```

[(Volume 65, Number 79)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua30no00_048-1]

[page 74821-74823]

COMMODITY FUTURES TRADING COMMISSION (CFTC)

_______________________________________________________________________


[[page 74821]]

Part XLVIII





Commodity Futures Trading Commission





_______________________________________________________________________



Semiannual Regulatory Agenda

[[page 74822]]




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. For this edition of the
Commission's agenda, the most important and significant regulatory
actions are included in the Regulatory Plan, which appears in part II
of this issue of the Federal Register. The Regulatory Plan entries are
listed in the table of contents below and are denoted by a bracketed
bold reference, which directs the reader to the appropriate sequence
number in part II. The Commission welcomes comments from small entities
and others on the agenda.

FOR FURTHER INFORMATION CONTACT:  Ms. Barbara Webster Black, Special
Assistant to the Executive Director, Commodity Futures Trading
Commission, 1155 21st Street NW., Washington, DC 20581, (202) 418-5130,
[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.''

    The Commission's October 2000 regulatory flexibility agenda is
set forth below.

Issued in Washington, DC, on August 28, 2000 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
----------------------------------------------------------------------------------------------------------------
4398         Denomination of Customer Funds and Location of Depositories........................     3038-AB31
4399         Segregated Account; Daily Computation and Record...................................     3038-AB52
----------------------------------------------------------------------------------------------------------------


                             Commodity Futures Trading Commission--Final Rule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
4400         Performance Disclosures for Commodity Trading Advisors and Commodity Pool Operators     3038-AB39
4401         Public Reporting by Operators of Certain Large Commodity Pools--Regulations 4.7,        3038-AB40
            4.12, and 4.27......................................................................
4402         Market Rule Review Procedures......................................................     3038-AB44
4403         Registration Exemptions Pertaining to the Offer and Sale of Foreign Futures and         3038-AB45
            Foreign Options Contracts to Customers Located in the United States.................
4404         Revision of Commission's Procedure for the Review of Contract Market Rules.........     3038-AB50
4405         Minimum Financial Requirements for Futures Commission Merchants and Introducing         3038-AB54
            Brokers.............................................................................

[[page 74823]]


4406         New Regulatory Framework for Multilateral Transaction Execution Facilities,             3038-AB55
            Intermediaries, and Clearing Organizations (Reg Plan Seq No. 164)...................
4407         Rules Relating to Intermediaries of Commodity Interest Transactions (Reg Plan Seq       3038-AB56
            No. 165)............................................................................
4408         New Regulatory Framework for Clearing Organizations (Reg Plan Seq No. 166).........     3038-AB57
4409         Exemption for Bilateral Transactions (Reg Plan Seq No. 167)........................     3038-AB58
----------------------------------------------------------------------------------------------------------------
References in boldface appear in the Regulatory Plan in Part II of this issue of the Federal Register.


                             Commodity Futures Trading Commission--Completed Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
4410         Exclusion for Certain Otherwise Regulated Persons From the Definition of the Term       3038-AB34
            ``Commodity Pool Operator''.........................................................
4411         Insider Trading--Regulation 1.59...................................................     3038-AB35
4412         Definition of a Principal..........................................................     3038-AB36
4413         Rule 4.7: Exemption From Certain Part 4 Requirements With Respect to Qualified          3038-AB37
            Eligible Participants and Qualified Eligible Clients................................
4414         Contingent EFP Prohibition.........................................................     3038-AB41
4415         Direct Foreign Order Transmittal...................................................     3038-AB46
4416         Minimum Financial Requirements for Futures Commission Merchants and Introducing         3038-AB49
            Brokers.............................................................................
4417         Minimum Financial Requirements for Futures Commission Merchants and Introducing         3038-AB51
            Brokers.............................................................................
