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[May 14, 2001 (Volume 66, Number 93)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua14my01_048-1]

[Page 26447-26449]

COMMODITY FUTURES TRADING COMMISSION (CFTC)

_______________________________________________________________________


[[Page 26447]]

Part XLVIII





Commodity Futures Trading Commission





_______________________________________________________________________



Semiannual Regulatory Agenda

[[Page 26448]]




COMMODITY FUTURES TRADING COMMISSION

17 CFR Ch. I

Regulatory Flexibility Agenda

AGENCY:  Commodity Futures Trading Commission.

ACTION:  Semiannual regulatory agenda.

_______________________________________________________________________

SUMMARY:  The Commodity Futures Trading Commission, in accordance with
the requirements of the Regulatory Flexibility Act, is publishing a
semiannual agenda of significant rules which the Commission expects to
propose or promulgate over the next year. The Commission welcomes
comments from small entities and others on the agenda.

FOR FURTHER INFORMATION CONTACT:  Ms. Barbara Webster Black, Special
Assistant to the Executive Director, Commodity Futures Trading
Commission, 1155 21st Street NW., Washington, DC 20581, (202) 418-5130,
[email protected].

SUPPLEMENTARY INFORMATION:  The Regulatory Flexibility Act, 5 U.S.C.
601, et seq. (RFA), sets forth a number of requirements for agency
rulemaking. Among other things, the RFA requires that:

    (a) During the months of April and October of each year, each
agency shall publish in the Federal Register a regulatory
flexibility agenda that shall contain:

    (1) A brief description of the subject area of any rule which
the agency expects to propose or promulgate which is likely to have
a significant economic impact on a substantial number of small
entities;

    (2) A summary of the nature of any such rule under
consideration for each subject area listed in the agenda pursuant
to paragraph (1), the objectives and legal basis for the issuance
of the rule, and an approximate schedule for completing action on
any rule for which the agency has issued a general notice of
proposed rulemaking; and

    (3) The name and telephone number of an agency official
knowledgeable about the items listed in paragraph (1). 5 U.S.C.
602(a).

    The Commission has prepared an agenda of significant rules
which it presently expects may be considered during the course of
the next year, irrespective of their potential impact on small
entities.\1\ In this regard, section 602(d) of the RFA, 5 U.S.C.
602(d), provides: "Nothing in [section 602] precludes an agency
from considering or acting on any matter not included in a
regulatory flexibility agenda or requires an agency to consider or
act on any matter listed in such agenda." Pursuant to the request
of Andrew H. Card, Jr., Assistant to the President and Chief of
Staff, in his January 20, 2001 memorandum, the Commission has
decided that it will issue no final or proposed rules not mandated
by Congress until an agency head appointed by the President after
noon on January 20, 2001 reviews and approves the regulatory
action, or until further guidance is received from the
Administration.

    The Commission's April 2001 regulatory flexibility agenda is
set forth below.

    Issued in Washington, DC, on February 28, 2001 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,
an advisory which lists rules that the Commission is considering or
will consider in the near future.

                            Commodity Futures Trading Commission--Proposed Rule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
4035        Denomination of Customer Funds and Location of Depositories.........................     3038-AB31
4036        New Regulatory Framework for Trading Facilities, Intermediaries, and Clearing            3038-AB63
            Organizations.......................................................................
4037        Minimum Financial Requirements for Futures Commission Merchants and Introducing          3038-AB64
            Brokers.............................................................................
4038        Rules Relating to Intermediaries of Commodity Interest Transactions.................     3038-AB65
4039        A New Regulatory Framework for Clearing Organizations...............................     3038-AB66
4040        Opting Out of Segregation by Eligible Contract Participants in Connection with           3038-AB67
            Derivatives Transaction Execution Facility Transactions.............................
4041        CFTC Conformance with Title V Privacy Provisions of the Gramm-Leach-Bliley Act for       3038-AB68
            Federal Functional Regulators.......................................................
4042        Regulation of Hybrid Instruments....................................................     3038-AB69
4043        Use of Broker-Dealers, Depository Institutions, and Farm Crediting System                3038-AB70
            Institutions as Intermediaries on Derivatives Transaction Execution Facilities......
4044        Margin Requirements for Security Futures Products...................................     3038-AB71
4045        Exemption From Compliance With the Listing Standards for Security Futures Products..     3038-AB72
4046        Authority To Modify Security Futures Product Listing Standards......................     3038-AB73
4047        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...............

