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


[[Page 26577]]

Part LVII





Federal Trade Commission





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Semiannual Regulatory Agenda

[[Page 26578]]



FEDERAL TRADE COMMISSION (FTC)                                         


  



_______________________________________________________________________

FEDERAL TRADE COMMISSION

16 CFR Ch. I

Semiannual Regulatory Agenda

AGENCY: Federal Trade Commission.

ACTION: Semiannual regulatory agenda.

_______________________________________________________________________

SUMMARY: The following agenda of Commission proceedings is published in 
accordance with section 22(d)(1) of the Federal Trade Commission Act, 
15 U.S.C. 57b-3(d)(1), and the Regulatory Flexibility Act, 5 U.S.C. 601 
et seq., as amended by the Small Business Regulatory Enforcement 
Fairness Act of 1996, title II of Pub. L. 104-121, 110 Stat. 847. The 
Commission's agenda observes guidelines and procedures issued January 
16, 2001, by the Office of Management and Budget in accordance with the 
provisions of Executive Order No. 12866 ``Regulatory Planning and 
Review'' of September 30, 1993 (58 FR 51735; October 4, 1993).

     The Commission has also taken the option of identifying 
rulemakings that are likely to have some impact on small entities 
but are not subject to the requirements of the Regulatory 
Flexibility Act. The current rulemakings so identified are: (1) the 
Smokeless Tobacco Rules, 16 CFR part 307; (2) the 900-Number Rule, 
16 CFR part 308; (3) the Telemarketing Sales Rule, 16 CFR part 310; 
(4) the Privacy of Consumer Information Rule-Security, 16 CFR part 
313; (5) the Franchise and Business Opportunities Rule, 16 CFR part 
436; (6) the Funeral Rule, 16 CFR part 453; (7) the Trade 
Regulation Rule on Ophthalmic Practice Rules, 16 CFR part 456; and 
(8) the Rule on Labeling and Advertising of Home Insulation, 16 CFR 
part 460.

     In addition, the agency has evaluated its current rulemakings 
as contemplated by Executive Order 13132 ``Federalism'' of August 
4, 1999, 64 FR 43255 (Aug. 10, 1999). The Commission believes that 
none of the rules in this agenda have ``substantial direct effects 
on the States, on the relationship between the national government 
and the States, or on the distribution of power and the 
responsibilities among the various levels of government'' within 
the meaning of E.O. 13132. The Commission continues to work closely 
with the States and other governmental units in its rulemaking 
process, which explicitly considers the effect of the agency's 
rules on these governmental entities.

     The agency also is conducting reviews of the 900-Number Rule 
as provided in that Rule and of the Telemarketing Sales Rule as 
required by the Telemarketing and Consumer Fraud and Abuse 
Prevention Act, 15 USC 6101-6108. The other reviews listed in the 
following agenda are part of the Commission's plan to review and 
seek information about all of its regulations and guides, including 
their costs and benefits, and regulatory and economic impact every 
ten years. These reviews incorporate and expand upon the review 
required by the Regulatory Flexibility Act.

     Except for notice of completed actions, the information in 
this agenda represents the judgment of Commission staff, based upon 
information now available. Each projected date of action reflects 
an assessment by the FTC staff of the likelihood that the specified 
event will occur during the coming year. No final determination by 
the staff or the Commission respecting the need for, or the 
substance of, a trade regulation rule or any other procedural 
option should be inferred from the notation of projected events in 
this agenda. In most instances, the dates of future events are 
listed by month, not by a specific day. The acquisition of new 
information, changes of circumstances, or changes in the law may 
alter this information.

FOR FURTHER INFORMATION CONTACT:  For information about specific 
regulatory actions listed in the agenda, contact the contact person 
listed for each particular proceeding. Comments or inquiries of a 
general nature about the agenda should be directed to Steve Vieux, 
Attorney, Federal Trade Commission, 600 Pennsylvania Avenue NW., 
Washington, DC 20580, telephone: (202) 326-2306; e-mail: [email protected] 
, or Sandra M. Vidas, Attorney, Federal Trade Commission, 600 
Pennsylvania Avenue NW., Washington, DC 20580, telephone: (202) 326-
2456; e-mail: [email protected] .

    By direction of the Commission.

 Donald S. Clark,

Secretary.

