Monday, 

April 30, 2007 

Part XLVI 

Commodity Futures 

Trading Commission 

Semiannual Regulatory Agenda 

23442 Federal Register / Vol. 72, No. 82 / Monday, April 30, 2007 / Unified Agenda 

1The 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 that 

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 Web site (http://www.cftc.gov) that lists rules 

that the Commission is considering or will consider 

in the near future. 

COMMODITY FUTURES TRADING COMMISSION (CFTC) 

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 

that 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: 

Eileen A. Donovan, Acting Secretary of 

the Commission, Commodity Futures 

Trading Commission, 1155 21st Street 

NW., Washington, DC 20581; (202) 418- 

5096, edonovan@cftc.gov. 

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: 

Semiannually, 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 that 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 that 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 2007 

regulatory flexibility agenda is set forth 

below. 

Issued in Washington, DC on February 

28, 2007, by the Commission. 

Eileen A. Donovan, 

Acting Secretary of the Commission. 

Commodity Futures Trading Commission—Proposed Rule Stage 

Sequence 

Number Title 

Regulation 

Identifier 

Number 

3349 Offering and Selling Security Futures Products Traded on Foreign Boards of Trade to United States Persons; Requirements for Foreign Stock Index Contracts To Qualify as Non-Narrow-Based Indices ........................................ 3038–AB75 

3350 Interagency Proposal To Consider Alternative Forms of Privacy Notices Under the Gramm-Leach-Bliley Act .......... 3038–AC04 

3351 Execution of Off-Centralized Market Transactions: Regulation 1.38 and Guidance on Core Principle 9 .................... 3038–AC07 

3352 Exemption From Registration for Certain Foreign Persons .......................................................................................... 3038–AC26 

3353 Debt Securities Conforming Amendments .................................................................................................................... 3038–AC31 

3354 Exemption From Federal Speculative Position Limits .................................................................................................. 3038–AC36 

3355 Registration of Futures Commission Merchants, Introducing Brokers, Commodity Trading Advisors, Commodity 

Pool Operators and Leverage Transaction Merchants ............................................................................................... 3038–AC37 

3356 Extension of Time for Commodity Pool Operators To File Pool Annual Reports ........................................................ 3038–AC38 

3357 Technical and Clarifying Amendments to Part 40 of the Commission’s Regulations .................................................. 3038–AC39 

3358 Periodic Revision of Federally Established Position Limits .......................................................................................... 3038–AC40 

Commodity Futures Trading Commission—Completed Actions 

Sequence 

Number Title 

Regulation 

Identifier 

Number 

3359 Limitations on Withdrawals of Equity Capital ................................................................................................................ 3038–AC27 

3360 Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations ................................................................. 3038–AC28 

3361 Electronic Filing of Notices of Exemption or Exclusion Under Part 4 of the Commission’s Regulations .................... 3038–AC33 

Federal Register / Vol. 72, No. 82 / Monday, April 30, 2007 / Unified Agenda 23443 

CFTC 

Commodity Futures Trading Commission—Completed Actions (Continued) 

Sequence 

Number Title 

Regulation 

Identifier 

Number 

3362 Introducing Broker Electronic Filing of Annual Reports ................................................................................................ 3038–AC34 

3363 Advertising by Commodity Pool Operators, Commodity Trading Advisors, and the Principals Thereof ..................... 3038–AC35 

Commodity Futures Trading Commission (CFTC) Proposed Rule Stage 

3349. OFFERING AND SELLING 

SECURITY FUTURES PRODUCTS 

TRADED ON FOREIGN BOARDS OF 

TRADE TO UNITED STATES 

PERSONS; 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, 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 issue: (1) 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, 

and (2) rules and regulations that set 

forth the requirements for foreign stock 

index contracts to qualify as nonnarrow-based indices. 