[[Page 26449]]


4048        Offering and Selling Security Futures Products Traded on Foreign Boards of Trade to      3038-AB75
            United States Persons...............................................................
4049        Avoidance of Duplicative or Conflicting Regulations Applicable to Dual Registrants..     3038-AB76
4050        Determination of Market Capitalization and the Dollar Value of Average Daily Trading     3038-AB77
            Volume for Narrow-Based and Broad-Based Security Indices............................
4051        Requirements for Foreign Stock Index Contracts To Qualify as Non-Narrow-Based            3038-AB78
            Indices.............................................................................
4052        Special Procedures To Encourage and Facilitate Bona Fide Hedging by Agricultural         3038-AB79
            Producers...........................................................................
4053        Procedures for Exempting Brokers or Dealers From the Commodity Exchange Act.........     3038-AB81
4054        Procedures for Exempting Boards of Trade and Designated Contract Markets From the        3038-AB82
            Commodity Exchange Act..............................................................
4055        Prohibition Against Dual Trading....................................................     3038-AB83
----------------------------------------------------------------------------------------------------------------


                             Commodity Futures Trading Commission--Final Rule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
4056        Performance Disclosures for Commodity Trading Advisors and Commodity Pool Operators.     3038-AB39
4057        Registration Exemptions Pertaining to the Offer and Sale of Foreign Futures and          3038-AB45
            Foreign Options Contracts to Customers Located in the United States.................
4058        Segregated Account; Daily Computation and Record....................................     3038-AB52
----------------------------------------------------------------------------------------------------------------


                             Commodity Futures Trading Commission--Long-Term Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
4059        Public Reporting by Operators of Certain Large Commodity Pools--Regulations 4.7,         3038-AB40
            4.12, and 4.27......................................................................
4060        Trade Options on Enumerated Agricultural Commodities................................     3038-AB61
----------------------------------------------------------------------------------------------------------------


                             Commodity Futures Trading Commission--Completed Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
4061        Market Rule Review Procedures.......................................................     3038-AB44
4062        Revision of Commission's Procedure for the Review of Contract Market Rules..........     3038-AB50
4063        Minimum Financial Requirements for Futures Commission Merchants and Introducing          3038-AB54
            Brokers.............................................................................
4064        New Regulatory Framework for Multilateral Transaction Execution Facilities,              3038-AB55
            Intermediaries, and Clearing Organizations..........................................
4065        Rules Relating to Intermediaries of Commodity Interest Transactions.................     3038-AB56
4066        New Regulatory Framework for Clearing Organizations.................................     3038-AB57
4067        Exemption for Bilateral Transactions................................................     3038-AB58
----------------------------------------------------------------------------------------------------------------

_______________________________________________________________________

[Page 26449-26450]

COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4035. DENOMINATION OF CUSTOMER FUNDS AND LOCATION OF DEPOSITORIES


Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 1a; 7 USC 2; 7 USC 2a; 7 USC 4; 7 USC 4a; 7 USC
6; 7 USC 6a to 6h; 7 USC 6l

CFR Citation: Not Yet Determined

Legal Deadline: None

Abstract: The Commission is proposing rules requesting public comment
on how to address the risks relating to holding segregated funds
offshore or in foreign currencies.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

Concept Release                 12/30/97                    62 FR 67841
NPRM                            05/00/01
NPRM Comment Period End         07/00/01

[[Page 26450]]

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Helene D. Schroeder, Attorney Advisor, Division of
Trading and Markets, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5424
Fax: 202 418-5528
Email: [email protected]

RIN: 3038-AB31
_______________________________________________________________________

[Page 26450]

COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4036.  NEW REGULATORY FRAMEWORK FOR TRADING FACILITIES,
INTERMEDIARIES, AND CLEARING ORGANIZATIONS

Priority: Other Significant

Legal Authority: 7 USC 1a; 7 USC 2; 7 USC 2a; 7 USC 4; 7 USC 4a; 7 USC
5; 7 USC 6; 7 USC 6a-6p; 7 USC 7; 7 USC 7a-b; 7 USC 8; 7 USC 9; 7 USC
12; 7 USC 12a; 7 USC 12c; 7 USC 13a; 7 USC 13a-1; 7 USC 16; 7 USC 16a;
7 USC 19; 7 USC 21; 7 USC 23; 7 USC 24; as amended by PL 106-554, 114
Stat. 2763

CFR Citation: 17 CFR 1; 17 CFR 5; 17 CFR 15; 17 CFR 20; 17 CFR 36; 17
CFR 37; 17 CFR 38; 17 CFR 40; 17 CFR 41; 17 CFR 100; 17 CFR 170; 17 CFR
180; ...

