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[May 13, 2002 (Volume 67, Number 92)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua13my02_047-1]

[Page 34062-34063]

COMMODITY FUTURES TRADING COMMISSION (CFTC)

_______________________________________________________________________


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Part XLVII





Commodity Futures Trading Commission





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Semiannual Regulatory Agenda

[[Page 34062]]




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. These rules may have some impact on small
entities.\1\ In this regard, section 602(d) of the RFA, 5 U.S.C.
602(d), provides: "Nothing in [section 602] precludes an
agency from considering or acting on any matter not included in a
regulatory flexibility agenda or requires an agency to consider or
act on any matter listed in such agenda."

    The Commission's spring 2002 regulatory flexibility agenda is
set forth below.

Issued in Washington, DC, on February 27, 2002 by the Commission.

 Catherine D. Dixon,

Assistant 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,
posts an advisory on its website (http://www.cftc.gov) 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
----------------------------------------------------------------------------------------------------------------
3622        Denomination of Customer Funds and Location of Depositories.........................     3038-AB31
3623        Minimum Financial Requirements for Futures Commission Merchants and Introducing          3038-AB64
            Brokers.............................................................................
3624        Regulation of Hybrid Instruments....................................................     3038-AB69
3625        Use of Broker-Dealers, Depository Institutions, and Farm Crediting System                3038-AB70
            Institutions as Intermediaries on Derivatives Transaction Execution Facilities......
3626        Authority To Modify Security Futures Product Listing Standards......................     3038-AB73
3627        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...............
3628        Offering and Selling Security Futures Products Traded on Foreign Boards of Trade to      3038-AB75
            United States Persons...............................................................
3629        Requirements for Foreign Stock Index Contracts To Qualify as Non-Narrow-Based            3038-AB78
            Indices.............................................................................
----------------------------------------------------------------------------------------------------------------


                             Commodity Futures Trading Commission--Final Rule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
3630        Performance Disclosures for Commodity Trading Advisors and Commodity Pool Operators.     3038-AB39
3631        Registration Exemptions Pertaining to the Offer and Sale of Foreign Futures and          3038-AB45
            Foreign Options Contracts to Customers Located in the United States.................

[[Page 34063]]


3632        Margin Requirements for Security Futures Products...................................     3038-AB71
3633        Avoidance of Duplicative or Conflicting Regulations Applicable to Dual Registrants..     3038-AB76
3634        Cash Settlement and Regulatory Halts Required for Security Futures Products.........     3038-AB86
----------------------------------------------------------------------------------------------------------------


                             Commodity Futures Trading Commission--Long-Term Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
3635        Public Reporting by Operators of Certain Large Commodity Pools--Regulations 4.7,         3038-AB40
            4.12, and 4.27......................................................................
3636        Trade Options on Enumerated Agricultural Commodities................................     3038-AB61
3637        Exemption From Compliance With the Criterion for Linked and Coordinated Clearing....     3038-AB72
----------------------------------------------------------------------------------------------------------------


                             Commodity Futures Trading Commission--Completed Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
3638        Prohibition Against Dual Trading....................................................     3038-AB83
3639        Regulation Concerning Conduct of Members and Employees and Former Members and            3038-AB85
            Employees of the Commission, 17 CFR Part 140........................................
3640        Listing Standards and Conditions for Trading Security Futures Products..............     3038-AB87
3641        Reporting Levels for Large Trader Reports; Security Futures Products................     3038-AB88
----------------------------------------------------------------------------------------------------------------


                                               Commodity Futures Trading Commission--Discontinued Entries
--------------------------------------------------------------------------------------------------------------------------------------------------------
  Regulation
Identification                                             Title                                             Date Withdrawn            Comments
    Number
--------------------------------------------------------------------------------------------------------------------------------------------------------
3038-AB79        Special Procedures To Encourage and Facilitate Bona Fide Hedging by Agricultural Producers     02/01/2002   Withdrawn
--------------------------------------------------------------------------------------------------------------------------------------------------------

_______________________________________________________________________


[Page 34063]

