[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 26447]]

Part XLVIII





Commodity Futures Trading Commission





_______________________________________________________________________



Semiannual Regulatory Agenda

[[Page 26448]]



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. 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.'' Pursuant to the request 
of Andrew H. Card, Jr., Assistant to the President and Chief of 
Staff, in his January 20, 2001 memorandum, the Commission has 
decided that it will issue no final or proposed rules not mandated 
by Congress until an agency head appointed by the President after 
noon on January 20, 2001 reviews and approves the regulatory 
action, or until further guidance is received from the 
Administration.

    The Commission's April 2001 regulatory flexibility agenda is 
set forth below.

    Issued in Washington, DC, on February 28, 2001 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
----------------------------------------------------------------------------------------------------------------
4035        Denomination of Customer Funds and Location of Depositories.........................     3038-AB31
4036        New Regulatory Framework for Trading Facilities, Intermediaries, and Clearing            3038-AB63
            Organizations.......................................................................
4037        Minimum Financial Requirements for Futures Commission Merchants and Introducing          3038-AB64
            Brokers.............................................................................
4038        Rules Relating to Intermediaries of Commodity Interest Transactions.................     3038-AB65
4039        A New Regulatory Framework for Clearing Organizations...............................     3038-AB66
4040        Opting Out of Segregation by Eligible Contract Participants in Connection with           3038-AB67
            Derivatives Transaction Execution Facility Transactions.............................
4041        CFTC Conformance with Title V Privacy Provisions of the Gramm-Leach-Bliley Act for       3038-AB68
            Federal Functional Regulators.......................................................
4042        Regulation of Hybrid Instruments....................................................     3038-AB69
4043        Use of Broker-Dealers, Depository Institutions, and Farm Crediting System                3038-AB70
            Institutions as Intermediaries on Derivatives Transaction Execution Facilities......
4044        Margin Requirements for Security Futures Products...................................     3038-AB71
4045        Exemption From Compliance With the Listing Standards for Security Futures Products..     3038-AB72
4046        Authority To Modify Security Futures Product Listing Standards......................     3038-AB73
4047        Compliance Date for Security Futures Products To Be Cleared by a Clearing Agency         3038-AB74
            That Has Linked and Coordinated Clearing With Other Clearing Agencies...............

[[Page 26449]]

 
4048        Offering and Selling Security Futures Products Traded on Foreign Boards of Trade to      3038-AB75
            United States Persons...............................................................
4049        Avoidance of Duplicative or Conflicting Regulations Applicable to Dual Registrants..     3038-AB76
4050        Determination of Market Capitalization and the Dollar Value of Average Daily Trading     3038-AB77
            Volume for Narrow-Based and Broad-Based Security Indices............................
4051        Requirements for Foreign Stock Index Contracts To Qualify as Non-Narrow-Based            3038-AB78
            Indices.............................................................................
4052        Special Procedures To Encourage and Facilitate Bona Fide Hedging by Agricultural         3038-AB79
            Producers...........................................................................
4053        Procedures for Exempting Brokers or Dealers From the Commodity Exchange Act.........     3038-AB81
4054        Procedures for Exempting Boards of Trade and Designated Contract Markets From the        3038-AB82
            Commodity Exchange Act..............................................................
4055        Prohibition Against Dual Trading....................................................     3038-AB83
----------------------------------------------------------------------------------------------------------------


                             Commodity Futures Trading Commission--Final Rule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
4056        Performance Disclosures for Commodity Trading Advisors and Commodity Pool Operators.     3038-AB39
4057        Registration Exemptions Pertaining to the Offer and Sale of Foreign Futures and          3038-AB45
            Foreign Options Contracts to Customers Located in the United States.................
4058        Segregated Account; Daily Computation and Record....................................     3038-AB52
----------------------------------------------------------------------------------------------------------------


                             Commodity Futures Trading Commission--Long-Term Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
4059        Public Reporting by Operators of Certain Large Commodity Pools--Regulations 4.7,         3038-AB40
            4.12, and 4.27......................................................................
4060        Trade Options on Enumerated Agricultural Commodities................................     3038-AB61
----------------------------------------------------------------------------------------------------------------