Legal Deadline: None

Abstract: The Commodity Futures Trading Commission intends to propose
rules to implement the new provisions of the Commodity Futures
Modernization Act of 2000 relating to trading facilities. The proposed
rules will implement the new statutory framework establishing three new
market categories, including exempt markets, and two categories of
markets subject to Commission regulatory oversight--designated contract
markets and registered derivatives transaction execution facilities.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            03/09/01                    66 FR 14262
NPRM Comment Period End         04/09/01
Final Action                    05/00/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Paul M. Architzel, Chief Counsel, Division of Economic
Analysis, Commodity Futures Trading Commission, Three Lafayette Centre,
1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5260
Fax: 202 418-5527
Email: [email protected]

Alan L. Seifert, Deputy Director, Division of Trading and Markets,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5490
Email: [email protected]

Lawrence B. Patent, Associate Chief Counsel, Division of Trading and
Markets, Commodity Futures Trading Commission, Three Lafayette Centre,
1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5439
Email: [email protected]

Riva Spear Adriance, Special Counsel, Division of Trading and Markets,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5494
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AB63
_______________________________________________________________________

[Page 26450]

COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4037.  MINIMUM FINANCIAL REQUIREMENTS FOR FUTURES COMMISSION
MERCHANTS AND INTRODUCING BROKERS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 6f

CFR Citation: 17 CFR 1.17

Legal Deadline: None

Abstract: The Commission is requesting public comment on proposed
amendments to Rule 1.17 that would adopt a risk-based capital
requirement for futures commission merchants.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            06/00/01
NPRM Comment Period End         07/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Thomas J. Smith, Special Counsel, Division of Trading
and Markets, Commodity Futures Trading Commission, Three Lafayette
Centre, 1121 21st Street NW., Washington, DC 20581
Phone: 202 418-5495
Email: [email protected]

RIN: 3038-AB64
_______________________________________________________________________

[Page 26450-26451]

COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4038.  RULES RELATING TO INTERMEDIARIES OF COMMODITY INTEREST
TRANSACTIONS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 2; 7 USC 6(c); 7 USC 6b; 7 USC 6d; 7 USC 6f; 7
USC 6m; 7 USC 6n; 7 USC 12a; 7 USC 23; as amended by PL 106-554, 114
Stat. 2763

CFR Citation: 17 CFR 1.3; 17 CFR 1.10; 17 CFR 1.17; 17 CFR 1.33; 17 CFR
1.46; 17 CFR 1.52; 17 CFR 1.55; 17 CFR 3.1; 17 CFR 3.10; 17 CFR 3.21;
17 CFR 3.31; 17 CFR 3.32; 17 CFR 3.34; 17 CFR 3, app A; 17 CFR 3, app
B; 17 CFR 4.10; 17 CFR 4.24; 17 CFR 4.32; 17 CFR 4.34; 17 CFR 140.91;
17 CFR 155.2; 17 CFR 155.3; 17 CFR 155.4; 17 CFR 155.5; 17 CFR 155.6;
17 CFR 166.5

Legal Deadline: None

Abstract: The Commission will revise its rules relating to
intermediation of commodity interest transactions. The new rules and
rule amendments will affect the definition of the term "principal,"
updating of registration applications, certified financial reports,
ethics training, disclosure, account opening procedures, trading
standards, reporting requirements, and offsetting positions.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            05/00/01
NPRM Comment Period End         07/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Ky Tran-Trong, Attorney, Division of Trading and
Markets, Commodity Futures Trading Commission, Three Lafayette Centre,
1155 21st Street NW., Washington, DC 20581

[[Page 26451]]

Phone: 202 418-5452
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AB65
_______________________________________________________________________

[Page 26451]

COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4039.  A NEW REGULATORY FRAMEWORK FOR CLEARING ORGANIZATIONS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 2; 7 USC 6(c); 7 USC 7a; 7 USC 12a(5); as
amended by PL 106-554, 114 Stat. 2763