                                     Federal Trade Commission--Prerule Stage
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                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
4344        Regulatory Review...................................................................     3084-AA47
4345        Regulations Under the Comprehensive Smokeless Tobacco Health Education Act of 1986..     3084-AA48
4346        Trade Regulation Rule on Funeral Industry Practices.................................     3084-AA82
4347        Telemarketing Sales Rule............................................................     3084-AA86
4348        Privacy of Consumer Information--Security...........................................     3084-AA87
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                                  Federal Trade Commission--Proposed Rule Stage
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                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
4349        Premerger Notification Rules and Report Form........................................     3084-AA23
4350        Trade Regulation Rule Concerning the Labeling and Advertising of Home Insulation....     3084-AA60
4351        Trade Regulation Rule on Franchising and Business Opportunity Ventures..............     3084-AA63
4352        Trade Regulation Rule Pursuant to the Telephone Disclosure and Dispute Resolution        3084-AA78
            Act of 1992.........................................................................
4353        Trade Regulation Rule on Ophthalmic Practice Rules..................................     3084-AA80

[[Page 26579]]

 
4354        Trade Regulation Rule Concerning Power Output Claims for Amplifiers Utilized in Home     3084-AA81
            Entertainment Products..............................................................
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                                   Federal Trade Commission--Long-Term Actions
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                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
4355        Amended Federal Deposit Insurance Corporation Improvement Act.......................     3084-AA44
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FEDERAL TRADE COMMISSION (FTC)                            Prerule Stage


  



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4344. REGULATORY REVIEW

Priority: Other Significant

Legal Authority: 15 USC 41 et seq

CFR Citation: 16 CFR 1 et seq

Legal Deadline: None

Abstract: The Commission is continuing its review of current rules and 
guides to identify any that should be modified or rescinded. In January 
of each year, the Commission announces the rules and guides to be 
reviewed in that year. For example, on January 19, 2000, the Commission 
published a notice in the Federal Register listing the rules and guides 
to be reviewed during 2000 and the staff contact person for information 
about each review. 65 FR 2912. The Commission is currently devoting 
significant resources to both rulemakings required by statute and 
completing rule and guide reviews previously announced. See 65 FR 
73531. Accordingly, the Commission will not issue a separate notice for 
2001. The Commission will continue to consider ways to streamline and 
improve the review program. Early next year, the Commission will 
announce the rules and guides it will review in 2002. No determination 
about whether to modify or rescind a rule, regulation, guide or 
interpretation or any other procedural option should be inferred from 
the Commission's decision to publish a request for comments. In certain 
instances, the reviews may also address other specific matters or 
issues, such as proposed amendments.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

Notice of Rules and Guides to 
Review in 2000                  01/19/00                     65 FR 2912
Notice of Rules and Guides to 
Review in 2002                  01/00/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Neil Blickman, Attorney, Federal Trade Commission, 
Division of Enforcement, Bureau of Consumer Protection, Washington, DC 
20580
Phone: 202 326-3038
Email: [email protected]

RIN: 3084-AA47
_______________________________________________________________________




4345. REGULATIONS UNDER THE COMPREHENSIVE SMOKELESS TOBACCO HEALTH 
EDUCATION ACT OF 1986

Priority: Substantive, Nonsignificant

Legal Authority: 15 USC 4401

CFR Citation: 16 CFR 307

Legal Deadline: None

Abstract: The Comprehensive Smokeless Tobacco Health Education Act of 
1986 requires health warnings on all packages and advertising for 
smokeless tobacco. The Act directs the Commission to issue implementing 
regulations governing the format and display of the warnings. On 
November 4, 1986, the Commission issued its regulations setting out the 
provisions for the size, color, typeface, and rotation of the statutory 
warnings. In FY2000, the Commission undertook a periodic review of the 
regulations. The purpose of the review was to determine whether the 
regulations continue to effectively meet the goals of the Act and to 
seek information concerning the regulation or economic impact of the 
Rule in order to decide whether it should be amended. Staff plans to 
forward its recommendations to the Commission shortly.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

Recommendation to the Commission 
Regarding ANPRM (Regulatory 
Review)                         01/27/00
ANPRM (Regulatory Review)       03/07/00                    65 FR 11944
Comment Period End (Regulatory 
Review)                         04/24/00
Comment Period Extended 
(Regulatory Review)             05/08/00                    65 FR 26534
Extended Comment Period End 
(Regulatory Review)             07/21/00
Reopening and Extension of 
Comment Period                  10/13/00                    65 FR 60899
Extended Comment Period End     10/16/00
Recommendation to Commission 
(Regulatory Review)             08/00/01
Commission Action               01/00/02

Regulatory Flexibility Analysis Required: No

Small Entities Affected: Businesses

Government Levels Affected: None

[[Page 26580]]