Timetable: 

Action Date FR Cite 

NPRM 04/00/07 

Regulatory Flexibility Analysis 

Required: No 

Government Levels Affected: None 

Agency Contact: Elizabeth L. Ritter, 

Deputy General Counsel, Office of 

General Counsel, Commodity Futures 

Trading Commission, Three Lafayette 

Centre, 1155 21st Street NW., 

Washington, DC 20581 

Phone: 202 418–5052 

Fax: 202 418–5524 

Email: eritter@cftc.gov 

Thomas M. Leahy Jr., Associate 

Director for Product Review, Division 

of Market Oversight, Commodity 

Futures Trading Commission, Three 

Lafayette Centre, 1155 21st Street NW., 

Washington, DC 20581 

Phone: 202 418–5278 

Fax: 202 418–5527 

Email: tleahy@cftc.gov 

Related RIN: Related to 3038–AB78 

RIN: 3038–AB75 

3350. INTERAGENCY PROPOSAL TO 

CONSIDER ALTERNATIVE FORMS OF 

PRIVACY NOTICES UNDER THE 

GRAMM–LEACH–BLILEY ACT 

Priority: Substantive, Nonsignificant 

Legal Authority: 7 USC 7b–2; 7 USC 

12a(5); 15 USC 6801 et seq 

CFR Citation: 17 CFR 160 

Legal Deadline: None 

Abstract: Subtitle A of the GrammLeach-Bliley Act (GLB Act), captioned 

Disclosure of Nonpublic Personal 

Information (15 U.S.C. 6801 et seq.), 

requires each financial institution to 

provide a notice of its privacy policies 

and practices to its consumer 

customers. In general, the privacy 

notices must describe a financial 

institution’s policies and practices with 

respect to disclosing nonpublic 

personal information about a consumer 

to both affiliated and nonaffiliated third 

parties, and provide a consumer a 

reasonable opportunity to direct the 

institution not to share nonpublic 

personal information about the 

consumer with nonaffiliated third 

parties. The GLB Act agencies, which 

include eight Federal regulators 

including the CFTC, have published 

substantially identical regulations to 

implement GLB title V, known 

collectively as the ‘‘privacy rule.’’ Many 

notices issued under the privacy rule 

were long and complex, and difficult 

to compare with each other. 

The Financial Services Regulatory 

Relief Act of 2006 amended the GLB 

Act, requiring the agencies to propose 

a model form to consumers. This socalled ‘‘safe harbor’’ model form is set 

forth in the joint NPRM issued by the 

GLB Act agencies in March. The NPRM 

seeks comment on the content and form 

of the form, among other matters. The 

NPRM was developed jointly by the 

Board of Governors of the Federal 

Reserve System, the Federal Deposit 

Insurance Corporation, the Federal 

Trade Commission, the National Credit 

Union Administration, the Office of the 

Comptroller of the Currency, the Office 

of Thrift Supervision, the Securities 

and Exchange Commission and the 

CFTC. The comments will be 

considered by all the GLB Act agencies 

before adopting a final rule. 

Timetable: 