CFR Citation: 17 CFR 39

Legal Deadline: None

Abstract: The Commission will promulgate a new regulatory framework to
apply to clearing organizations as part of an initiative that will
establish new rules for multilateral transaction execution facilities
and market intermediaries.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/00/01
NPRM Comment Period End         05/00/01
Final Action                    06/00/01
Final Action Effective          08/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Lois J. Gregory, Special Counsel, Division of Trading
and Markets, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5260
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AB66
_______________________________________________________________________

[Page 26451]

COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4040.  OPTING OUT OF SEGREGATION BY ELIGIBLE CONTRACT
PARTICIPANTS IN CONNECTION WITH DERIVATIVES TRANSACTION EXECUTION
FACILITY TRANSACTIONS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 7a(f), as amended by PL 106-554, 114 Stat 2763

CFR Citation: 17 CFR 1.3(k); 17 CFR 1.37; 17 CFR 1.68; 17 CFR
190.01(bb)

Legal Deadline: Final, Statutory, June 19, 2001, 180 days after
enactment of Commodity Futures Modernization Act of 2000.

Abstract: The Commission is proposing rules to permit a registered
derivatives transaction execution facility (DTF) to authorize a FCM to
allow a customer that is an eligible contract participant to instruct
the FCM not to segregate the customer's funds related to DTF
transactions from the FCM's own funds. The rules would also address
procedures for ``opting out'' of segregation, including disclosure and
bankruptcy treatment.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            03/13/01                    66 FR 14507
NPRM Comment Period End         04/12/01
Final Action                    04/00/01
Final Action Effective          04/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Michael A. Piracci, Attorney, Division of Trading and
Markets, Commodity Futures Trading Commission, Three Lafayette Centre,
1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5446
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AB67
_______________________________________________________________________

[Page 26451]

COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4041.  CFTC CONFORMANCE WITH TITLE V PRIVACY PROVISIONS OF THE
GRAMM-LEACH-BLILEY ACT FOR FEDERAL FUNCTIONAL REGULATORS

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, June 21, 2001, Prescribe regulations
prior to 06/21/2001.

Abstract: Prior to June 21, 2001, the Commission is required to
prescribe regulations to ensure conformance with Title V privacy
provisions of the Gramm-Leach-Bliley Act for federal functional
regulators.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            03/19/01                    66 FR 15549
NPRM Comment Period End         04/18/01
Final Action                    04/00/01
Final Action Effective          04/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB68
_______________________________________________________________________

[Page 26451-26452]

COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4042.  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                            01/00/02

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581

[[Page 26452]]

Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB69
_______________________________________________________________________

[Page 26452]

COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4043.  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                            01/00/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB70
_______________________________________________________________________

[Page 26452]

COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4044.  MARGIN REQUIREMENTS FOR SECURITY FUTURES PRODUCTS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat
2763

CFR Citation: Not Yet Determined

Legal Deadline: None

Abstract: The Board of Governors of the Federal Reserve System may
delegate its authority and have the Commission and the Securities and
Exchange Commission, within a reasonable period of time after
delegation, jointly prescribe regulations to establish margin
requirements, including the establishment of levels of margin, for
security futures products.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB71
_______________________________________________________________________

[Page 26452]

COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4045.  EXEMPTION FROM COMPLIANCE WITH THE LISTING STANDARDS FOR
SECURITY FUTURES PRODUCTS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat
2763

CFR Citation: Not Yet Determined

Legal Deadline: None

Abstract: The Commission and the Securities and Exchange Commission may
jointly issue an order that exempts any person from compliance with the
listing standards requirements for a security futures product 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.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            01/00/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB72
_______________________________________________________________________

[Page 26452]

COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4046.  AUTHORITY TO MODIFY SECURITY FUTURES PRODUCT LISTING
STANDARDS

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 may
adopt rules to jointly modify security futures product listing
standards requiring that any security underlying the security future,
including each component security of a narrow-based security index, be
registered pursuant to Section 12 of the Securities Exchange Act of
1934, and that the security futures be based upon common stock and such
other equity securities as both agencies jointly determine appropriate.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            01/00/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB73
_______________________________________________________________________

[Page 26452-26453]

COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4047.  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