Agency Contact: Rosemary Rosso, Attorney, Federal Trade Commission, 
Division of Advertising Practices, Bureau of Consumer Protection, 
Washington, DC 20580
Phone: 202 326-2174
Email: [email protected]

RIN: 3084-AA48
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4346. TRADE REGULATION RULE ON FUNERAL INDUSTRY PRACTICES

Priority: Substantive, Nonsignificant

Legal Authority: 15 USC 45; 15 USC 46(g); 15 USC 57(a)

CFR Citation: 16 CFR 453

Legal Deadline: None

Abstract: The Funeral Industry Practices Rule, which became effective 
in 1984, requires sellers of funeral goods and services to give price 
lists to consumers who visit a funeral home, and to disclose price and 
other information to callers who request it over the telephone. The 
Rule enables consumers to select and purchase only the goods and 
services they want, and requires funeral providers to seek authority 
before performing some services such as embalming. The Rule also 
requires funeral providers to make disclosures regarding any required 
purchases and prohibits misrepresentations regarding requirements and 
other aspects of funeral goods and services. In its 1994 review of the 
Rule, the Commission determined to retain the Rule and amended it to 
prohibit funeral providers from charging a ``casket handling fee'' in 
addition to any non-declinable basic-services fee and deleted certain 
affirmative telephone disclosure requirements. The Commission responded 
to requests to address emerging issues in the funeral industry by 
beginning a review of the Rule in 1998. The Commission previously had 
scheduled a review of the Rule in 1999, under its ten-year schedule for 
reviewing all Commission rules and guides. The Commission published a 
notice soliciting public comment in May 1999. In response to requests 
of industry members and consumer groups, the Commission extended the 
comment period. Commission staff conducted a public workshop conference 
on November 18, 1999, to discuss and explore openly issues raised in 
written comments. Staff is evaluating the comments and preparing a 
recommendation to the Commission.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

Recommendation to Commission 
Regarding Initial Notice for 
Comment                         04/17/99
Initial Notice for Public 
Comment                         05/05/99                    64 FR 24249
Close of Comment Period 
(Extended)                      08/11/99                    64 FR 35965
Public Workshop                 11/18/99                    64 FR 56717
Recommendation to Commission    09/00/01
Commission Action               10/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: Businesses

Government Levels Affected: None

Agency Contact: Myra Howard, Attorney, Federal Trade Commission, 
Division of Marketing Practices, Bureau of Consumer Protection, 
Washington, DC 20580
Phone: 202 326-2047
Email: [email protected]

RIN: 3084-AA82
_______________________________________________________________________




4347. TELEMARKETING SALES RULE

Priority: Substantive, Nonsignificant

Legal Authority: 15 USC 6101 to 6108

CFR Citation: 16 CFR 310

Legal Deadline: Other, Statutory, December 31, 2000, Rule Review and 
Report to Congress.

Abstract: In 1995, the Commission issued the Telemarketing Sales Rule 
(TSR), 16 CFR part 310, under the Telemarketing and Consumer Fraud and 
Abuse Prevention Act 15 USC 6101-6108. The TSR requires telemarketers 
to disclose information; prohibits misrepresentations; limits the times 
telemarketers may call consumers; prohibits calls to a consumer who has 
asked not to be called again; and sets payment restrictions for the 
sale of certain goods and services.
As required by the Act, the Commission is reviewing the TSR to evaluate 
the Rule's operation and report to Congress. The Commission has issued 
a request for public comment on the rule, its overall costs, benefits 
and its regulatory and economic impact since its adoption in 1995. The 
Commission also held a public forum on January 11, 2000, addressing the 
operation of the Rule's ``do-not-call'' provision. Another public forum 
to discuss other provisions of the Rule was held on July 27-28, 2000. 
Public forums provide the Commission staff and interested parties an 
opportunity to discuss these issues and any other topics that emerge 
from the public comments.
Staff plans to complete its review and forward its recommendations to 
the Commission later this year.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

Recommendation to Commission re: 
``Do-Not-Call'' Provision       11/24/99                    64 FR 66124
Public Forum                    01/11/00
Recommendation to Commission re: 
Rule Review                     02/07/00
Request for Comments            02/28/00                    65 FR 10428
End Comment Period              04/27/00
Extension of Comment Period     05/05/00                    65 FR 26161
End Extended Comment Period     05/30/00
Public Forum                    07/27/00
Public Forum                    07/28/00
Recommendation to Commission    07/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: Businesses

