENT: | **CL** | **17** |
|-----------|--------|--------|

|  | **Securities Industry Association (SIA)** |
|--|-------------------------------------------|

| DATE: |  | 8/3/01 | FR PAGE: |  | N/A | PAGES: |  | 8 | PDF SIZE: | 323 KB | PDF LINK: | /files/foia/ |
|-------|--|--------|----------|--|-----|--------|--|---|-----------|--------|-----------|--------------|

|  | **--------------------------------------------------------------------------------------------------------------------** |
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