[The Regulatory Plan and Unified Agenda of Federal Regulatory and Deregulatory Actions]
[Commodity Futures Trading Commission Semiannual Regulatory Agenda]
[From the U.S. Government Printing Office, www.gpo.gov]


[[Page 74821]]

Part XLVIII





Commodity Futures Trading Commission





_______________________________________________________________________



Semiannual Regulatory Agenda

[[Page 74822]]



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 which the Commission expects to 
propose or promulgate over the next year. For this edition of the 
Commission's agenda, the most important and significant regulatory 
actions are included in the Regulatory Plan, which appears in part II 
of this issue of the Federal Register. The Regulatory Plan entries are 
listed in the table of contents below and are denoted by a bracketed 
bold reference, which directs the reader to the appropriate sequence 
number in part II. 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, irrespective of their potential 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 October 2000 regulatory flexibility agenda is 
set forth below.

Issued in Washington, DC, on August 28, 2000 by the Commission.

 Jean A. Webb,

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, 
an advisory 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
----------------------------------------------------------------------------------------------------------------
4398         Denomination of Customer Funds and Location of Depositories........................     3038-AB31
4399         Segregated Account; Daily Computation and Record...................................     3038-AB52
----------------------------------------------------------------------------------------------------------------


                             Commodity Futures Trading Commission--Final Rule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
4400         Performance Disclosures for Commodity Trading Advisors and Commodity Pool Operators     3038-AB39
4401         Public Reporting by Operators of Certain Large Commodity Pools--Regulations 4.7,        3038-AB40
            4.12, and 4.27......................................................................
4402         Market Rule Review Procedures......................................................     3038-AB44
4403         Registration Exemptions Pertaining to the Offer and Sale of Foreign Futures and         3038-AB45
            Foreign Options Contracts to Customers Located in the United States.................
4404         Revision of Commission's Procedure for the Review of Contract Market Rules.........     3038-AB50
4405         Minimum Financial Requirements for Futures Commission Merchants and Introducing         3038-AB54
            Brokers.............................................................................

[[Page 74823]]

 
4406         New Regulatory Framework for Multilateral Transaction Execution Facilities,             3038-AB55
            Intermediaries, and Clearing Organizations (Reg Plan Seq No. 164)...................
4407         Rules Relating to Intermediaries of Commodity Interest Transactions (Reg Plan Seq       3038-AB56
            No. 165)............................................................................
4408         New Regulatory Framework for Clearing Organizations (Reg Plan Seq No. 166).........     3038-AB57
4409         Exemption for Bilateral Transactions (Reg Plan Seq No. 167)........................     3038-AB58
----------------------------------------------------------------------------------------------------------------
References in boldface appear in the Regulatory Plan in Part II of this issue of the Federal Register.


                             Commodity Futures Trading Commission--Completed Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
4410         Exclusion for Certain Otherwise Regulated Persons From the Definition of the Term       3038-AB34
            ``Commodity Pool Operator''.........................................................
4411         Insider Trading--Regulation 1.59...................................................     3038-AB35
4412         Definition of a Principal..........................................................     3038-AB36
4413         Rule 4.7: Exemption From Certain Part 4 Requirements With Respect to Qualified          3038-AB37
            Eligible Participants and Qualified Eligible Clients................................
4414         Contingent EFP Prohibition.........................................................     3038-AB41
4415         Direct Foreign Order Transmittal...................................................     3038-AB46
4416         Minimum Financial Requirements for Futures Commission Merchants and Introducing         3038-AB49
            Brokers.............................................................................
4417         Minimum Financial Requirements for Futures Commission Merchants and Introducing         3038-AB51
            Brokers.............................................................................
4418         Profile Documents for Commodity Pools..............................................     3038-AB60
----------------------------------------------------------------------------------------------------------------

_______________________________________________________________________


Commodity Futures Trading Commission (CFTC)         Proposed Rule Stage


  



_______________________________________________________________________




4398. DENOMINATION OF CUSTOMER FUNDS AND LOCATION OF DEPOSITORIES

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 1a; 7 USC 2; 7 USC 2a; 7 USC 4; 7 USC 4a; 7 USC 
6; 7 USC 6a to 6h; 7 USC 6l