Government Levels Affected: None

Agency Contact: Catherine Harrington-McBride, Attorney, Federal Trade 
Commission, Division of Marketing Practices, Bureau of Consumer 
Protection, Washington, DC 20580
Phone: 202 326-2452
Email: [email protected]

Carole I. Danielson, Senior Investigator, Federal Trade Commission, 
Division of Marketing Practices, Bureau of Consumer Protection, 
Washington, DC 20580
Phone: 202 326-3115
Email: [email protected]

RIN: 3084-AA86
_______________________________________________________________________




4348. PRIVACY OF CONSUMER INFORMATION--SECURITY

Priority: Other Significant

Legal Authority: PL 106-102, sec 501(b)

CFR Citation: 16 CFR 313

[[Page 26581]]

Legal Deadline: None

Abstract: On November 12, 1999, the Gramm-Leach-Bliley Act (G-L-B) was 
enacted. The Act repealed the key provision of the Glass-Steagall Act, 
that among other things, required the separation of banking, insurance, 
and securities institutions. Subtitle A (Disclosure of Nonpublic Person 
Information) of Title V (Privacy) limits the abilility of the newly-
authorized financial institutions to disclose nonpublic personal 
information about consumers to nonaffiliated third parties, and 
requires them to disclose to consumers their privacy policies and 
practices respecting information shared with both affiliates and 
nonaffiliated third parties. The Commission issued the statuorily 
mandated Rule on the Privacy of Consumer Financial Information (Privacy 
Rule), 16 CFR part 313, on May 12, 2000. The Privacy Rule is effective 
November 13, 2000, and full compliance is required on or before July 1, 
2001.
In addition to the Privacy Rule, Section 501 of Subtitle A requires the 
agencies to establish appropriate standards for financial institutions 
to safeguard nonpublic personal information. In particular, section 
501(b) of the Act requires the Commmission to ``establish appropriate 
standards for the financial institutions [subject to its jurisdiction] 
relating to administrative, technical, and physical safeguards.'' 
Section 501(b) sets out the objectives of these standards: (1) to 
insure the security and confidentiality of customer records and 
information; (2) to protect against any anticipated threats or hazards 
to the security or integrity of such records; and (3) to protect 
against unauthorized access to or use of such records of information 
which could result in substantial harm or inconvenience to any 
customer.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

Request for Comments            09/07/00                    65 FR 54186
Extension of Comment Period     10/06/00                    65 FR 59766
Comment Period End              10/10/00
Extended Comment Period End     10/24/00
Recommendation to the Commission04/00/01
Commission Action               06/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: Businesses

Government Levels Affected: None

Agency Contact: Laura D. Berger, Attorney, Federal Trade Commission, 
Division of Financial Practices, Bureau of Consumer Protection, 
Washington, DC 20580
Phone: 202 326-2471
Email: [email protected]

RIN: 3084-AA87
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FEDERAL TRADE COMMISSION (FTC)                      Proposed Rule Stage


  



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4349. PREMERGER NOTIFICATION RULES AND REPORT FORM

Priority: Substantive, Nonsignificant

Legal Authority: 15 USC 18a Clayton Act

CFR Citation: 16 CFR 801 to 803

Legal Deadline: None

Abstract: The Premerger Notification Rules and the Antitrust 
Improvements Act Notification and Report Form were adopted pursuant to 
Section 7A of the Clayton Act. Section 7A requires firms of a certain 
size contemplating mergers or acquisitions of a specified size to file 
notification with the Federal Trade Commission (FTC) and the Department 
of Justice (DOJ) and to wait a designated period before consummating 
the transaction. It also requires the FTC, with the concurrence of the 
Assistant Attorney General for Antitrust, to promulgate rules requiring 
that notification be in a form and contain information necessary to 
enable the FTC and DOJ to determine whether the proposed acquisition 
may, if consummated, violate the antitrust laws. These rules are 
continually reviewed in order to improve the program's effectiveness 
and reduce the paperwork burden on the business community. The 
Commission proposed modifications to the Premerger Notification and 
Report Form on June 14, 1994. 59 FR 30545.
The Commission has issued interim rules based on comments received in 
response to this Notice, as well as on some changes in HSR reporting 
requirements necessitated by the recent amendments to Section 7(A) of 
the Clayton Act. The President signed the statutory amendments into law 
on December 21, 2000. Both the statutory amendments and the interim 
rules became effective on February 1, 2001. The Commission also 
published a Notice of Proposed Rulemaking (NPRM) updating examples in 
several rules and revising others. The comment period for the interim 
rules and the NPRM ended on March 19, 2001. In addition, form changes 
requiring the use of the North American Industrial Classification 
System (NAICS) to replace the Standard Industrial Classification (SIC) 
codes in completing item 5 on the HSR form, will be made in a NPRM to 
be issued this spring. Staff anticipates those changes to be effective 
on June 30, 2001. Staff expects to propose additional changes by the 
summer.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM (Rule Changes)             02/01/01                     66 FR 8722
Interim Rule I (Statutory 
Changes)                        02/01/01                     66 FR 8679
Interim Rule II (Rules of 
Practice)                       02/01/01                     66 FR 8720
Comment Period End (Interim and 
Proposed Rules)                 03/19/01
NPRM (Change from SIC to NAICS) 04/00/01
NPRM (HSR Form Changes)         06/00/01
Effective Date (Change from SIC 
to NAICS)                       06/00/01
NPRM (Additional Rule Changes)  07/00/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Marian Bruno, Assistant Director, Federal Trade 
Commission, Premerger Notification Office, Washington, DC 20580
Phone: 202 326-2846