                             Commodity Futures Trading Commission--Completed Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
4061        Market Rule Review Procedures.......................................................     3038-AB44
4062        Revision of Commission's Procedure for the Review of Contract Market Rules..........     3038-AB50
4063        Minimum Financial Requirements for Futures Commission Merchants and Introducing          3038-AB54
            Brokers.............................................................................
4064        New Regulatory Framework for Multilateral Transaction Execution Facilities,              3038-AB55
            Intermediaries, and Clearing Organizations..........................................
4065        Rules Relating to Intermediaries of Commodity Interest Transactions.................     3038-AB56
4066        New Regulatory Framework for Clearing Organizations.................................     3038-AB57
4067        Exemption for Bilateral Transactions................................................     3038-AB58
----------------------------------------------------------------------------------------------------------------

_______________________________________________________________________


COMMODITY FUTURES TRADING COMMISSION (CFTC)         Proposed Rule Stage


  



_______________________________________________________________________




4035. 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                            05/00/01
NPRM Comment Period End         07/00/01

[[Page 26450]]

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Helene D. Schroeder, Attorney Advisor, Division of 
Trading and Markets, Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5424
Fax: 202 418-5528
Email: [email protected]

RIN: 3038-AB31
_______________________________________________________________________




4036.  NEW REGULATORY FRAMEWORK FOR TRADING FACILITIES, 
INTERMEDIARIES, AND CLEARING ORGANIZATIONS

Priority: Other Significant

Legal Authority: 7 USC 1a; 7 USC 2; 7 USC 2a; 7 USC 4; 7 USC 4a; 7 USC 
5; 7 USC 6; 7 USC 6a-6p; 7 USC 7; 7 USC 7a-b; 7 USC 8; 7 USC 9; 7 USC 
12; 7 USC 12a; 7 USC 12c; 7 USC 13a; 7 USC 13a-1; 7 USC 16; 7 USC 16a; 
7 USC 19; 7 USC 21; 7 USC 23; 7 USC 24; as amended by PL 106-554, 114 
Stat. 2763

CFR Citation: 17 CFR 1; 17 CFR 5; 17 CFR 15; 17 CFR 20; 17 CFR 36; 17 
CFR 37; 17 CFR 38; 17 CFR 40; 17 CFR 41; 17 CFR 100; 17 CFR 170; 17 CFR 
180; ...

Legal Deadline: None

Abstract: The Commodity Futures Trading Commission intends to propose 
rules to implement the new provisions of the Commodity Futures 
Modernization Act of 2000 relating to trading facilities. The proposed 
rules will implement the new statutory framework establishing three new 
market categories, including exempt markets, and two categories of 
markets subject to Commission regulatory oversight--designated contract 
markets and registered derivatives transaction execution facilities.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            03/09/01                    66 FR 14262
NPRM Comment Period End         04/09/01
Final Action                    05/00/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Paul M. Architzel, Chief Counsel, 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]

Alan L. Seifert, Deputy Director, Division of Trading and Markets, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street NW., Washington, DC 20581
Phone: 202 418-5490
Email: [email protected]

Lawrence B. Patent, Associate Chief Counsel, Division of Trading and 
Markets, Commodity Futures Trading Commission, Three Lafayette Centre, 
1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5439
Email: [email protected]

Riva Spear Adriance, Special Counsel, Division of Trading and Markets, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street NW., Washington, DC 20581
Phone: 202 418-5494
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AB63
_______________________________________________________________________




4037.  MINIMUM FINANCIAL REQUIREMENTS FOR FUTURES COMMISSION 
MERCHANTS AND INTRODUCING BROKERS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 6f

CFR Citation: 17 CFR 1.17

Legal Deadline: None

Abstract: The Commission is requesting public comment on proposed 
amendments to Rule 1.17 that would adopt a risk-based capital 
requirement for futures commission merchants.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            06/00/01
NPRM Comment Period End         07/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Thomas J. Smith, Special Counsel, Division of Trading 
and Markets, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1121 21st Street NW., Washington, DC 20581
Phone: 202 418-5495
Email: [email protected]