Action Date FR Cite 

ANPRM 12/30/03 68 FR 75164 

ANPRM Comment 

Period End 

03/29/04 

NPRM 03/29/07 72 FR 14939 

NPRM Comment 

Period End 

05/29/07 

Regulatory Flexibility Analysis 

Required: No 

Small Entities Affected: Businesses 

Government Levels Affected: Federal 

Agency Contact: Laura M. Richards, 

Deputy General Counsel, Office of 

General Counsel, Commodity Futures 

Trading Commission, Three Lafayette 

Centre, 1155 21st Street NW., 

Washington, DC 20581 

Phone: 202 418–5126 

Fax: 202 418–5524 

Email: lrichards@cftc.gov 

RIN: 3038–AC04 

23444 Federal Register / Vol. 72, No. 82 / Monday, April 30, 2007 / Unified Agenda 

CFTC Proposed Rule Stage 

3351. EXECUTION OF 

OFF–CENTRALIZED MARKET 

TRANSACTIONS: REGULATION 1.38 

AND GUIDANCE ON CORE PRINCIPLE 

9 

Priority: Substantive, Nonsignificant 

Legal Authority: 7 USC 1 et seq, as 

amended by PL 106–554, 114 Stat 2763 

CFR Citation: 17 CFR 1; 17 CFR 38 

Legal Deadline: None 

Abstract: Since the Commission 

originally promulgated Regulation 1.38, 

the Commodity Futures Modernization 

Act of 2000 (CFMA) was signed into 

law. The CFMA, among other things, 

specifically expanded the allowable 

transactions that could be executed off 

the centralized market. The 

Commission has proposed amendments 

to its rules concerning trading off the 

centralized market, including the 

addition of guidance on contract market 

block trading rules, in light of further 

administrative experience with, and 

consideration of, the implications of the 

CFMA. 

Timetable: 

Action Date FR Cite 

NPRM 07/01/04 69 FR 39880 

NPRM Comment 

Period End 

08/30/04 

Second NPRM 10/00/07 

Second NPRM 

Comment Period 

End 

12/00/07 

Regulatory Flexibility Analysis 

Required: No 

Small Entities Affected: No 

Government Levels Affected: None 

Agency Contact: Riva Spear Adriance, 

Associate Deputy Director, Division of 

Market Oversight, Commodity Futures 

Trading Commission, Three Lafayette 

Centre, 1155 21st Street NW., 

Washington, DC 20581 

Phone: 202 418–5494 

Fax: 202 418–5507 

Email: radriance@cftc.gov 

Gabrielle A. Sudik, Special Counsel, 

Division of Market Oversight, 

Commodity Futures Trading 

Commission, Three Lafayette Centre, 

1155 21st Street NW., Washington, DC 

20581 

Phone: 202 418–5171 

Fax: 202 418–5507 

Email: gsudik@cftc.gov 

RIN: 3038–AC07 

3352. EXEMPTION FROM 

REGISTRATION FOR CERTAIN 

FOREIGN PERSONS 

Priority: Substantive, Nonsignificant 

Legal Authority: 7 USC 6d ; 7 USC 

6m 

CFR Citation: 17 CFR 3.10(c) 

Legal Deadline: None 

Abstract: The Commission is proposing 

to amend its regulations regarding 

registration to permit certain foreign 

firms located outside the U.S. that limit 

their customers to foreign customers to 

clear their U.S. contract market 

business on an omnibus basis through 

a registered futures commission 

merchant without having to register as 

a futures commission merchant 

pursuant to section 4d of the 

Commodity Exchange Act. 

Timetable: 

Action Date FR Cite 

NPRM 04/02/07 72 FR 15637 

NPRM Comment 

Period End 

05/02/07 

Regulatory Flexibility Analysis 

Required: No 

Small Entities Affected: No 

Government Levels Affected: None 

Agency Contact: Andrew V. Chapin, 

Special Counsel, Division of Clearing 

and Intermediary Oversight, 

Commodity Futures Trading 

Commission, Three Lafayette Centre, 

1155 21st Street NW., Washington, DC 

20581 

Phone: 202 418–5465 

Fax: 202 418–5536 

Email: achapin@cftc.gov 

RIN: 3038–AC26 

3353. DEBT SECURITIES 

CONFORMING AMENDMENTS 

Priority: Substantive, Nonsignificant 

Legal Authority: 7 USC 1 et seq, as 

amended by PL 106–554, 114 Stat 2763 

CFR Citation: 17 CFR 41 

Legal Deadline: None 

Abstract: On July 13, 2006, the 

Commodity Futures Trading 

Commission (‘‘CFTC’’) and the 

Securities and Exchange Commission 

(‘‘SEC’’) issued joint final rules to 

permit the trading of futures contracts 

based on individual debt securities and 

indexes comprised of individual debt 

securities. The effective date for the 

joint rules is August 14, 2006. The 

present language of several CFTC rules 

is not fully consistent with the offer 

and trading of futures contracts based 

on debt securities. Therefore the CFTC 

is proposing to adopt several 

conforming amendments that clarify the 

applicability of the rules to futures 

contracts based on debt. 

