| COMMENT FILE          NUMBER: | **01--007** | 8/17/01 08:44 AM |
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| **17 CFR Parts 41 and          140 Exemption for Certain Brokers or Dealers** |
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| **from Provisions of the          Commodity Exchange Act and CFTC** |
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| **Regulations** |
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| __________________________________________________________ |
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| FR CITE: | 66 FR 20118 (April 19,          2001) |
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| CLOSES: | 5/21/01 |
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| EXTENDED: |
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| **FILE          CONTENTS** |
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| **(FR = Federal          Register; NC = Non Comment or Background Material; CL = Comment          Letter)** |
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| Documents which do not          have PDF links are availabe on request to [email protected] by using          the electronic |
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| request form. Electronic          distribution of the documents is possible, depending on the          requester's ability to receive |
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| them. Paper copies of          documents are available within the Washington, D.C., area through the          Commission's |
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| Public Reading Room and          outside the area through use of the electronic request form. Fees of          15 cents per page |
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| apply to paper          copies. |
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| **REQUEST FORM** | **If you are unfamiliar with PDF files, click here for          help** |
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| DOCUMENT: | **FR** | **2** |
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|  | **Final rules** |
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| DATE: |  | 8/17/01 | FR PAGE: |  | 43083 | PAGES: |  | 5 | PDF SIZE: | 53 KB | PDF LINK: | /files/foia/ |
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| DOCUMENT: | **FR** | **1** |
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|  | **Proposed rules and          request for comment** |
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| DATE: |  | 4/19/01 | FR PAGE: |  | 20118 | PAGES: |  | 4 | PDF SIZE: | 49 KB | PDF LINK: | /files/foia/ |
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| DOCUMENT: | **CL** | **1** |
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|  | **The American Stock          Exchange (Amex)** |
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| DATE: |  | 5/31/01 | FR PAGE: |  | N/A | PAGES: |  | 7 | PDF SIZE: | 271 KB | PDF LINK: | /files/foia/ |
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