[[Page 26453]]

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                            01/00/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB74
_______________________________________________________________________

[Page 26453]

COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4048.  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                            04/00/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB75
_______________________________________________________________________

[Page 26453]

COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4049.  AVOIDANCE OF DUPLICATIVE OR CONFLICTING REGULATIONS
APPLICABLE TO DUAL REGISTRANTS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat
2763

CFR Citation: Not Yet Determined

Legal Deadline: None

Abstract: The Commission, in consultation with the Securities and
Exchange Commission, is required to issue rules, regulations, or orders
as are necessary to avoid duplicative or conflicting regulations
applicable to dual registrants involving security futures products.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/00/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB76
_______________________________________________________________________

[Page 26453]

COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4050.  DETERMINATION OF MARKET CAPITALIZATION AND THE DOLLAR
VALUE OF AVERAGE DAILY TRADING VOLUME FOR NARROW-BASED AND BROAD-BASED
SECURITY 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: None

Abstract: The Commission and the Securities and Exchange Commission are
required to jointly prescribe rules and regulations that specify the
methods to be used to determine market capitalization and the dollar
value of average daily trading volume for narrow-based and broad-based
security indices.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/00/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB77
_______________________________________________________________________

[Page 26453-26454]

COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4051.  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: Prior to December 21, 2001, the Commission and the Securities
and Exchange Commission are required to jointly adopt rules and
regulations that set forth the requirements for foreign stock index
contracts to qualify as non-narrow-based indices.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/00/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB78

[[Page 26454]]

_______________________________________________________________________

[Page 26454]

COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4052.  SPECIAL PROCEDURES TO ENCOURAGE AND FACILITATE BONA FIDE
HEDGING BY AGRICULTURAL PRODUCERS

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 consider issuing rules or
orders which prescribe procedures for contract markets to provide
orderly delivery and increased ease for domestic agricultural producers
to hedge price risk.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/00/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB79
_______________________________________________________________________

[Page 26454]

COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4053.  PROCEDURES FOR EXEMPTING BROKERS OR DEALERS FROM THE
COMMODITY EXCHANGE ACT

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, by rule or regulation, to
determine the procedures under which it may exempt any broker or dealer
from any provision of the Commodity Exchange Act or its rules or
regulations to the extent such exemption is necessary for the public
interest and is consistent with the protection of investors for
security futures trading.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/19/01                    66 FR 20118
NPRM Comment Period End         05/21/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Christopher W. Cummings, Attorney Advisor, Division of
Trading and Markets, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5445
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AB81
_______________________________________________________________________

[Page 26454]

COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4054.  PROCEDURES FOR EXEMPTING BOARDS OF TRADE AND DESIGNATED
CONTRACT MARKETS FROM THE COMMODITY EXCHANGE ACT

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, by rule or regulation, to
determine the procedures under which it may exempt any board of trade
registered as a national security exchange, or which is a national
securities association or an alternative trading system, that is a
designated contract market, from any provision of the Commodity
Exchange Act, its rules or regulations, to the extent such exemption is
necessary for the public interest and is consistent with the protection
of investors for security futures trading. In addition, except as
provided by the requirements of such rule or regulation, the Commission
may conditionally or unconditionally exempt any designated contract
market in security futures products from any provision of the Commodity
Exchange Act.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/00/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Joshua Marlow, Attorney Advisor, Division of Trading
and Markets, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5484
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AB82
_______________________________________________________________________
```

```

[Page 26454-26455]

COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4055.  PROHIBITION AGAINST DUAL TRADING

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 issue regulations to prohibit
dual trading in security futures products on contract markets and
derivatives transaction execution facilities.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/00/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Rachel F. Berdansky, Attorney Advisor, Division of
Trading and Markets, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5429
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AB83

[[Page 26455]]

_______________________________________________________________________

[Page 26455]

COMMODITY FUTURES TRADING COMMISSION (CFTC)            Final Rule Stage

_______________________________________________________________________

4056. PERFORMANCE DISCLOSURES FOR COMMODITY TRADING ADVISORS AND
COMMODITY POOL OPERATORS




Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 6n; 7 USC 6o; 7 USC 12a

CFR Citation: 17 CFR 4.25; 17 CFR 4.35

Legal Deadline: None

Abstract: The Commodity Futures Trading Commission is proposing
amendments to the requirements concerning the presentation of rate of
return data by commodity trading advisors and commodity pool operators.
The Commission's proposed rules address computational and disclosure
matters relating to participating in commodity trading advisor programs
on a partially-funded basis.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

