**CFTC 2004 Federal Register      Announcements**

Last modified on February      14, 2005

SECTION A

Proposed CFTC rules and other announcements requesting      comments, including Exchange new contract applications and major rule      amendments, posted for six weeks following either the close of the      comment period or date of action, with comment file number and closing      date.

SECTION B

Final rules, orders, and similar announcements not      requesting comments, posted for six weeks following publication, with      effective date.

SECTION C

Sunshine Act announcements, posted for four weeks      following publication.

SECTION      D

CFTC Privacy Act Systems of Records, most recent      compilation.

SECTION E

CFTC Public Information Collection Requirements.

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**======================== SECTION      A ========================            Proposed Rules and Amendments**

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**69 FR 64873 (November 9,      2004)**

      17 CFR Part 1 Distribution of "Risk Disclosure Statement: by Futures      Commission Merchants and Introducing Brokers    

Comment File      04--011, closing date 12/09/2004, see also: 70 FR 5923 (February 04, 2005),      70 FR (February 14,      2005)

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**69 FR 62226 (October 25,      2004)**

      17 CFR Part 171 Rules Relating To Review of National Futures Association      Decisions in Disciplinary, Membership Denial, Registration and Member      Responsibility Actions    

Comment File      04--010, closing date 11/24/2004, see also 70 FR 2350 (January 13,      2005)

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**69 FR 53367 (September 1,      2004)**

      17 CFR Parts 37 and 38 Application Procedures for Registration as a      Derivatives Transaction Execution Facility of Designation as a Contract      Market    

Comment File      04--009, closing date 10/01/2004, see also 69 FR 67811 (November 22,      2004)

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**69 FR 44981 (July 28,      2004)**

      17 CFR Parts 40, 41, and 145 Confidential Information and Commission      Records and Information    

Comment File      04--008, closing date 08/27/2004, see also 69 FR 67503 (November 18,      2004)

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**69 FR 42971 (July 19,      2004)**

      The Governance of Self-Regulatory Organization    

Extension of comment period, extended to 09/30/2004, see      also 69 FR 32326 (June 9,      2004)

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**69 FR 39880 (July 1,      2004)**

      17 CFR Parts and 38 Execution of Transactions: Regulation 1.38 and      Guidance on Core Principle 9    

Comment File      04--007, closing date 08/30/2004

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**69 FR 33874 (June 17,      2004)**

      17 CFR Part 150 Petitions of the Chicago Board of Trade, the Kansas City      Board of Trade, and the Minneapolis Grain Exchange Pursuant to Commission      Regulation 13.2 for Repeal or Amendment of Speculative Position Limits in      Commission Regulation 150.2    

Comment File      04--006, closing date 08/16/2004

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**69 FR 32326 (June 9,      2004)**

      The Governance of Self-Regulatory Organizations    

Comment File      04--005, closing date 07/26/2004

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**69 FR 31095 (June 2,      2004)**

      Futures Market Self-Regulation    

Reopening comment period, closing date 06/18/2004, see      also 69 FR 22599 (April 26,      2004)

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**69 FR 26333 (May 12,      2004)**

      17 CFR Parts 15, 16, 17, 18, 19 and 21 Reporting Levels and Recordkeeping    

Comment File      04--004, closing date 06/11/2004, see also 69 FR 76392 (December 21,      2004)

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**69 FR 22599 (April 26,      2004)**

      Futures Market Self-Regulation    

Correction, see also 69 FR 119166 (April 12,      2004)

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**69 FR 119166 (April 12,      2004)**

      Futures Market Self-Regulation    

Comment File      04--003, closing date 05/27/2004 extended to 06/18/2004, see also      69 FR 22599 (April 26,      2004), 69 FR 31095      (June 2, 2004), 69 FR      42971 (July 19, 2004)

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**69 FR 17998 (April 6,      2004)**

      17 CFR Part 30 Foreign Futures and Foreign Options Transactions    

Comment File      04--002, closing date 06/07/2004, see also 69 FR 49784 (August 12,      2004)

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**69 FR 13286 (March 22,      2004)**

      In the Matter of the Intercontinental Exchange, Inc. Petition for      Expansion of the Definition of Eligible Commercial Entities Under Section      1a(11)(C) of the Commodity Exchange Act    

Comment File      04--001, closing date 04/06/2004

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**======================== SECTION      B ========================            Final Rules and Orders**

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**69 FR 77734 (December 28,      2004)**

      Global Market Advisory Committee meeting    

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**69 FR 76392 (December 21,      2004)**

