**CFTC 2006 Federal Register   Announcements**

Last modified on January 16, 2007

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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**71 FR 64171 (November 1, 2006)**

   17 CFR Part 170 Membership in a Registered Futures Association  

Comment Files 06--009, closing date   12/01/2006  

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**71 FR 60454 (October 13, 2006)**

   17 CFR Part 4 Electronic Filing of Notices of Exemption and Exclusion Under Part 4 of   the Commission's Regulations  

Comment Files 06--008, closing date   11/13/2006, see also 72 FR 1658 (January   16, 2007)  

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**71 FR 57451 (September 29, 2006)**

   17 CFR Part 1 Limitations on Withdrawals of Equity Capital  

Comment File 06--007, closing date   11/28/2006, see also 72 FR 1148 (January   10, 2007)  

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**71 FR 54789 (September 19, 2006)**

   17 CFR Part 1 Financial Reporting Requirements for Introducing Brokers  

Comment File 06--006, closing date   10/19/2006, see also 71 FR 67462   (November 22, 2006)

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**71 FR 52211 (September 1, 2006)**

   17 CFR Part 4 Advertising by Commodity Pool Operators, Commodity Trading Advisors, and   the Principals Thereof  

   Correction, see also 71 FR 49387 (August   23, 2006)

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**71 FR 49387 (August 23, 2006)**

   17 CFR Part 4 Advertising by Commodity Pool Operators, Commodity Trading Advisors, and   the Principals Thereof  

Comment File 06--005, closing date   09/22/2006  

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**71 FR 43681 (August 2, 2006)**

   17 CFR Part 38 Conflicts of Interest in Self-Regulation and Self- Regulatory   Organizations  

   Extension of comment period through 09/07/2006, see also files/foia/fedreg06/foi060707a.pdf">71 FR 38740 (July 7, 2006)

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**71 FR 40081 (July 14, 2006)**

   Boards of Trade Located Outside of the United States and the Requirement To Become a   Designated Contract Market or Derivatives Transaction Execution Facility  

   Extension of comment period through 08/01/2006, see also files/foia/fedreg06/foi060613a.pdf">71 FR 34070 (June 13, 2006)

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**71 FR 38740 (July 7, 2006)**

   17 CFR Part 38 Conflict of Interest in Self-Regulation and Self-Regulatory   Organizations  

Comment File 06--004, closing date   08/07/2006, see also 71 FR 43681 (August   2, 2006)

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**71 FR 35627 (June 21, 2006)**

   Comprehensive Review of the Commitments of Traders Reporting Program  

Comment File 06--003, closing date   08/21/2006  

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**71 FR 34070 (June 13, 2006)**

   Boards of Trade Located Outside of the United States and the Requirement To Become a   Designated Contract Market or Derivatives Transaction Execution Facility  

Comment File 06--002, closing date   07/12/2006, see also 71 FR 40081 (July   14, 2006), 71 FR 64443 (November 2,   2006)

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**71 FR 18030 (April 10, 2006)**

   17 CFR Part 41 Securities and Exchange Commission 17 CFR Part 240 Joint Proposed   Rules: Application of the Definition of Narrow-Based Securities Index to Debt   Securities Indexes and Securities Indexes and Security Futures on Debt Securities  

Comment File 06--001, closing date   05/10/2006, see also 71 FR 39534 (July   13, 2006)

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**71 FR 8889 (February 21, 2006)**

   17 CFR Parts 1, 145 and 147 Alternative Market Risk and Credit Risk Capital Charges   for Futures Commission Merchants and Specified Foreign Currency Forward and Inventory   Capital Charges  

   Correction, see also 71 FR 5587   (February 2, 2006)

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**71 FR 1463 (January 9, 2006)**

   17 CFR Part 4 Commodity Pool Operator Electronic Filing of Annual Reports  

   Corrections, see also 70 FR 74240   (December 15, 2005)

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

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**71 FR 74126 (December 11, 2006)**

   17 CFR Ch. I Regulatory Flexibility Agenda  

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**71 FR 67462 (November 22, 2006)**