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                            12/00/00
NPRM Comment Period End         02/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: James L. Carley, Attorney, Division of Trading and 
Markets, Commodity Futures Trading Commission, Three Lafayette Centre, 
1155 21st Street NW, Washington, DC 20581
Phone: 202 418-5438
Email: [email protected]

RIN: 3038-AB31
_______________________________________________________________________




4399.  SEGREGATED ACCOUNT; DAILY COMPUTATION AND RECORD

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 6d

CFR Citation: 17 CFR 1.32

Legal Deadline: None

Abstract: The Commodity Futures Trading Commission is proposing to 
amend Rule 1.32 to provide that a futures commission merchant (FCM), 
when computing its segregation requirement, may offset deficits in 
customer accounts with readily marketable securities deposited by such 
customers to margin their futures and option positions.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            10/00/00
NPRM Comment Period End         11/00/00

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-AB52

[[Page 74824]]

_______________________________________________________________________


Commodity Futures Trading Commission (CFTC)            Final Rule Stage


  



_______________________________________________________________________




4400. 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                    10/00/00
Final Action Effective          12/00/00

Regulatory Flexibility Analysis Required: Undetermined

Small Entities Affected: 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
_______________________________________________________________________




4401. PUBLIC REPORTING BY OPERATORS OF CERTAIN LARGE COMMODITY POOLS--
REGULATIONS 4.7, 4.12, AND 4.27

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 6l

CFR Citation: 17 CFR 4.7; 17 CFR 4.12; 17 CFR 4.27 (Proposed)

Legal Deadline: None

Abstract: The proposed regulatory amendments would require large 
commodity pools or ``hedge funds'' to file quarterly financial reports 
and risk information. These data would be published to enable the 
public and regulatory bodies to assess the potential financial systemic 
risk posed by such funds.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/17/00                    65 FR 20395
NPRM Comment Period End         06/16/00
Final Action                    12/00/00
Final Action Effective          01/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Additional Information: The April 17, 2000 NPRM (65 FR 20395) was 
published with an erroneous RIN, 3038-AB53.

Agency Contact: Tobey Kaczensky, Special Counsel, Division of Trading 
and Markets, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street, NW, Washington, DC 20581
Phone: 202 418-5460
Fax: 202 418-5520
Email: [email protected]

RIN: 3038-AB40
_______________________________________________________________________




4402. MARKET RULE REVIEW PROCEDURES

Priority: Other Significant

Legal Authority: 7 USC 1a; 7 USC 8; 7 USC 9; 7 USC 12; 7 USC 13a; 7 USC 
16; 7 USC 19; 7 USC 21; 7 USC 23; 7 USC 24; 7 USC 2; 7 USC 2a; 7 USC 4; 
7 USC 4a; 7 USC 6; 7 USC 6a to 6p; 7 USC 7; 7 USC 7a to 7b; 7 USC 12a; 
7 USC 12c; 7 USC 13a-1; 7 USC 16a

CFR Citation: 17 CFR 1

Legal Deadline: None

Abstract: The CFTC is proposing to amend its contract market rule 
review and approval procedures to allow for additional categories of 
exchange rule amendments to be approved automatically, upon adoption by 
the exchange, and to permit such amendments to be submitted to the 
Commission in a single, weekly, summary filing rather than in 
individual submissions. For certain other rules, the review time would 
be reduced to three days. The proposed rules also reorganize, in a 
clearer and more accessible format, the Commission's rules on expedited 
approval procedures for proposed rule amendments to exchange contract 
terms and conditions. The proposed rules will necessitate the filing of 
fewer individual submissions by U.S. exchanges with the Commission and 
will reduce unnecessary burdens associated with the Commission's review 
and approval of proposed exchange rules.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            07/15/99                    64 FR 38159
NPRM Comment Period End         08/16/99
Final Action                    10/00/00
Final Action Effective          12/00/00