Timetable: 

Action Date FR Cite 

NPRM 10/00/07 

NPRM Comment 

Period End 

12/00/07 

Regulatory Flexibility Analysis 

Required: No 

Small Entities Affected: No 

Government Levels Affected: None 

Agency Contact: Bruce Fekrat, Special 

Counsel, Division of Market Oversight, 

Commodity Futures Trading 

Commission, Three Lafayette Centre, 

1155 21st Street NW., Washington, DC 

20581 

Phone: 202 418–5578 

Fax: 202 418–5527 

Email: bfekrat@cftc.gov 

RIN: 3038–AC31 

3354. EXEMPTION FROM FEDERAL 

SPECULATIVE POSITION LIMITS 

Priority: Substantive, Nonsignificant 

Legal Authority: 7 USC 6a 

CFR Citation: 17 CFR 150 

Legal Deadline: None 

Abstract: In recent years, the 

Commission has received requests for 

exemption or relief from Federal 

speculative position limits, as various 

entities seek to gain commodity price 

exposure by tracking an index that 

contains, among other things, futures 

contracts that are subject to such limits. 

Commission staff is considering 

different approaches for providing relief 

or exemption to commodity-indexrelated futures positions from Federal 

speculative position limits. 

Timetable: 

Action Date FR Cite 

NPRM 08/00/07 

NPRM Comment 

Period End 

09/00/07 

Regulatory Flexibility Analysis 

Required: No 

Small Entities Affected: No 

Government Levels Affected: None 

Federal Register / Vol. 72, No. 82 / Monday, April 30, 2007 / Unified Agenda 23445 

CFTC Proposed Rule Stage 

Agency Contact: Donald H. Heitman, 

Senior Special Counsel, Division of 

Market Oversight, Commodity Futures 

Trading Commission, Three Lafayette 

Centre, 1155 21st Street NW., 

Washington, DC 20581 

Phone: 202 418–5041 

Fax: 202 418–5507 

Email: dheitman@cftc.gov 

RIN: 3038–AC36 

3355. ∑ REGISTRATION OF FUTURES 

COMMISSION MERCHANTS, 

INTRODUCING BROKERS, 

COMMODITY TRADING ADVISORS, 

COMMODITY POOL OPERATORS AND 

LEVERAGE TRANSACTION 

MERCHANTS 

Priority: Substantive, Nonsignificant 

Legal Authority: 7 USC 6f; 7 USC 6n; 

7 USC 23 

CFR Citation: 17 CFR 3.10 

Legal Deadline: None 

Abstract: The Commission is proposing 

to re-institute a procedure that will 

require registered intermediaries, 

including futures commission 

merchants, introducing brokers, 

commodity pool operators, commodity 

trading advisors, and leverage 

transaction merchants, to review, on an 

annual basis, the registration 

information maintained with the 

National Futures Association. 

Registrants will be required to complete 

the update electronically in accordance 

with procedures to be established by 

the National Futures Association. 

Timetable: 

Action Date FR Cite 

NPRM 04/00/07 

NPRM Comment 

Period End 

05/00/07 

Regulatory Flexibility Analysis 

Required: No 

Government Levels Affected: None 

Agency Contact: Helene D. Schroeder, 

Special Counsel, Division of Clearing 

and Intermediary Oversight, 

Commodity Futures Trading 

Commission, Three Lafayette Centre, 

1155 21st Street NW, Washington, DC 

20581 

Phone: 202 418–5424 

Fax: 202 418–5528 

Email: hschroeder@cftc.gov 

RIN: 3038–AC37 

3356. ∑ EXTENSION OF TIME FOR 

COMMODITY POOL OPERATORS TO 

FILE POOL ANNUAL REPORTS 

Priority: Substantive, Nonsignificant 

Legal Authority: 7 USC 6n 

CFR Citation: 17 CFR 4.7; 17 CFR 4.22 

Legal Deadline: None 

Abstract: Registered commodity pool 

operators must prepare, distribute and 

file annual reports for each pool that 

they operate within 90 days of the end 

of the pool’s fiscal year. Under 

Commission Regulation 4.22(f)(2), 

operators of pools that invest in other 

funds may claim an extension of an 

additional 60 days with respect to the 

annual report. The Commission is 

considering amending Regulation 

4.22(f)(2) to increase the extension for 

annual reports of funds that invest in 

other funds from 60 to 90 days. 