   17 CFR Part 1 Financial Reporting Requirements for Introducing Brokers  

   Final rulemaking, effective date 12/22/2006, see also files/foia/fedreg06/foi060919a.pdf">71 FR 54789 (September 19 2006)

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**71 FR 64443 (November 2, 2006)**

   17 CFR Part 140 Boards of Trade Located Outside of the United States and No-Action   Relief From the Requirement To Become a Designated Contract Market or Derivatives   Transaction Execution Facility  

   Policy statement, effective date 11/02/2006, see also files/foia/fedreg06/foi060613a.pdf">71 FR 34070 (June 13, 2006)

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**71 FR 403952 (July 17, 2006)**

   17 CFR Part 30 Foreign Futures and Options Transactions  

   Amended Supplemental Order for Expanded Relief, effective date 07/17/2006  

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**71 FR 39672 (July 13, 2006)**

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

   Establishment of the FY 2006 schedule of fees, effective dates: The FY 2006 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 September 11, 2006.  

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**71 FR 39671 (July 13, 2006)**

   Notice of Renewal of the Global Markets Advisory Committee  

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**71 FR 39534 (July 13, 2006)**

   17 CFR Part 41 Securities and Exchange Commission 17 CFR Part 240 Joint Final Rules:   Application of the Definition of Narrow-Based Security Index to Debt Securities   Indexes and Security Futures on Debt Securities  

   Joint final rules, effective date 08/14/2006, see also files/foia/fedreg06/foi060410a.pdf">71 FR 18030 (April 10, 2006)

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**71 FR 37809 (July 3, 2006)**

   17 CFR Parts 1, 15, 16, 17, 18, 19, 21, and 37 Market and Large Trader Reporting  

   Final Rules effective date 07/03/2006, see also files/foia/fedreg05/foi051215b.pdf">70 FR 74246 (December 15, 2005)

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**71 FR 23542 (April 24, 2006)**

   17 CFR Ch. I Regulatory Flexibility Agenda  

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**71 FR 21003 (April 24, 2006)**

   Corrections to the Notice of Revision of Commission Policy Regarding the Listing of   New Futures and Option Contracts by Foreign Boards of Trade That Have Received Staff   No-Action Relief To Provide Direct Access to Their Automated Trading Systems From   Locations In the United States  

   Notice, see also 71 FR 19877 (April 18,   2006)

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**71 FR 19877 (April 18, 2006)**

   Notice of Revision of Commission Policy Regarding the Listing of New Futures and   Option Contracts by Foreign Boards of Trade That Have Received Staff No-Action Relief   to Provide Direct Access to Their Automated Trading Systems From Locations in the   United States  

   Notice, effective date 04/18/2006, see also files/foia/fedreg06/foi060424a.pdf">71 FR 21003 (April 24, 2006)

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**71 FR 10958 (March 3, 2006)**

   Recognition of Multilateral Clearing Organizations  

   Notice and order, effective date 02/27/2006  

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**71 FR 9442 (February 24, 2006)**

   17 CFR Part 1 Definition of "Client" of a Commodity Trading Advisor  

   Final regulations, effective date03/27/2006, see also files/foia/fedreg05/foi050928a.pdf">70 FR 56608 (September 28, 2005)

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**71 FR 8939 (February 22, 2006)**

   17 CFR Part 4 Commodity Pool Operator Electronic Filing of Annual Reports  

   Final rulemaking, effective date 03/24/2006, see also files/foia/fedreg05/foi051215a.pdf">70 FR 74240 (December 15, 2005)

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**71 FR 6759 (February 9, 2006)**

   Foreign Futures and Options Transactions  

   Order, effective date 02/09/2006  

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**71 FR 6755 (February 9, 2006)**

   In the Matter of the New York Mercantile Exchange, Inc. Petition To Extend   Interpretation Pursuant to Section 1a (12) (C) of the Commodity Exchange Act  

   Order, effective date 02/04/2006  

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**71 FR 5587 (February 2, 2006)**

   17 CFR Parts 1, 145 and 147 Alternative Market Risk and Credit Risk Capital Charges   for Futures Commission Merchants and Specified Foreign Currency Forward and Inventory   Capital Charges  