4418         Profile Documents for Commodity Pools..............................................     3038-AB60
----------------------------------------------------------------------------------------------------------------

_______________________________________________________________________
Commodity Futures Trading Commission (CFTC)         Proposed Rule Stage

_______________________________________________________________________

4398. 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                            12/00/00
NPRM Comment Period End         02/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: James L. Carley, Attorney, Division of Trading and
Markets, Commodity Futures Trading Commission, Three Lafayette Centre,
1155 21st Street NW, Washington, DC 20581
Phone: 202 418-5438
Email: [email protected]

RIN: 3038-AB31
__________________________________________________________________

4399.  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                            10/00/00
NPRM Comment Period End         11/00/00

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 74824]]

_________________________________________________________________


[November 30, 2000 (Volume 65, Number 231)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua30no00_048-4]

[page 74824]

Commodity Futures Trading Commission (CFTC)            Final Rule Stage

_______________________________________________________________________

4400. 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                    10/00/00
Final Action Effective          12/00/00

Regulatory Flexibility Analysis Required: Undetermined

Small Entities Affected: 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
_________________________________________________________________

4401. PUBLIC REPORTING BY OPERATORS OF CERTAIN LARGE COMMODITY POOLS--
REGULATIONS 4.7, 4.12, AND 4.27

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 6l

CFR Citation: 17 CFR 4.7; 17 CFR 4.12; 17 CFR 4.27 (Proposed)

Legal Deadline: None

Abstract: The proposed regulatory amendments would require large
commodity pools or ``hedge funds'' to file quarterly financial reports
and risk information. These data would be published to enable the
public and regulatory bodies to assess the potential financial systemic
risk posed by such funds.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/17/00                    65 FR 20395
NPRM Comment Period End         06/16/00
Final Action                    12/00/00
Final Action Effective          01/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Additional Information: The April 17, 2000 NPRM (65 FR 20395) was
published with an erroneous RIN, 3038-AB53.

Agency Contact: Tobey Kaczensky, Special Counsel, Division of Trading
and Markets, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW, Washington, DC 20581
Phone: 202 418-5460
Fax: 202 418-5520
Email: [email protected]

RIN: 3038-AB40
_________________________________________________________________

4402. MARKET RULE REVIEW PROCEDURES

Priority: Other Significant

Legal Authority: 7 USC 1a; 7 USC 8; 7 USC 9; 7 USC 12; 7 USC 13a; 7 USC
16; 7 USC 19; 7 USC 21; 7 USC 23; 7 USC 24; 7 USC 2; 7 USC 2a; 7 USC 4;
7 USC 4a; 7 USC 6; 7 USC 6a to 6p; 7 USC 7; 7 USC 7a to 7b; 7 USC 12a;
7 USC 12c; 7 USC 13a-1; 7 USC 16a

CFR Citation: 17 CFR 1

Legal Deadline: None

Abstract: The CFTC is proposing to amend its contract market rule
review and approval procedures to allow for additional categories of
exchange rule amendments to be approved automatically, upon adoption by
the exchange, and to permit such amendments to be submitted to the
Commission in a single, weekly, summary filing rather than in
individual submissions. For certain other rules, the review time would
be reduced to three days. The proposed rules also reorganize, in a
clearer and more accessible format, the Commission's rules on expedited
approval procedures for proposed rule amendments to exchange contract
terms and conditions. The proposed rules will necessitate the filing of
fewer individual submissions by U.S. exchanges with the Commission and
will reduce unnecessary burdens associated with the Commission's review
and approval of proposed exchange rules.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            07/15/99                    64 FR 38159
NPRM Comment Period End         08/16/99
Final Action                    10/00/00
Final Action Effective          12/00/00

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: Undetermined

Agency Contact: Richard A. Shilts, Director, Market Analysis, 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-AB44
_________________________________________________________________

4403. 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 4(b); 7 USC 4c

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

[[page 74825]]

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                    01/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Susan A. Elliott, Senior Attorney, 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
_________________________________________________________________

4404. REVISION OF COMMISSION'S PROCEDURE FOR THE REVIEW OF CONTRACT
MARKET RULES

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 6; 7 USC 6c; 7 USC 7; 7 USC 7a; 7 USC 8; 7 USC
8a

CFR Citation: 17 CFR 1.41(z)

Legal Deadline: None

Abstract: The CFTC has proposed to revise its procedures for the review
of all types of contract market rule changes. Under the proposed new
Regulation 1.41(z), a contract market rule could be placed into effect
on the business day after the CFTC had received a submission for the
rule that contained, among other things, the text and a brief
explanation of the rule and a certification that the rule is not
inconsistent with the Commodity Exchange Act or with the CFTC
regulations.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            11/26/99                    64 FR 66428
NPRM Comment Period Extended    01/24/00
NPRM Comment Period End         02/24/00
Final Action                    10/00/00
Final Action Effective          12/00/00

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: David P. Van Wagner, Acting Associate Director,
Division of Trading and Markets, Commodity Futures Trading Commission,
Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581
Phone: 202 418-5481
Email: [email protected]

RIN: 3038-AB50
_________________________________________________________________

4405.  MINIMUM FINANCIAL REQUIREMENTS FOR FUTURES COMMISSION
MERCHANTS AND INTRODUCING BROKERS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 6p

CFR Citation: 17 CFR 1.17

Legal Deadline: None

Abstract: The Commodity Futures Trading Commission is proposing to
amend Rule 1.17(c)(5)(xiii), which requires a futures commission
merchant (FCM) or an introducing broker (IB), when computing its
adjusted net capital, to take a capital charge for certain unsecured
receivables due from foreign brokers. Currently, an FCM or IB may
exclude from the capital charge unsecured receivables that represent
amounts required to be on deposit with a foreign broker to maintain
futures and option positions on a foreign board of trade. The proposal
would amend the Rule by expanding the amount of the unsecured
receivable that may be excluded from the capital charge.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            08/28/00                    65 FR 52051
NPRM Comment Period End         09/27/00
Final Action                    11/00/00

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-AB54
_________________________________________________________________

4406.  NEW REGULATORY FRAMEWORK FOR MULTILATERAL TRANSACTION
EXECUTION FACILITIES, INTERMEDIARIES, AND CLEARING ORGANIZATIONS

 Regulatory Plan: This entry is Seq. No. 164 in Part II of this issue
of the Federal Register.