RIN: 3038-AB64
_______________________________________________________________________




4038.  RULES RELATING TO INTERMEDIARIES OF COMMODITY INTEREST 
TRANSACTIONS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 2; 7 USC 6(c); 7 USC 6b; 7 USC 6d; 7 USC 6f; 7 
USC 6m; 7 USC 6n; 7 USC 12a; 7 USC 23; as amended by PL 106-554, 114 
Stat. 2763

CFR Citation: 17 CFR 1.3; 17 CFR 1.10; 17 CFR 1.17; 17 CFR 1.33; 17 CFR 
1.46; 17 CFR 1.52; 17 CFR 1.55; 17 CFR 3.1; 17 CFR 3.10; 17 CFR 3.21; 
17 CFR 3.31; 17 CFR 3.32; 17 CFR 3.34; 17 CFR 3, app A; 17 CFR 3, app 
B; 17 CFR 4.10; 17 CFR 4.24; 17 CFR 4.32; 17 CFR 4.34; 17 CFR 140.91; 
17 CFR 155.2; 17 CFR 155.3; 17 CFR 155.4; 17 CFR 155.5; 17 CFR 155.6; 
17 CFR 166.5

Legal Deadline: None

Abstract: The Commission will revise its rules relating to 
intermediation of commodity interest transactions. The new rules and 
rule amendments will affect the definition of the term ``principal,'' 
updating of registration applications, certified financial reports, 
ethics training, disclosure, account opening procedures, trading 
standards, reporting requirements, and offsetting positions.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            05/00/01
NPRM Comment Period End         07/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Ky Tran-Trong, Attorney, Division of Trading and 
Markets, Commodity Futures Trading Commission, Three Lafayette Centre, 
1155 21st Street NW., Washington, DC 20581

[[Page 26451]]

Phone: 202 418-5452
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AB65
_______________________________________________________________________




4039.  A NEW REGULATORY FRAMEWORK FOR CLEARING ORGANIZATIONS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 2; 7 USC 6(c); 7 USC 7a; 7 USC 12a(5); as 
amended by PL 106-554, 114 Stat. 2763

CFR Citation: 17 CFR 39

Legal Deadline: None

Abstract: The Commission will promulgate a new regulatory framework to 
apply to clearing organizations as part of an initiative that will 
establish new rules for multilateral transaction execution facilities 
and market intermediaries.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/00/01
NPRM Comment Period End         05/00/01
Final Action                    06/00/01
Final Action Effective          08/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Lois J. Gregory, Special Counsel, Division of Trading 
and Markets, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5260
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AB66
_______________________________________________________________________




4040.  OPTING OUT OF SEGREGATION BY ELIGIBLE CONTRACT 
PARTICIPANTS IN CONNECTION WITH DERIVATIVES TRANSACTION EXECUTION 
FACILITY TRANSACTIONS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 7a(f), as amended by PL 106-554, 114 Stat 2763

CFR Citation: 17 CFR 1.3(k); 17 CFR 1.37; 17 CFR 1.68; 17 CFR 
190.01(bb)

Legal Deadline: Final, Statutory, June 19, 2001, 180 days after 
enactment of Commodity Futures Modernization Act of 2000.

Abstract: The Commission is proposing rules to permit a registered 
derivatives transaction execution facility (DTF) to authorize a FCM to 
allow a customer that is an eligible contract participant to instruct 
the FCM not to segregate the customer's funds related to DTF 
transactions from the FCM's own funds. The rules would also address 
procedures for ``opting out'' of segregation, including disclosure and 
bankruptcy treatment.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            03/13/01                    66 FR 14507
NPRM Comment Period End         04/12/01
Final Action                    04/00/01
Final Action Effective          04/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Michael A. Piracci, Attorney, Division of Trading and 
Markets, Commodity Futures Trading Commission, Three Lafayette Centre, 
1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5446
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AB67
_______________________________________________________________________




4041.  CFTC CONFORMANCE WITH TITLE V PRIVACY PROVISIONS OF THE 
GRAMM-LEACH-BLILEY ACT FOR FEDERAL FUNCTIONAL REGULATORS

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, June 21, 2001, Prescribe regulations 
prior to 06/21/2001.