   Final rule, effective date 02/02/2006, see also files/foia/fedreg05/foi051011a.pdf">70 FR 58985 (October 11, 2005), files/foia/fedreg06/foi060221a.pdf">71 FR 8889 (February 21, 2006)

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**71 FR 1953 (January 12, 2006)**

   17 CFR Parts 36, 37, 38, 39 and 40 Technical and Clarifying Amendments to Rules for   Exempt Markets, Derivatives Transaction Execution Facilities and Designated Contract   Markets, and Procedural Changes for Derivatives Clearing Organization Registration   Applications  

   Final rulemaking, effective date 02/13/2006, see also files/foia/fedreg05/foi050711a.pdf">70 FR 39672 (July 11, 2005)

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

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**71 FR 76279 (December 20, 2006)**

   Notice of Sunshine Act Meetings  

   Closed Commission Meeting 01/26/2007  

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**71 FR 76279 (December 20, 2006)**

   Notice of Sunshine Act Meetings  

   Closed Commission Meeting 01/19/2007  

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**71 FR 76279 (December 20, 2006)**

   Notice of Sunshine Act Meetings  

   Closed Commission Meeting 01/12/2007  

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**71 FR 76279 (December 20, 2006)**

   Notice of Sunshine Act Meetings  

   Closed Commission Meeting 01/05/2007  

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**71 FR 66919 (November 17, 2006)**

   Sunshine Act Meeting Notice  

   Closed Commission Meeting 12/29/2006  

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**71 FR 66919 (November 17, 2006)**

   Sunshine Act Meeting Notice  

   Closed Commission Meeting 12/22/2006  

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**71 FR 66919 (November 17, 2006)**

   Sunshine Act Meeting Notice  

   Closed Commission Meeting 12/15/2006  

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**71 FR 66919 (November 17, 2006)**

   Sunshine Act Meeting Notice  

   Closed Commission Meeting 12/08/2006  

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**71 FR 66919 (November 17, 2006)**

   Sunshine Act Meeting Notice  

   Closed Commission Meeting 12/01/2006  

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**71 FR 62252 (October 24, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 11/26/2006  

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**71 FR 61031 (October 17, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 11/24/2006  

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**71 FR 61031 (October 17, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 11/17/2006  

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**71 FR 61031 (October 17, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 11/03/2006  

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**71 FR 58806 (October 5, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 10/25/2006  

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**71 FR 5480 (September 19, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 10/27/2006  

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**71 FR 5480 (September 19, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 10/20/2006  

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**71 FR 5480 (September 19, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 10/13/2006  

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**71 FR 5480 (September 19, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 10/06/2006  

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**71 FR 47780 (August 18, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 09/29/2006  

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**71 FR 47780 (August 18, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 09/22/2006  

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**71 FR 47780 (August 18, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 09/15/2006  

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**71 FR 47780 (August 18, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 09/08/2006  

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**71 FR 47780 (August 18, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 09/01/2006  

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**71 FR 44262 (August 4, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 08/25/2006  

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**71 FR 44262 (August 4, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 08/18/2006  

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**71 FR 44262 (August 4, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 08/11/2006  

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**71 FR 44262 (August 4, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 08/04/2006  

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**71 FR 40082 (July 14, 2006)**

   Sunshine Act Notice; Agricultural Advisory Committee Meeting  

   Open Commission Meeting 08/01/2006  

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**71 FR 34898 (June 16, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 07/28/2006  

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**71 FR 34898 (June 16, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 07/21/2006  

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**71 FR 34898 (June 16, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 07/14/2006  

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**71 FR 34897 (June 16, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 07/07/2006  

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**71 FR 34308 (June 14, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 06/16/2006  

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**71 FR 32059 (June 2, 2006)**

   Sunshine Act Meeting  

   Changes in the Hearing: The time of the public hearing on the issue of What   constitutes a Board of Trade Located Outside of the United States Under Section 4 (a)   of the Commodity Exchange Act has been changed to 9 a.m. on 6/27/2006  

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**71 FR 30877 (May 31, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 06/16/2006  