ANPRM                           06/18/98                    63 FR 33297
ANPRM Comment Period End        09/16/98
NPRM                            08/02/99                    64 FR 41843
NPRM Comment Period End         10/01/99
Final Action                    05/00/01
Final Action Effective          07/00/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Robert B. Wasserman, Associate Director, Division of
Trading and Markets, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5092
Fax: 202 418-5528
Email: [email protected]

RIN: 3038-AB39
_______________________________________________________________________
```

```

[Page 26455]

COMMODITY FUTURES TRADING COMMISSION (CFTC)            Final Rule Stage

_______________________________________________________________________

4057. 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                    08/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Susan A. Elliott, Attorney Advisor, Division of Trading
and Markets, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5464
Fax: 202 418-5528
Email: [email protected]

RIN: 3038-AB45
_______________________________________________________________________

[Page 26455-26456]

COMMODITY FUTURES TRADING COMMISSION (CFTC)            Final Rule Stage

_______________________________________________________________________

4058. SEGREGATED ACCOUNT; DAILY COMPUTATION AND RECORD

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 6d

CFR Citation: 17 CFR 1.32

Legal Deadline: None

Abstract: The Commodity Futures Trading Commission is proposing to
amend Rule 1.32 to provide that a futures commission merchant (FCM),
when computing its segregation requirement, may offset deficits in
customer accounts with readily marketable securities deposited by such
customers to margin their futures and option positions.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            10/31/00                    65 FR 64904
NPRM Comment Period End         11/30/00
Final Action                    05/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Thomas J. Smith, Special Counsel, Division of Trading
and Markets, Commodity Futures Trading Commission, Three Lafayette
Centre, 1121 21st Street NW., Washington, DC 20581
Phone: 202 418-5495
Email: [email protected]

RIN: 3038-AB52

[[Page 26456]]

_______________________________________________________________________

[Page 26456]

COMMODITY FUTURES TRADING COMMISSION (CFTC)           Long-Term Actions

_______________________________________________________________________

4059. PUBLIC REPORTING BY OPERATORS OF CERTAIN LARGE COMMODITY POOLS--
REGULATIONS 4.7, 4.12, AND 4.27




Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 4.7; 17 CFR 4.12; 17 CFR 4.27 (Proposed)

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/17/00                    65 FR 20395
NPRM Comment Period End         06/16/00


Next Action Undetermined

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Tobey Kaczensky
Phone: 202 418-5460
Fax: 202 418-5520
Email: [email protected]

RIN: 3038-AB40
_______________________________________________________________________

[Page 26456]

COMMODITY FUTURES TRADING COMMISSION (CFTC)           Long-Term Actions

_______________________________________________________________________

4060.  TRADE OPTIONS ON ENUMERATED AGRICULTURAL COMMODITIES

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 2; 7 USC 6c; 7 USC 12a

CFR Citation: 17 CFR 32.13

Legal Deadline: None

Abstract: The Commission is proposing a technical revision to its
agricultural trade option rule to clarify the requirements for an
exemption therefrom.

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, Chief Counsel, Division of Economic
Analysis, Commodity Futures Trading Commission, Three Lafayette Centre,
1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5260
Fax: 202 418-5527
Email: [email protected]

Nancy E. Yanofsky, Assistant Chief Counsel, Division of Economic
Analysis, Commodity Futures Trading Commission, Three Lafayette Centre,
1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5260
Fax: 202 418-5527
Email: [email protected]

RIN: 3038-AB61
_______________________________________________________________________

[Page 26456]

COMMODITY FUTURES TRADING COMMISSION (CFTC)           Completed Actions

_______________________________________________________________________

4061. MARKET RULE REVIEW PROCEDURES

Priority: Other Significant

CFR Citation: 17 CFR 1

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Withdrawn                       12/28/00                    65 FR 82272

Regulatory Flexibility Analysis Required: No

Government Levels Affected: Undetermined

Agency Contact: Richard A. Shilts
Phone: 202 418-5260
Fax: 202 418-5527
Email: [email protected]

RIN: 3038-AB44
_______________________________________________________________________

[Page 26456]