Abstract: Prior to June 21, 2001, the Commission is required to 
prescribe regulations to ensure conformance with Title V privacy 
provisions of the Gramm-Leach-Bliley Act for federal functional 
regulators.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            03/19/01                    66 FR 15549
NPRM Comment Period End         04/18/01
Final Action                    04/00/01
Final Action Effective          04/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB68
_______________________________________________________________________




4042.  REGULATION OF HYBRID INSTRUMENTS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat 
2763

CFR Citation: Not Yet Determined

Legal Deadline: None

Abstract: The Commission is required, after consulting with and 
obtaining the concurrence of the Board of Governors of the Federal 
Reserve System, to prescribe regulations to govern hybrid instruments 
if it determines that it is in the public interest and consistent with 
the Commodity Exchange Act, and the product is not predominantly a 
banking product under the test enumerated in Title IV of the Commodity 
Futures Modernization Act of 2000.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            01/00/02

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street NW., Washington, DC 20581

[[Page 26452]]

Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB69
_______________________________________________________________________




4043.  USE OF BROKER-DEALERS, DEPOSITORY INSTITUTIONS, AND FARM 
CREDITING SYSTEM INSTITUTIONS AS INTERMEDIARIES ON DERIVATIVES 
TRANSACTION EXECUTION FACILITIES

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat 
2763

CFR Citation: Not Yet Determined

Legal Deadline: None

Abstract: The Commission is required to coordinate with the Securities 
and Exchange Commission, the Secretary of the Treasury and Federal 
banking regulators (including the Farm Credit Administration) in 
adopting rules and taking any other appropriate action to implement the 
provisions of the Commodity Futures Modernization Act of 2000 relating 
to the use of broker-dealers, depository institutions, and farm credit 
system institutions as intermediaries on derivatives transaction 
execution facilities.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            01/00/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB70
_______________________________________________________________________




4044.  MARGIN REQUIREMENTS FOR SECURITY FUTURES PRODUCTS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat 
2763

CFR Citation: Not Yet Determined

Legal Deadline: None

Abstract: The Board of Governors of the Federal Reserve System may 
delegate its authority and have the Commission and the Securities and 
Exchange Commission, within a reasonable period of time after 
delegation, jointly prescribe regulations to establish margin 
requirements, including the establishment of levels of margin, for 
security futures products.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB71
_______________________________________________________________________




4045.  EXEMPTION FROM COMPLIANCE WITH THE LISTING STANDARDS FOR 
SECURITY FUTURES PRODUCTS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat 
2763

CFR Citation: Not Yet Determined

Legal Deadline: None

Abstract: The Commission and the Securities and Exchange Commission may 
jointly issue an order that exempts any person from compliance with the 
listing standards requirements for a security futures product to be 
cleared by a clearing agency that has in place provisions for linked 
and coordinated clearing with other clearing agencies that clear 
security futures products.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            01/00/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB72
_______________________________________________________________________




4046.  AUTHORITY TO MODIFY SECURITY FUTURES PRODUCT LISTING 
STANDARDS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat 
2763

CFR Citation: Not Yet Determined

Legal Deadline: None

Abstract: The Commission and the Securities and Exchange Commission may 
adopt rules to jointly modify security futures product listing 
standards requiring that any security underlying the security future, 
including each component security of a narrow-based security index, be 
registered pursuant to Section 12 of the Securities Exchange Act of 
1934, and that the security futures be based upon common stock and such 
other equity securities as both agencies jointly determine appropriate.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            01/00/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB73
_______________________________________________________________________




4047.  COMPLIANCE DATE FOR SECURITY FUTURES PRODUCTS TO BE 
CLEARED BY A CLEARING AGENCY THAT HAS LINKED AND COORDINATED CLEARING 
WITH OTHER CLEARING AGENCIES

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat 
2763

CFR Citation: Not Yet Determined

Legal Deadline: None

Abstract: The Commission and the Securities and Exchange Commission are 
required to jointly publish in the Federal Register a notice of the 
compliance date for requiring security futures products to be cleared 
by a clearing agency that has in place

[[Page 26453]]

provisions for linked and coordinated clearing with other clearing 
agencies that clear security futures products to be purchased on one 
market and offset on another market that trades such product within 165 
days of the compliance date.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            01/00/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB74
_______________________________________________________________________