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: Undetermined

Agency Contact: Richard A. Shilts, Director, Market Analysis, Division 
of Economic Analysis, Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581
Phone: 202 418-5260
Fax: 202 418-5527
Email: [email protected]

RIN: 3038-AB44
_______________________________________________________________________




4403. 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 4(b); 7 USC 4c

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

[[Page 74825]]

futures and options brokers, including 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                    01/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Susan A. Elliott, Senior Attorney, 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
_______________________________________________________________________




4404. REVISION OF COMMISSION'S PROCEDURE FOR THE REVIEW OF CONTRACT 
MARKET RULES

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 6; 7 USC 6c; 7 USC 7; 7 USC 7a; 7 USC 8; 7 USC 
8a

CFR Citation: 17 CFR 1.41(z)

Legal Deadline: None

Abstract: The CFTC has proposed to revise its procedures for the review 
of all types of contract market rule changes. Under the proposed new 
Regulation 1.41(z), a contract market rule could be placed into effect 
on the business day after the CFTC had received a submission for the 
rule that contained, among other things, the text and a brief 
explanation of the rule and a certification that the rule is not 
inconsistent with the Commodity Exchange Act or with the CFTC 
regulations.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            11/26/99                    64 FR 66428
NPRM Comment Period Extended    01/24/00
NPRM Comment Period End         02/24/00
Final Action                    10/00/00
Final Action Effective          12/00/00

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: David P. Van Wagner, Acting Associate Director, 
Division of Trading and Markets, Commodity Futures Trading Commission, 
Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581
Phone: 202 418-5481
Email: [email protected]

RIN: 3038-AB50
_______________________________________________________________________




4405.  MINIMUM FINANCIAL REQUIREMENTS FOR FUTURES COMMISSION 
MERCHANTS AND INTRODUCING BROKERS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 6p

CFR Citation: 17 CFR 1.17

Legal Deadline: None

Abstract: The Commodity Futures Trading Commission is proposing to 
amend Rule 1.17(c)(5)(xiii), which requires a futures commission 
merchant (FCM) or an introducing broker (IB), when computing its 
adjusted net capital, to take a capital charge for certain unsecured 
receivables due from foreign brokers. Currently, an FCM or IB may 
exclude from the capital charge unsecured receivables that represent 
amounts required to be on deposit with a foreign broker to maintain 
futures and option positions on a foreign board of trade. The proposal 
would amend the Rule by expanding the amount of the unsecured 
receivable that may be excluded from the capital charge.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            08/28/00                    65 FR 52051
NPRM Comment Period End         09/27/00
Final Action                    11/00/00

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-AB54
_______________________________________________________________________




4406.  NEW REGULATORY FRAMEWORK FOR MULTILATERAL TRANSACTION 
EXECUTION FACILITIES, INTERMEDIARIES, AND CLEARING ORGANIZATIONS

 Regulatory Plan: This entry is Seq. No. 164 in Part II of this issue 
of the Federal Register.

RIN: 3038-AB55
_______________________________________________________________________




4407.  RULES RELATING TO INTERMEDIARIES OF COMMODITY INTEREST 
TRANSACTIONS

 Regulatory Plan: This entry is Seq. No. 165 in Part II of this issue 
of the Federal Register.

RIN: 3038-AB56
_______________________________________________________________________




4408.  NEW REGULATORY FRAMEWORK FOR CLEARING ORGANIZATIONS

 Regulatory Plan: This entry is Seq. No. 166 in Part II of this issue 
of the Federal Register.

RIN: 3038-AB57
_______________________________________________________________________




4409.  EXEMPTION FOR BILATERAL TRANSACTIONS

 Regulatory Plan: This entry is Seq. No. 167 in Part II of this issue 
of the Federal Register.