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**71 FR 30665 (May 30, 2006)**

   Sunshine Act Meeting  

   Open Commission Meeting 06/27/2006, see also files/foia/fedreg06/foi060602a.pdf">71 FR 32059 (June 2, 2006)

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**71 FR 28668 (May 17, 2006)**

   Sunshine Act Meetings  

   Closed Commission Meeting 06/30/2006  

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**71 FR 28668 (May 17, 2006)**

   Sunshine Act Meetings  

   Closed Commission Meeting 06/23/2006  

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**71 FR 28668 (May 17, 2006)**

   Sunshine Act Meetings  

   Closed Commission Meeting 06/16/2006  

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**71 FR 28668 (May 17, 2006)**

   Sunshine Act Meetings  

   Closed Commission Meeting 06/09/2006  

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**71 FR 28668 (May 17, 2006)**

   Sunshine Act Meetings  

   Closed Commission Meeting 06/02/2006  

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**71 FR 19878 (April 18, 2006)**

   Sunshine Act Meetings  

   Closed Commission Meeting 05/26/2006  

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**71 FR 19878 (April 18, 2006)**

   Sunshine Act Meetings  

   Closed Commission Meeting 05/19/2006  

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**71 FR 19878 (April 18, 2006)**

   Sunshine Act Meetings  

   Closed Commission Meeting 05/12/2006  

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**71 FR 19878 (April 18, 2006)**

   Sunshine Act Meetings  

   Closed Commission Meeting 05/05/2006  

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**71 FR 13587 (March 16, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 04/28/2006  

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**71 FR 13587 (March 16, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 04/21/2006  

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**71 FR 13587 (March 16, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 04/14/2006  

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**71 FR 13587 (March 16, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 04/07/2006  

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**71 FR 9786 (February 27, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 03/08/2006  

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**71 FR 9096 (February 22, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 03/31/2006  

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**71 FR 9096 (February 22, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 03/24/2006  

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**71 FR 9096 (February 22, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 03/17/2006  

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**71 FR 9096 (February 22, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 03/10/2006  

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**71 FR 9096 (February 22, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 03/03/2006  

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**71 FR 2529 (January 17, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 02/24/2006  

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**71 FR 2529 (January 17, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 02/17/2006  

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**71 FR 2529 (January 17, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 02/10/2006  

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**71 FR 2529 (January 17, 2006)**

   Sunshine Act Meeting  

   Closed Commission Meeting 02/03/2006  

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**======================== SECTION E   ========================**

**CFTC Public Information Collection Requirements**

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**71 FR 77740 (December 27,2006)**

   Agency Information Collection Activities: Notice of Intent to Renew Collection   3038-0019, Stocks of Grain in Licenses Warehouses  

   Notice  

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**71 FR 59448 (October 10, 2006)**

   Public Information Collection requirement Submitted to Office of Management and Budget   (OMB) for Review  

   Notice of Submission of Information Collection 3038 - 0017, Market Surveys  

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**71 FR 52323 (September 5, 2006)**

   Agency Information Collection Activities Under OMB Review  

   Notice; Information collection 3038-0031, Procurement  

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**71 FR 42818 (July 28, 2006)**

   Agency Information Collection Activities: Notice of Intent to Renew Collection   3038-0017, Market Surveys  

   Notice  

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**71 FR 36328 (June 26, 2006)**

   Agency Information Collection Activities: Notice of Intent To Renew Collection   3038-0031, Procurement Contracts  

   Notice  

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**71 FR 24649 (April 26, 2006)**

   Agency Information Collection Activities Under OMB Review  

   Notice; Information Collection 3038-0043, Rules Relating to Review of National Futures   Association Decision in Disciplinary, Membership Denial, Registration, and Member   Responsibility Actions.  

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**71 FR 6455 (February 8, 2006)**

   Agency Information Collection Activities: Notice of Intent To Renew Collection   3038-0043, Rules Relating To Review of National Futures Association Decisions in   Disciplinary, Membership Denial, Registration, and Member Responsibility Actions  

   Notice  

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**CFTC Privacy   Policy**