4048.  OFFERING AND SELLING SECURITY FUTURES PRODUCTS TRADED ON 
FOREIGN BOARDS OF TRADE TO UNITED STATES PERSONS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat 
2763

CFR Citation: Not Yet Determined

Legal Deadline: None

Abstract: The Commission and the Securities and Exchange Commission are 
required to jointly issue rules, regulations, or orders as are 
necessary and appropriate to permit the offer and sale of security 
futures products traded on or subject to the rules of a foreign board 
of trade to United States persons.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/00/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB75
_______________________________________________________________________




4049.  AVOIDANCE OF DUPLICATIVE OR CONFLICTING REGULATIONS 
APPLICABLE TO DUAL REGISTRANTS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat 
2763

CFR Citation: Not Yet Determined

Legal Deadline: None

Abstract: The Commission, in consultation with the Securities and 
Exchange Commission, is required to issue rules, regulations, or orders 
as are necessary to avoid duplicative or conflicting regulations 
applicable to dual registrants involving security futures products.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/00/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB76
_______________________________________________________________________




4050.  DETERMINATION OF MARKET CAPITALIZATION AND THE DOLLAR 
VALUE OF AVERAGE DAILY TRADING VOLUME FOR NARROW-BASED AND BROAD-BASED 
SECURITY 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: None

Abstract: The Commission and the Securities and Exchange Commission are 
required to jointly prescribe rules and regulations that specify the 
methods to be used to determine market capitalization and the dollar 
value of average daily trading volume for narrow-based and broad-based 
security indices.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/00/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB77
_______________________________________________________________________




4051.  REQUIREMENTS FOR FOREIGN STOCK INDEX CONTRACTS TO QUALIFY 
AS NON-NARROW-BASED INDICES

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat 
2763

CFR Citation: Not Yet Determined

Legal Deadline: Other, Statutory, December 21, 2001, Prior to 12/21/
2001.
Within one year after the date of enactment of the Commodity Futures 
Modernization Act of 2000.

Abstract: Prior to December 21, 2001, the Commission and the Securities 
and Exchange Commission are required to jointly adopt rules and 
regulations that set forth the requirements for foreign stock index 
contracts to qualify as non-narrow-based indices.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/00/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB78

[[Page 26454]]

_______________________________________________________________________




4052.  SPECIAL PROCEDURES TO ENCOURAGE AND FACILITATE BONA FIDE 
HEDGING BY AGRICULTURAL PRODUCERS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat 
2763

CFR Citation: Not Yet Determined

Legal Deadline: None

Abstract: The Commission is required to consider issuing rules or 
orders which prescribe procedures for contract markets to provide 
orderly delivery and increased ease for domestic agricultural producers 
to hedge price risk.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/00/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L.R. Fox, Acting Deputy General Counsel, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street NW., Washington, DC 20581
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AB79
_______________________________________________________________________




4053.  PROCEDURES FOR EXEMPTING BROKERS OR DEALERS FROM THE 
COMMODITY EXCHANGE ACT

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat 
2763

CFR Citation: Not Yet Determined

Legal Deadline: None

Abstract: The Commission is required, by rule or regulation, to 
determine the procedures under which it may exempt any broker or dealer 
from any provision of the Commodity Exchange Act or its rules or 
regulations to the extent such exemption is necessary for the public 
interest and is consistent with the protection of investors for 
security futures trading.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/19/01                    66 FR 20118
NPRM Comment Period End         05/21/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Christopher W. Cummings, Attorney Advisor, Division of 
Trading and Markets, Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5445
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AB81
_______________________________________________________________________




4054.  PROCEDURES FOR EXEMPTING BOARDS OF TRADE AND DESIGNATED 
CONTRACT MARKETS FROM THE COMMODITY EXCHANGE ACT

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat 
2763

CFR Citation: Not Yet Determined

Legal Deadline: None

Abstract: The Commission is required, by rule or regulation, to 
determine the procedures under which it may exempt any board of trade 
registered as a national security exchange, or which is a national 
securities association or an alternative trading system, that is a 
designated contract market, from any provision of the Commodity 
Exchange Act, its rules or regulations, to the extent such exemption is 
necessary for the public interest and is consistent with the protection 
of investors for security futures trading. In addition, except as 
provided by the requirements of such rule or regulation, the Commission 
may conditionally or unconditionally exempt any designated contract 
market in security futures products from any provision of the Commodity 
Exchange Act.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/00/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Joshua Marlow, Attorney Advisor, Division of Trading 
and Markets, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5484
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AB82
_______________________________________________________________________