      17 CFR Parts 15, 16, 17, 18, 19 and 21 Reporting Levels and Recordkeeping    

Final rules, effective 01/20/2005, see      also69 FR 26333 (May 12, 2004)

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**69 FR 74092 (December 13,      2004)**

      17 CFR Ch. I Regulatory Flexibility Agenda    

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**69 FR 69510 (November 30,      2004)**

      17 CFR Part 190 Interpretative Statement Regarding Funds Determined To Be      Held in the Futures Account Type of Customer Account Class    

      Interpretative statement    

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**69 FR 67811 (November 22,      2004)**

      17 CFR Parts 37 and 38 Application Procedures for Registration as a      Derivatives Transaction Execution Facility of Designation as a Contract      Market    

      Final rules, effective date 12/22/2004, see also 69 FR 53367 (September 1, 2004)

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**69 FR 67543 (November 18,      2004)**

      Fees for Reviews of the Rule Enforcement Programs of Contract Markets and      Registered Futures Association    

      Establish the FY 2004 schedule of fees, effective dates: The FY 2004 fees      for Commission oversight of each SRO rule enforcement program must be      paid by each of the named SROs in the amount specified by no later than      01/18/2005    

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**69 FR 67503 (November 18,      2004)**

      17 CFR Parts 40, 41, and 145 Confidential Information and Commission      Records and Information    

      Final rules, effective date 12/20/2004, see also 69 FR 44981 (July 28, 2004)

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**69 FR 65584 (November 15,      2004)**

      In the Matter of the Intercontinental Exchange, Inc. Petition for      Expansion of the Definition of an Eligible Commercial Entity Under      Section 1a (11) (C) of the Commodity Exchange Act    

      Order, effective date 11/15/2004    

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**69 FR 59544 (October 5,      2004)**

      17 CFR Part 1 Close Out of Offsetting Positions; Correction    

Correcting amendment, see also 66 FR 53510 (October 23,      2001)

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**69 FR 58412 (September 30,      2004)**

      Technology Advisory Committee Meeting    

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**69 FR 55949 (September 17,      2004)**

      17 CFR Part 1 Minimum Financial and Related Reporting Requirements for      Futures Commission Merchants and Introducing Brokers; Correction    

Final rule; correction, see also 69 FR 49784 (August 12,      2004)

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**69 FR 52995 (August 31,      2004)**

      17 CFR Part 143 Claims Owed the United States Arising From Activities      Under the Commission's Jurisdiction    

Notice of final rulemaking, effective date 08/31/2004, see      also 68 FR 69634 (December      15, 2003)

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**69 FR 52993 (August 31,      2004)**

      17 CFR Part 143 Adjustment of Civil Monetary Penalties for Inflation    

Final rule, effective date 10/23/2004

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**69 FR 49800 (August 12,      2004)**

      17 CFR Part 30 Foreign Futures and Foreign Options Transactions    

Final rule, effective date 09/13/2004, see also 69 FR 17998 (April 6,      2004)

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**69 FR 49784 (August 12,      2004)**

      17 CFR Part 1 Minimum Financial and Related Reporting Requirements for      Futures Commission Merchants and Introducing Brokers    

Final rule, effective date 09/30/2004, see also 68 FR 40835 (July 9, 2003), and      69 FR 55949 (September 17,      2004)

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**69 FR 43285 (July 20,      2004)**

      17 CFR Part 36 Exempt Commerical Markets    

Final rulemaking, effective date 09/20/2004, see also      68 FR 66032 (November 25,      2003)

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**69 FR 42135 (July 14,      2004)**

      Notice of Renewal of the Global Market Advisory Committee    

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**69 FR 41424 (July 09,      2004)**

      17 CFR Parts 1, 4, 31, 140, 145 and 150 Corrections to Regional Office      Information, References to Section 4d(2) and Criteria for CPO      Registration Exemption    

Final rule, effective date 07/09/2004

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**69 FR 40359 (July 02,      2004)**

      Agricultural Advisory Committee Meeting    

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**69 FR 38478 (June 28,      2004)**

      17 CFR Ch. 1 Regulatory Flexibility Agenda    

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**69 FR 28883 (May 19,      2004)**

      Global Markets Advisory Committee Meeting    

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**69 FR 16900 (March 31,      2004)**

      Commodity Futures Trading Commission Securities and Exchange Commission      Joint Order Excluding Indexes Comprised of Certain Index Options From the      Definition of Narrow-Based Security Index Pursuant to Section 1a (25) (B)      (vi) of the Commodity Exchange Act and Section 3 (a) (55) (C) (vi) of the      Securities Exchange Act of 1934    