Timetable: 

Action Date FR Cite 

NPRM 04/00/07 

Regulatory Flexibility Analysis 

Required: No 

Small Entities Affected: No 

Government Levels Affected: None 

Agency Contact: Eileen R. Chotiner, 

Futures Trading Specialist, Division of 

Clearing and Intermediary Oversight, 

Commodity Futures Trading 

Commission, Three Lafayette Centre, 

1155 21st Street NW., Washington, DC 

20581 

Phone: 202 418–5467 

Fax: 202 418–5536 

Email: echotiner@cftc.gov 

RIN: 3038–AC38 

3357. ∑ TECHNICAL AND CLARIFYING 

AMENDMENTS TO PART 40 OF THE 

COMMISSION’S REGULATIONS 

Priority: Substantive, Nonsignificant 

Legal Authority: 7 USC 1 et seq, as 

amended by PL 106–554, 114 Stat 2763 

CFR Citation: 17 CFR 40 

Legal Deadline: None 

Abstract: The Commission is proposing 

several technical and clarifying 

amendments to part 40 of the 

Commission’s regulations to align the 

requirements of that part with the 

Commission’s current regulatory 

practice and interpretations. The 

proposed amendments intend to 

accomplish, among other things, the 

following: (1) Clarify that registered 

entity rules, in general, must be 

implemented pursuant to the process 

for self-certification or pursuant to a 

request for Commission approval, (2) 

clarify that the rules and contracts of 

dormant registered entities will 

automatically be deemed dormant; (3) 

clarify that persons, other than 

governing board members, may declare 

emergencies on behalf of a designated 

contract market or derivatives 

transaction execution facility; (4) clarify 

the implementation time limits 

applicable to newly self-certified 

products and rules; (5) clarify the 

approval time limits applicable to 

certain agricultural rule changes; and 

(6) codify additional categories of rules 

that may be implemented without 

certification or notification because 

they are routine rules and rule 

amendments or are otherwise already 

reported to the Commission. 

Timetable: 

Action Date FR Cite 

NPRM 05/00/07 

NPRM Comment 

Period End 

06/00/07 

Regulatory Flexibility Analysis 

Required: No 

Small Entities Affected: No 

Government Levels Affected: None 

Agency Contact: Bruce Fekrat, Special 

Counsel, Division of Market Oversight, 

Commodity Futures Trading 

Commission, Three Lafayette Centre, 

1155 21st Street NW., Washington, DC 

20581 

Phone: 202 418–5578 

Fax: 202 418–5527 

Email: bfekrat@cftc.gov 

RIN: 3038–AC39 

3358. ∑ PERIODIC REVISION OF 

FEDERALLY ESTABLISHED POSITION 

LIMITS 

Priority: Substantive, Nonsignificant 

Legal Authority: 7 USC 1 et seq, as 

amended by PL 106–554, 114 Stat 2763 

CFR Citation: 17 CFR 150 

Legal Deadline: None 

Abstract: The Commission establishes 

speculative position limits for futures 

and options contracts based on various 

agricultural commodities in 

Commission regulation 150.2. Pursuant 

to its periodic position limits regulatory 

framework suitability review, and in 

23446 Federal Register / Vol. 72, No. 82 / Monday, April 30, 2007 / Unified Agenda 

CFTC Proposed Rule Stage 

response to prevailing market 

conditions, the Commission proposes to 

update these limits for all single-month 

and all-months-combined positions. In 

addition, the Commission proposes 

certain conforming and technical 

amendments to part 150 of the 

Commission’s regulations. 