Commodity Futures Trading Commission (CFTC)         Proposed Rule Stage

_______________________________________________________________________

3622. DENOMINATION OF CUSTOMER FUNDS AND LOCATION OF DEPOSITORIES




Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 1a; 7 USC 2; 7 USC 5; 7 USC 6a to 6d; 7 USC 6f
to 6g; 7 USC 12a; 7 USC 19

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                            05/00/02
NPRM Comment Period End         06/00/02

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Michael A. Piracci, Attorney Advisor, 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-AB31
_______________________________________________________________________


[Page 34063-34064]

Commodity Futures Trading Commission (CFTC)         Proposed Rule Stage

_______________________________________________________________________

3623. 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

[[Page 34064]]

would adopt a risk-based capital requirement for futures commission
merchants.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            05/00/02
NPRM Comment Period End         06/00/02

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 34064]

Commodity Futures Trading Commission (CFTC)         Proposed Rule Stage

_______________________________________________________________________

3624. 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                            01/00/03

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Elizabeth L. Ritter, 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-AB69
_______________________________________________________________________


[Page 34064]

Commodity Futures Trading Commission (CFTC)         Proposed Rule Stage

_______________________________________________________________________

3625. 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                            01/00/03

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L. Ritter, 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 34064]

Commodity Futures Trading Commission (CFTC)         Proposed Rule Stage

_______________________________________________________________________

3626. AUTHORITY TO MODIFY SECURITY FUTURES PRODUCT LISTING STANDARDS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 2(a)(1)(D)(v)(I)

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                            08/00/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L. Ritter, 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 34064-34065]

Commodity Futures Trading Commission (CFTC)         Proposed Rule Stage

_______________________________________________________________________

3627. 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 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                            01/00/03

Regulatory Flexibility Analysis Required: No

[[Page 34065]]

Government Levels Affected: None

Agency Contact: Elizabeth L. Ritter, 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 34065]

Commodity Futures Trading Commission (CFTC)         Proposed Rule Stage

_______________________________________________________________________

3628. 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                            07/00/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L. Ritter, 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 34065]

Commodity Futures Trading Commission (CFTC)         Proposed Rule Stage

_______________________________________________________________________

3629. 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: 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                            07/00/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L. Ritter, 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 34065]

Commodity Futures Trading Commission (CFTC)            Final Rule Stage

_______________________________________________________________________

3630. 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                    05/00/02

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 34065-34066]

Commodity Futures Trading Commission (CFTC)            Final Rule Stage

_______________________________________________________________________

3631. 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

[[Page 34066]]

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                    06/00/02
Final Action Effective          08/00/02

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 34066]

Commodity Futures Trading Commission (CFTC)            Final Rule Stage

_______________________________________________________________________

3632. 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: 17 CFR 41.43 to 41.48

Legal Deadline: None

Abstract: The Board of Governors of the Federal Reserve System on March
6, 2001 delegated its authority to 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                            10/04/01                    66 FR 50719
NPRM Comment Period Extended to
12/05/2001                      11/02/01                    66 FR 55608
Correction                      11/13/01                    66 FR 56902
Correction                      11/19/01                    66 FR 58007
Final Action                    05/00/02
Final Action Effective          05/00/02

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Elizabeth L. Ritter, 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 34066]

Commodity Futures Trading Commission (CFTC)            Final Rule Stage

_______________________________________________________________________

3633. 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                            10/04/01                    66 FR 50785
NPRM Comment Period Extended to
12/05/2001                      11/02/01                    66 FR 55608
Final Action                    05/00/02
Final Action Effective          05/00/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L. Ritter, 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 34066]

Commodity Futures Trading Commission (CFTC)            Final Rule Stage

_______________________________________________________________________

3632. 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: 17 CFR 41.43 to 41.48

Legal Deadline: None

Abstract: The Board of Governors of the Federal Reserve System on March
6, 2001 delegated its authority to 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                            10/04/01                    66 FR 50719
NPRM Comment Period Extended to
12/05/2001                      11/02/01                    66 FR 55608
Correction                      11/13/01                    66 FR 56902
Correction                      11/19/01                    66 FR 58007
Final Action                    05/00/02
Final Action Effective          05/00/02