Joint order, effective date 03/25/2004

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**69 FR 16792 (March 31,      2004)**

      17 CFR Part 3 Registration of Intermediaries    

Correcting amendments, effective date 04/01/2004, see      also: 67 FR 38869 (June 6,      2002)

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**69 FR 11388 (March 10,      2004)**

      Fees for Reviews of the Rule Enforcement Programs of Contract Markets and      Registered Futures Association    

Establish a new schedule of fees, effective dates: The FY      2003 fees for Commission oversight of each SRO rule enforcement program      must be paid by each of the named SROs in the amount specified by no      later than May 10, 2004

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**69 FR 11386 (March 10,      2004)**

      Fees for Product Review and Approval    

Annual update of fees for product approval, effective date      03/10/2004

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**69 FR 6140 (February 10,      2004)**

      17 CFR Part 1 Investment of Customer Funds    

Final rule, effective date 03/11/2004, see also 68FR38654 (June 30,      2003)

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**69 FR 632 (January 6,      2004)**

      In the Matter of Intermarket Clearing Corporation -- Request for Vacation      From Designation as Derivatives Clearing Organization    

Order, effective date 12/31/2003

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**======================== SECTION      C ========================            Sunshine Act Announcements**

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**69 FR 77233 (December 27,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 01/28/2005    

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**69 FR 77233 (December 27,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 01/21/2005    

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**69 FR 77233 (December 27,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 01/14/2005    

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**69 FR 77233 (December 27,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 01/07/2005    

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**69 FR 67545 (November 18,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 12/17/2004    

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**69 FR 67545 (November 18,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 12/10/2004    

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**69 FR 67544 (November 18,      2004)**

      Sunshine Act Meeting    

      Closed commission Meeting 12/03/2004    

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**69 FR 61659 (October 20,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 11/26/2004    

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**69 FR 61659 (October 20,      2004)**

      Sunshine Act Meeting    

      Closed commission Meeting 11/19/2004    

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**69 FR 61659 (October 20,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 11/12/2004    

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**69 FR 61659 (October 20,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 11/05/2005    

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**69 FR 58153 (September 29,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 09/29/2004, Cancelled, see also 69 FR 56748 (September 22,      2004)

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**69 FR 56748 (September 22,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 09/29/2004, see also 69 FR 58153 (September 29,      2004)

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**69 FR 56201 (September 20,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 10/29/2004    

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**69 FR 56201 (September 20,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 10/22/2004    

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**69 FR 56201 (September 20,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 10/15/2004    

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**69 FR 56201 (September 20,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 10/08/2004    

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**69 FR 56201 (September 20,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 10/01/2004    

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**69 FR 55144 (September 13,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 09/16/2004    

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**69 FR 51270 (August 18,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 09/24/2004    

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**69 FR 51270 (August 18,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 09/17/2004    

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**69 FR 51270 (August 18,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 09/10/2004    

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**69 FR 51270 (August 18,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 09/03/2004    

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**69 FR 43817 (July 22,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 08/27/2004    

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**69 FR 43817 (July 22,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 08/20/2004    

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**69 FR 43817 (July 22,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 08/13/2004    

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**69 FR 43817 (July 22,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 08/06/2004    

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**69 FR 34141 (June 18,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 07/30/2004    

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**69 FR 34141 (June 18,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 07/23/2004    

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**69 FR 34141 (June 18,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 07/16/2004    

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**69 FR 34141 (June 18,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 07/09/2004    

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**69 FR 34141 (June 18,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 07/02/2004    

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**69 FR 27897 (May 17,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 06/25/2004    

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**69 FR 27896 (May 17,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 06/18/2004    

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**69 FR 27696 (May 17,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 06/11/2004    

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**69 FR 27896 (May 17,      2004)**

      Sunshine Act Meetings    

      Closed Commission Meeting 06/04/2004    

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**69 FR 23732 (April 30,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 05/27/2004    

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**69 FR 21091 (April 20,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 05/28/2004    

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**69 FR 21091 (April 20,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 05/21/2004    

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**69 FR 21091 (April 20,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 05/14/02004    

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**69 FR 21091 (April 20,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 05/07/2004    

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**69 FR 18058 (April 6,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 04/13/2004    

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**69 FR 12644 (March 17,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 04/30/2004    

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**69 FR 12644 (March 17,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 04/23/2004    

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**69 FR 12644 (March 17,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 04/16/2004    

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**69 FR 12644 (March 17,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 04/09/2004    