RIN: 3038-AB55
_________________________________________________________________

4407.  RULES RELATING TO INTERMEDIARIES OF COMMODITY INTEREST
TRANSACTIONS

 Regulatory Plan: This entry is Seq. No. 165 in Part II of this issue
of the Federal Register.

RIN: 3038-AB56
_________________________________________________________________

4408.  NEW REGULATORY FRAMEWORK FOR CLEARING ORGANIZATIONS

 Regulatory Plan: This entry is Seq. No. 166 in Part II of this issue
of the Federal Register.

RIN: 3038-AB57
_________________________________________________________________

4409.  EXEMPTION FOR BILATERAL TRANSACTIONS

 Regulatory Plan: This entry is Seq. No. 167 in Part II of this issue
of the Federal Register.

RIN: 3038-AB58

[[page 74826]]

_________________________________________________________________

4410. EXCLUSION FOR CERTAIN OTHERWISE REGULATED PERSONS FROM THE
DEFINITION OF THE TERM ``COMMODITY POOL OPERATOR''




Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 4.5

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    04/25/00                    65 FR 24127
Final Action Corrected          05/04/00                    65 FR 25980
Final Action Effective          05/25/00

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Barbara Stern Gold
Phone: 202 418-5450
Email: [email protected]

RIN: 3038-AB34
_________________________________________________________________

4411. INSIDER TRADING--REGULATION 1.59

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 1.59

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    08/04/00                    65 FR 47843
Final Action Effective          12/04/00

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Joshua Marlow
Phone: 202 418-5484
Email: [email protected]

RIN: 3038-AB35
_________________________________________________________________

4412. DEFINITION OF A PRINCIPAL

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 3.1; 17 CFR 4.10

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Withdrawn                       06/22/00

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Lawrence B. Patent
Phone: 202 418-5439
Email: [email protected]

RIN: 3038-AB36
_________________________________________________________________

4413. RULE 4.7: EXEMPTION FROM CERTAIN PART 4 REQUIREMENTS WITH RESPECT
TO QUALIFIED ELIGIBLE PARTICIPANTS AND QUALIFIED ELIGIBLE CLIENTS

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 4.7

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    08/04/00                    65 FR 47848
Final Action Effective          08/04/00

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Helene D. Schroeder
Phone: 202 418-5424
Fax: 202 418-5528
Email: [email protected]

RIN: 3038-AB37
_________________________________________________________________

4414. CONTINGENT EFP PROHIBITION

Priority: Substantive, Nonsignificant. Major status under 5 USC 801 is
undetermined.

CFR Citation: 17 CFR 1.38a

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Withdrawn                       07/21/00

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Riva Spear Adriance
Phone: 202 418-5494
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AB41
_________________________________________________________________

4415. DIRECT FOREIGN ORDER TRANSMITTAL

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 30.12

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    08/02/00                    65 FR 47275
Final Action Effective          09/01/00

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Andrew V. Chapin
Phone: 202 418-5465
Fax: 202 418-5547
Email: [email protected]

RIN: 3038-AB4
___________________________________________________________________

4416. MINIMUM FINANCIAL REQUIREMENTS FOR FUTURES COMMISSION MERCHANTS
AND INTRODUCING BROKERS

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 1.17

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

NPRM                            06/02/00                    65 FR 35304
Final Action                    08/24/00                    65 FR 51529
Final Action Effective          09/25/00

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Thomas J. Smith
Phone: 202 418-5495
Email: [email protected]

RIN: 3038
_______________________________________________________________________

4417. 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                    04/21/00                    65 FR 21309
Final Action Effective          05/22/00

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Thomas J. Smith
Phone: 202 418-5495
Email: [email protected]

RIN:
```

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