4055.  PROHIBITION AGAINST DUAL TRADING

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 1 et seq, as amended by PL 106-554, 114 Stat 
2763

CFR Citation: Not Yet Determined

Legal Deadline: None

Abstract: The Commission is required to issue regulations to prohibit 
dual trading in security futures products on contract markets and 
derivatives transaction execution facilities.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/00/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Rachel F. Berdansky, Attorney Advisor, Division of 
Trading and Markets, Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5429
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AB83

[[Page 26455]]

_______________________________________________________________________


COMMODITY FUTURES TRADING COMMISSION (CFTC)            Final Rule Stage


  



_______________________________________________________________________




4056. PERFORMANCE DISCLOSURES FOR COMMODITY TRADING ADVISORS AND 
COMMODITY POOL OPERATORS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 6n; 7 USC 6o; 7 USC 12a

CFR Citation: 17 CFR 4.25; 17 CFR 4.35

Legal Deadline: None

Abstract: The Commodity Futures Trading Commission is proposing 
amendments to the requirements concerning the presentation of rate of 
return data by commodity trading advisors and commodity pool operators. 
The Commission's proposed rules address computational and disclosure 
matters relating to participating in commodity trading advisor programs 
on a partially-funded basis.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

ANPRM                           06/18/98                    63 FR 33297
ANPRM Comment Period End        09/16/98
NPRM                            08/02/99                    64 FR 41843
NPRM Comment Period End         10/01/99
Final Action                    05/00/01
Final Action Effective          07/00/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Robert B. Wasserman, Associate Director, Division of 
Trading and Markets, Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5092
Fax: 202 418-5528
Email: [email protected]

RIN: 3038-AB39
_______________________________________________________________________




4057. REGISTRATION EXEMPTIONS PERTAINING TO THE OFFER AND SALE OF 
FOREIGN FUTURES AND FOREIGN OPTIONS CONTRACTS TO CUSTOMERS LOCATED IN 
THE UNITED STATES

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 2(a)(1)(A); 7 USC 6(b); 7 USC 6c

CFR Citation: 17 CFR 30.1; 17 CFR 30.4; 17 CFR 30.10

Legal Deadline: None

Abstract: The Commission proposes to codify some of the interpretations 
and positions that its staff has taken regarding registration 
requirements under Part 30 of the Commission's rules, which governs, 
generally, the solicitation and sale of foreign futures and foreign 
options contracts to customers located in the United States. The 
Commission proposes to modify Rule 30.4(a) by clarifying that foreign 
futures and options brokers, including 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                    08/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Susan A. Elliott, Attorney Advisor, Division of Trading 
and Markets, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5464
Fax: 202 418-5528
Email: [email protected]

RIN: 3038-AB45
_______________________________________________________________________




4058. 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                            10/31/00                    65 FR 64904
NPRM Comment Period End         11/30/00
Final Action                    05/00/01

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 26456]]

_______________________________________________________________________


COMMODITY FUTURES TRADING COMMISSION (CFTC)           Long-Term Actions


  



_______________________________________________________________________




4059. PUBLIC REPORTING BY OPERATORS OF CERTAIN LARGE COMMODITY POOLS--
REGULATIONS 4.7, 4.12, AND 4.27

Priority: Substantive, Nonsignificant

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

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/17/00                    65 FR 20395
NPRM Comment Period End         06/16/00


Next Action Undetermined

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Tobey Kaczensky
Phone: 202 418-5460
Fax: 202 418-5520
Email: [email protected]