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**69 FR 12644 (March 17,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 04/02/2004    

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**69 FR 7911 (February 20,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 03/26/2004    

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**69 FR 7910 (February 20,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 03/19/2004    

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**69 FR 7910 (February 20,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 03/12/2004    

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**69 FR 7910 (February 20,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 03/05/2004    

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**69 FR 4497 (January 30,      2004)**

      Sunshine Act Meeting    

      Open Commission Meeting 02/04/2004    

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**69 FR 2701 (January 20,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 02/27/2004    

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**69 FR 2701 (January 20,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 02/20/2004    

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**69 FR 2701 (January 20,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 02/13/2004    

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**69 FR 2701 (January 20,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 02/06/2004    

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**69 FR 1571 (January 9,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 01/30/2004    

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**69 FR 1570 (January 9,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 01/23/2004    

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**69 FR 1570 (January 9,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 01/16/2004    

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**69 FR 1570 (January 9,      2004)**

      Sunshine Act Meeting    

      Closed Commission Meeting 01/09/2004    

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**======================== SECTION      E ========================            CFTC Public Information Collection Requirements**

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**69 FR 64917 (November 9,      2004)**

      Agency Information Collection Activities: Notice of Intent To Renew      Collection 3038-0026, Gross Collection of Exchange-Set Margins for      Omnibus Accounts    

      Notice    

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**69 FR 60988 (October 14,      2004)**

      Agency Information Collection Activities Under OMB Review    

      Notice    

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**69 FR 59581 (October 5,      2004)**

      Agency Information Collection Activities: Notice of Intent To Renew      Collection 3038-0095, Rules Relating to Security Futures Products    

      Notice    

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**69 FR 53047 (August 31,      2004)**

      Agency Information Collection Activities Under OMB Review    

      Notice    

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**69 FR 47419 (August 5,      2004)**

      Agency Information Collection Activities: Notice of Intent To Renew      Collection 3038-0022, Rules Pertaining to Contract Markets and Their      Members    

      Notice    

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**69 FR 24656 (June 22,      2004)**

      Agency Information Collection Activities Under OMB Review: Notice of      Intent To Renew Collection 3038-0054, Establishing Procedures for      Entities Operating as Exempt Markets    

      Notice    

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**69 FR 24655 (June 22,      2004)**

      Agency Information Collection Activities Under OMB Review    

      Notice    

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**69 FR 34655 (June 22,      2004)**

      Agency Information Collection Activities Under OMB Review: Notice of      Intent to Renew Collection 3038-0055, Privacy of Consumer Financial      Information    

      Notice    

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**69 FR 33632 (June 16,      2004)**

      Agency Information Collection Activities Under OMB Review: Notice of      Intent To Renew Collection 3038-0023, Registration Under the Commodity      Exchange Act    

      Notice    

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**69 FR 32325 (June 9,      2004)**

      Agency Information Collection Activities; Notice of Intent To Renew      Collection 3038-0025, Practice by Former Members and Employees of the      Commission    

      Notice    

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**69 FR 31361 (June 3,      2004)**

      Agency Information Collection Activities Under OMB Review    

Notice

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**69 FR 26368 (May 12,      2004)**

      Agency Information Collection Activities: Notice of Intent To Amend      Collection 3038-0009, Large Trader Reports    

Notice

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**69 FR 23732 (April 30,      2004)**

      Agency Information Collection Activities: Notice of Intent To Renew      Collection 3038-0023, Notice Registration as a Futures Commission      Merchant or Introducing Broker for Certain Securities Brokers and Dealers    

Notice

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**69 FR 18058 (April 6,      2004)**

      Agency Information Collection Activities: Notice of Intent To Renew      Collection 3038-0049, Procedural Requirements for Requests for      Interpretative, No-Action, and Exemptive Letters    

Notice

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**69 FR 9598 (March 1,      2004)**

      Agency Information Collection Activities: Notice of Intent To Renew      Collection 3038-0055, Privacy of Consumer Financial Information    

Notice

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**69 FR 8180 (February 23,      2004)**

      Agency Information Collection Activities: Notice of Intent To Renew      Collection 3038-0054, Establishing Procedures To Implement the      Notification Requirements for Entities Operating as Exempt Markets    

Notice

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**69 FR 8181 (February 23,      2004)**

      Agency Information Collection Activities: Notice of Intent To Renew      Collection 3038-0005, Rules Relating to the Operations and Activities of      Commodity Pool Operators and Commodity Trading Advisors and to Monthly      Reporting by Futures Commission Merchants    

Notice

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**CFTC Privacy      Policy**