RIN: 3038-AB58

[[Page 74826]]

_______________________________________________________________________


Commodity Futures Trading Commission (CFTC)           Completed Actions


  



_______________________________________________________________________




4410. EXCLUSION FOR CERTAIN OTHERWISE REGULATED PERSONS FROM THE 
DEFINITION OF THE TERM ``COMMODITY POOL OPERATOR''

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 4.5

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    04/25/00                    65 FR 24127
Final Action Corrected          05/04/00                    65 FR 25980
Final Action Effective          05/25/00

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Barbara Stern Gold
Phone: 202 418-5450
Email: [email protected]

RIN: 3038-AB34
_______________________________________________________________________




4411. INSIDER TRADING--REGULATION 1.59

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 1.59

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    08/04/00                    65 FR 47843
Final Action Effective          12/04/00

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Joshua Marlow
Phone: 202 418-5484
Email: [email protected]

RIN: 3038-AB35
_______________________________________________________________________




4412. DEFINITION OF A PRINCIPAL

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 3.1; 17 CFR 4.10

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Withdrawn                       06/22/00

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Lawrence B. Patent
Phone: 202 418-5439
Email: [email protected]

RIN: 3038-AB36
_______________________________________________________________________




4413. RULE 4.7: EXEMPTION FROM CERTAIN PART 4 REQUIREMENTS WITH RESPECT 
TO QUALIFIED ELIGIBLE PARTICIPANTS AND QUALIFIED ELIGIBLE CLIENTS

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 4.7

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    08/04/00                    65 FR 47848
Final Action Effective          08/04/00

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Helene D. Schroeder
Phone: 202 418-5424
Fax: 202 418-5528
Email: [email protected]

RIN: 3038-AB37
_______________________________________________________________________




4414. CONTINGENT EFP PROHIBITION

Priority: Substantive, Nonsignificant. Major status under 5 USC 801 is 
undetermined.

CFR Citation: 17 CFR 1.38a

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Withdrawn                       07/21/00

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Riva Spear Adriance
Phone: 202 418-5494
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AB41
_______________________________________________________________________




4415. DIRECT FOREIGN ORDER TRANSMITTAL

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 30.12

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    08/02/00                    65 FR 47275
Final Action Effective          09/01/00

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Andrew V. Chapin
Phone: 202 418-5465
Fax: 202 418-5547
Email: [email protected]

RIN: 3038-AB46
_______________________________________________________________________




4416. MINIMUM FINANCIAL REQUIREMENTS FOR FUTURES COMMISSION MERCHANTS 
AND INTRODUCING BROKERS

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 1.17

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

NPRM                            06/02/00                    65 FR 35304
Final Action                    08/24/00                    65 FR 51529
Final Action Effective          09/25/00

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Thomas J. Smith
Phone: 202 418-5495
Email: [email protected]

RIN: 3038-AB49
_______________________________________________________________________




4417. MINIMUM FINANCIAL REQUIREMENTS FOR FUTURES COMMISSION MERCHANTS 
AND INTRODUCING BROKERS

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 1.17

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    04/21/00                    65 FR 21309
Final Action Effective          05/22/00

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Thomas J. Smith
Phone: 202 418-5495
Email: [email protected]

RIN: 3038-AB51
_______________________________________________________________________




4418.  PROFILE DOCUMENTS FOR COMMODITY POOLS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 1a, 2, 4, 6b, 6c, 6l-o, 12a, 23

CFR Citation: 17 CFR 4.2, 4.21, 4.26, 4.36

Legal Deadline: None

Abstract: The Commission proposed amendments to its Part 4 rules to 
permit commodity pool operators to deliver to prospective participants 
a summary ``profile'' document containing only key information about a 
pool prior to providing them with the pool's disclosure document. The 
proposed amendments would

[[Page 74827]]

accommodate a rule proposed by the National Futures Association 
regarding use of profile documents and make certain other technical 
changes.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            07/27/00                    65 FR 46122
NPRM Comment Period End         08/28/00
Final Action                    10/02/00                    65 FR 58648
Final Action Effective          11/01/00

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Eileen R. Chotiner, Futures Trading Specialist, 
Commodity Futures Trading Commission, Division of Trading and Markets, 
Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581
Phone: 202 418-5467
Fax: 202 418-5547
Email: [email protected]

RIN: 3038-AB60
[FR Doc. 00-23100 Filed 11-29-00]
BILLING CODE 6351-01-S