Timetable: 

Action Date FR Cite 

NPRM 07/00/07 

NPRM Comment 

Period End 

08/00/07 

Regulatory Flexibility Analysis 

Required: No 

Small Entities Affected: No 

Government Levels Affected: None 

Agency Contact: Donald H. Heitman, 

Senior Special Counsel, Division of 

Market Oversight, Commodity Futures 

Trading Commission, Three Lafayette 

Centre, 1155 21st Street NW., 

Washington, DC 20581 

Phone: 202 418–5041 

Fax: 202 418–5507 

Email: dheitman@cftc.gov 

RIN: 3038–AC40 

Commodity Futures Trading Commission (CFTC) Completed Actions 

3359. LIMITATIONS ON 

WITHDRAWALS OF EQUITY CAPITAL 

Priority: Substantive, Nonsignificant 

CFR Citation: 17 CFR 1.12; 17 CFR 

1.17 

Completed: 

Reason Date FR Cite 

Final Action 01/10/07 72 FR 1148 

Final Action Effective 03/12/07 

Regulatory Flexibility Analysis 

Required: No 

Small Entities Affected: No 

Government Levels Affected: None 

Agency Contact: Thelma Diaz 

Phone: 202 418–5137 

Fax: 202 418–5536 

Email: tdiaz@cftc.gov 

RIN: 3038–AC27 

3360. CONFLICTS OF INTEREST IN 

SELF–REGULATION AND 

SELF–REGULATORY 

ORGANIZATIONS 

Priority: Substantive, Nonsignificant 

CFR Citation: 17 CFR part 38 

Completed: 

Reason Date FR Cite 

Final Action 02/14/07 72 FR 6936 

Regulatory Flexibility Analysis 

Required: No 

Small Entities Affected: No 

Government Levels Affected: None 

Agency Contact: Rachel F. Berdansky 

Phone: 202 418–5641 

Email: rberdansky@cftc.gov 

RIN: 3038–AC28 

3361. ELECTRONIC FILING OF 

NOTICES OF EXEMPTION OR 

EXCLUSION UNDER PART 4 OF THE 

COMMISSION’S REGULATIONS 

Priority: Substantive, Nonsignificant 

CFR Citation: 17 CFR 4.5 ; 17 CFR 4.7; 

17 CFR 4.12 to 4.14 

Completed: 

Reason Date FR Cite 

NPRM 10/13/06 71 FR 60454 

Final Action 01/16/07 72 FR 1658 

Final Action Effective 02/15/07 

Regulatory Flexibility Analysis 

Required: No 

Small Entities Affected: No 

Government Levels Affected: None 

Agency Contact: Eileen R. Chotiner 

Phone: 202 418–5467 

Fax: 202 418–5536 

Email: echotiner@cftc.gov 

RIN: 3038–AC33 

3362. INTRODUCING BROKER 

ELECTRONIC FILING OF ANNUAL 

REPORTS 

Priority: Substantive, Nonsignificant 

CFR Citation: 17 CFR 1.10; 17 CFR 

1.31 

Completed: 

Reason Date FR Cite 

Final Action 11/22/06 71 FR 67462 

Final Action Effective 12/22/06 

Regulatory Flexibility Analysis 

Required: No 

Small Entities Affected: No 

Government Levels Affected: None 

Agency Contact: Jennifer C.P. Bauer 

Phone: 202 418–5472 

Fax: 202–418–5547 

Email: jbauer@cftc.gov 

RIN: 3038–AC34 

3363. ADVERTISING BY COMMODITY 

POOL OPERATORS, COMMODITY 

TRADING ADVISORS, AND THE 

PRINCIPALS THEREOF 

Priority: Substantive, Nonsignificant 

CFR Citation: 17 CFR 4.41 

Completed: 

Reason Date FR Cite 

Final Action 02/23/07 72 FR 8106 

Final Action Effective 03/26/07 

Regulatory Flexibility Analysis 

Required: No 

Small Entities Affected: No 

Government Levels Affected: None 

Agency Contact: Barbara S. Gold 

Phone: 202 418–5450 

Fax: 202 418–5528 

Email: bgold@cftc.gov 

RIN: 3038–AC35 

[FR Doc. 07–01270 Filed 04–27–07; 8:45 am] 

BILLING CODE 6351–01–S