COMMODITY FUTURES TRADING COMMISSION (CFTC)           Completed Actions

_______________________________________________________________________

4062. REVISION OF COMMISSION'S PROCEDURE FOR THE REVIEW OF CONTRACT
MARKET RULES

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 1.41(z)

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Withdrawn                       12/13/00                    65 FR 77961

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: David P. Van Wagner
Phone: 202 418-5481
Email: [email protected]

RIN: 3038-AB50
_______________________________________________________________________

[Page 26456]

COMMODITY FUTURES TRADING COMMISSION (CFTC)           Completed Actions

_______________________________________________________________________

4063. MINIMUM FINANCIAL REQUIREMENTS FOR FUTURES COMMISSION MERCHANTS
AND INTRODUCING BROKERS

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 1.17

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    11/07/00                    65 FR 66618
Final Action Effective          12/07/00

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Thomas J. Smith
Phone: 202 418-5495
Email: [email protected]

RIN: 3038-AB54
_______________________________________________________________________

[Page 26456-26457]

COMMODITY FUTURES TRADING COMMISSION (CFTC)           Completed Actions

_______________________________________________________________________

4064. NEW REGULATORY FRAMEWORK FOR MULTILATERAL TRANSACTION EXECUTION
FACILITIES, INTERMEDIARIES, AND CLEARING ORGANIZATIONS

Priority: Other Significant

CFR Citation: 17 CFR 1.37; 17 CFR 1.41; 17 CFR 5; 17 CFR 15; 17 CFR 20;
17 CFR 36 to 38

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    12/13/00                    65 FR 77962
Withdrawn                       12/28/00                    65 FR 82272

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Paul M. Architzel
Phone: 202 418-5260
Fax: 202 418-5527
Email: [email protected]

Riva Spear Adriance
Phone: 202 418-5494
Fax: 202 418-5536
Email: [email protected]

Alan L. Seifert
Phone: 202 418-5490
Email: [email protected]

RIN: 3038-AB55

[[Page 26457]]

_______________________________________________________________________

[Page 26457]

COMMODITY FUTURES TRADING COMMISSION (CFTC)           Completed Actions

_______________________________________________________________________

4065. RULES RELATING TO INTERMEDIARIES OF COMMODITY INTEREST
TRANSACTIONS

Priority: Other Significant

CFR Citation: 17 CFR 1.3; 17 CFR 1.10; 17 CFR 1.17; 17 CFR 1.20; 17 CFR
1.25 to 1.29; 17 CFR 1.33; 17 CFR 1.46; 17 CFR 1.52; 17 CFR 1.55; 17
CFR 3.1; 17 CFR 3.10; 17 CFR 3.32; 17 CFR 3.34; 17 CFR 4.10; 17 CFR
4.24; 17 CFR 4.34; 17 CFR 140.91; 17 CFR 3 app B; 17 CFR 155.6; 17 CFR
166.5

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    12/13/00                    65 FR 77993
Partial Withdrawal              12/28/00                    65 FR 82272
Final Action Effective          12/28/00                    65 FR 82270

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Lawrence B. Patent
Phone: 202 418-5439
Email: [email protected]

RIN: 3038-AB56
_______________________________________________________________________

[Page 26457]

COMMODITY FUTURES TRADING COMMISSION (CFTC)           Completed Actions

_______________________________________________________________________

4066. NEW REGULATORY FRAMEWORK FOR CLEARING ORGANIZATIONS

Priority: Other Significant

CFR Citation: 17 CFR 39

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    12/13/00                    65 FR 78020
Withdrawn                       12/28/00                    65 FR 82272

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Lois J. Gregory
Phone: 202 418-5260
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AB57
_______________________________________________________________________

[Page 26457]

COMMODITY FUTURES TRADING COMMISSION (CFTC)           Completed Actions

_______________________________________________________________________

4067. EXEMPTION FOR BILATERAL TRANSACTIONS

Priority: Other Significant

CFR Citation: 17 CFR 35

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    12/13/00                    65 FR 78030
Withdrawn                       12/28/00                    65 FR 82272

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Paul M. Architzel
Phone: 202 418-5260
Fax: 202 418-5527
Email: [email protected]

RIN: 3038-AB58
[FR Doc. 01-5932 Filed 05-11-01; 8:45 am]
BILLING CODE 6351-01-S
```

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