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Elizabeth L. Ritter, 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 34067]

Commodity Futures Trading Commission (CFTC)           Long-Term Actions

_______________________________________________________________________

3635. 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 34067]

Commodity Futures Trading Commission (CFTC)           Long-Term Actions

_______________________________________________________________________

3636. TRADE OPTIONS ON ENUMERATED AGRICULTURAL COMMODITIES

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 32.13

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
Phone: 202 418-5260
Fax: 202 418-5527
Email: [email protected]

Nancy E. Yanofsky
Phone: 202 418-5292
Fax: 202 418-5567
Email: [email protected]

RIN: 3038-AB61
_______________________________________________________________________


[Page 34067]

Commodity Futures Trading Commission (CFTC)           Long-Term Actions

_______________________________________________________________________

3637. EXEMPTION FROM COMPLIANCE WITH THE CRITERION FOR LINKED AND
COORDINATED CLEARING

Priority: Substantive, Nonsignificant

CFR Citation: Not Yet Determined

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            12/00/03

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L. Ritter
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB72
_______________________________________________________________________


[Page 34067]

Commodity Futures Trading Commission (CFTC)           Completed Actions

_______________________________________________________________________

3638. PROHIBITION AGAINST DUAL TRADING




Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 41.27

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    03/13/02                    67 FR 11223
Final Action Effective          04/12/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Rachel F. Berdansky
Phone: 202 418-5429
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AB83
_______________________________________________________________________


[Page 34067]

Commodity Futures Trading Commission (CFTC)           Completed Actions

_______________________________________________________________________

3639. REGULATION CONCERNING CONDUCT OF MEMBERS AND EMPLOYEES AND FORMER
MEMBERS AND EMPLOYEES OF THE COMMISSION, 17 CFR PART 140

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 140.735

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    02/08/02                     67 FR 5938
Final Action Effective          02/08/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: Federal

Agency Contact: Susan Nathan
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB85
_______________________________________________________________________


[Page 34067]

Commodity Futures Trading Commission (CFTC)           Completed Actions

_______________________________________________________________________

3640. LISTING STANDARDS AND CONDITIONS FOR TRADING SECURITY FUTURES
PRODUCTS

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 41.21 to 41.25

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    11/01/01                    66 FR 55078
Final Action Effective          11/01/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Richard A. Shilts
Phone: 202 418-5260
Fax: 202 418-5527
Email: [email protected]

RIN: 3038-AB87
_______________________________________________________________________

[May 13, 2002 (Volume 67, Number 92)]
[Unified Agenda]
From the Federal Register Online via GPO Access [frwais.access.gpo.gov]
[DOCID:ua13my02_047-21]

[Page 34067-34068]

Commodity Futures Trading Commission (CFTC)           Completed Actions

_______________________________________________________________________

3641. <bullet> REPORTING LEVELS FOR LARGE TRADER REPORTS; SECURITY FUTURES
PRODUCTS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 6g; 7 USC 6i; 7 USC 7; 7 USC 7a; 7 USC 12a

CFR Citation: 17 CFR 15.03

Legal Deadline: None

Abstract: The Commission is amending part 15 of its rules to establish
reporting levels for security futures products.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            12/13/01                    66 FR 64383
NPRM Comment Period End         01/14/02
Final Action                    03/15/02                    67 FR 11569
Final Action Effective          03/15/02
Correction                      03/25/02                    67 FR 13680

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Gary J. Martinaitis, Deputy Associate Director, Market
Surveillance Section, Division of Economic Analysis, Commodity Futures
Trading Commission
Phone: 202 418-5260
Fax: 202 418-5527

[[Page 34068]]

Email: [email protected]

RIN: 3038-AB88
[FR Doc. 02-7691 Filed 05-10-02 8:45 am]
BILLING CODE 6351-01-S
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