RIN: 3038-AB40
_______________________________________________________________________




4060.  TRADE OPTIONS ON ENUMERATED AGRICULTURAL COMMODITIES

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 2; 7 USC 6c; 7 USC 12a

CFR Citation: 17 CFR 32.13

Legal Deadline: None

Abstract: The Commission is proposing a technical revision to its 
agricultural trade option rule to clarify the requirements for an 
exemption therefrom.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            12/13/00                    65 FR 77838
NPRM Comment Period End         12/28/00


Next Action Undetermined

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Paul M. Architzel, Chief Counsel, 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]

Nancy E. Yanofsky, Assistant Chief Counsel, 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-AB61
_______________________________________________________________________


COMMODITY FUTURES TRADING COMMISSION (CFTC)           Completed Actions


  



_______________________________________________________________________




4061. MARKET RULE REVIEW PROCEDURES

Priority: Other Significant

CFR Citation: 17 CFR 1

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Withdrawn                       12/28/00                    65 FR 82272

Regulatory Flexibility Analysis Required: No

Government Levels Affected: Undetermined

Agency Contact: Richard A. Shilts
Phone: 202 418-5260
Fax: 202 418-5527
Email: [email protected]

RIN: 3038-AB44
_______________________________________________________________________




4062. REVISION OF COMMISSION'S PROCEDURE FOR THE REVIEW OF CONTRACT 
MARKET RULES

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 1.41(z)

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Withdrawn                       12/13/00                    65 FR 77961

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: David P. Van Wagner
Phone: 202 418-5481
Email: [email protected]

RIN: 3038-AB50
_______________________________________________________________________




4063. 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                    11/07/00                    65 FR 66618
Final Action Effective          12/07/00

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

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

RIN: 3038-AB54
_______________________________________________________________________




4064. NEW REGULATORY FRAMEWORK FOR MULTILATERAL TRANSACTION EXECUTION 
FACILITIES, INTERMEDIARIES, AND CLEARING ORGANIZATIONS

Priority: Other Significant

CFR Citation: 17 CFR 1.37; 17 CFR 1.41; 17 CFR 5; 17 CFR 15; 17 CFR 20; 
17 CFR 36 to 38

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    12/13/00                    65 FR 77962
Withdrawn                       12/28/00                    65 FR 82272

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Paul M. Architzel
Phone: 202 418-5260
Fax: 202 418-5527
Email: [email protected]

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

Alan L. Seifert
Phone: 202 418-5490
Email: [email protected]

RIN: 3038-AB55

[[Page 26457]]

_______________________________________________________________________




4065. RULES RELATING TO INTERMEDIARIES OF COMMODITY INTEREST 
TRANSACTIONS

Priority: Other Significant

CFR Citation: 17 CFR 1.3; 17 CFR 1.10; 17 CFR 1.17; 17 CFR 1.20; 17 CFR 
1.25 to 1.29; 17 CFR 1.33; 17 CFR 1.46; 17 CFR 1.52; 17 CFR 1.55; 17 
CFR 3.1; 17 CFR 3.10; 17 CFR 3.32; 17 CFR 3.34; 17 CFR 4.10; 17 CFR 
4.24; 17 CFR 4.34; 17 CFR 140.91; 17 CFR 3 app B; 17 CFR 155.6; 17 CFR 
166.5

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    12/13/00                    65 FR 77993
Partial Withdrawal              12/28/00                    65 FR 82272
Final Action Effective          12/28/00                    65 FR 82270

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

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

RIN: 3038-AB56
_______________________________________________________________________




4066. NEW REGULATORY FRAMEWORK FOR CLEARING ORGANIZATIONS

Priority: Other Significant

CFR Citation: 17 CFR 39

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    12/13/00                    65 FR 78020
Withdrawn                       12/28/00                    65 FR 82272

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Lois J. Gregory
Phone: 202 418-5260
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AB57
_______________________________________________________________________




4067. EXEMPTION FOR BILATERAL TRANSACTIONS

Priority: Other Significant

CFR Citation: 17 CFR 35

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    12/13/00                    65 FR 78030
Withdrawn                       12/28/00                    65 FR 82272

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Paul M. Architzel
Phone: 202 418-5260
Fax: 202 418-5527
Email: [email protected]

RIN: 3038-AB58
[FR Doc. 01-5932 Filed 05-11-01; 8:45 am]
BILLING CODE 6351-01-S