[[Page 26582]]

Email: [email protected]

RIN: 3084-AA23
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4350. TRADE REGULATION RULE CONCERNING THE LABELING AND ADVERTISING OF 
HOME INSULATION

Priority: Substantive, Nonsignificant

Legal Authority: 15 USC 41 et seq

CFR Citation: 16 CFR 460

Legal Deadline: None

Abstract: The Federal Trade Commission's Trade Regulation Rule 
Concerning the Labeling and Advertising of Home Insulation (R-Value 
Rule) became effective on September 29, 1980. The Rule is designed to 
assist consumers in evaluating and comparing the thermal performance 
characteristics of competing home insulation products. Specifically, 
the Rule requires manufacturers of home insulation products to provide 
information about the product's degree of resistance to the flow of 
heat (R-Value). The Rule also establishes uniform standards for 
testing, information disclosure, and substantiation of product 
performance claims. As part of its systematic review of all Commission 
rules and guides, the Commission requested comments on, among other 
things, the economic impact of, and the continuing need for this Rule, 
possible conflicts between the Rule and state, local and other Federal 
laws, and the effect on the Rule of any technological, economic, or 
other industry changes. The Commission is considering the comments 
received in two parts. In part I, the Commission reviewed comments that 
addressed the current benefits, burdens, and need for the Rule, and 
determined to retain the Rule. The Commission also adopted non-
substantive amendments that: (1) allow the optional use of the 
additional R-value test procedure; and (2) require use in the future of 
revised, current versions of other test procedures cited in the Rule. 
In part II, the Commission is considering the comments recommending 
that the Commission adopt substantive revisions to the Rule. In 
response to the comments received, the Commission issued an Advance 
Notice of Proposed Rulemaking (ANPRM) seeking comment on whether it 
should initiate a rulemaking proceeding to amend the Rule. In the 
ANPRM, the Commission proposed amendments to recognize technological 
advances in R-value testing and specimen preparation procedures, and to 
clarify and streamline the Rule's requirements. The Comment period on 
the ANPRM ended on November 15, 1999. Based on the ANPRM record, the 
Commission will determine whether to initiate a rulemaking proceeding.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

Request for Comments            04/06/95                    60 FR 17492
Commission Action/Part I        03/28/96                    61 FR 13659
Commission Action/ANPRM         09/01/99                    64 FR 48023
Comment Period End              11/15/99
Recommendation to Commission    08/00/01
Commission Action               11/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: Businesses

Government Levels Affected: None

Agency Contact: Hampton Newsome, Attorney, Federal Trade Commission, 
Division of Enforcement, Bureau of Consumer Protection, Washington, DC 
20580
Phone: 202 326-2889
Email: [email protected]

RIN: 3084-AA60
_______________________________________________________________________




4351. TRADE REGULATION RULE ON FRANCHISING AND BUSINESS OPPORTUNITY 
VENTURES

Priority: Substantive, Nonsignificant

Legal Authority: 15 USC 41 to 58

CFR Citation: 16 CFR 436

Legal Deadline: None

Abstract: The Federal Trade Commission's Trade Regulation Rule on 
Franchising and Business Opportunity Ventures (Franchise Rule) became 
effective on October 21, 1979. The Rule is designed to reduce deceptive 
and unfair practices in the sale of franchises and business 
opportunities by requiring the pre-sale disclosure of material 
information about the franchise. For example, the Rule requires 
franchisors to disclose their business background and litigation 
history, as well as the number of failed and terminated franchise 
units. The Rule also requires the disclosure of material terms of the 
franchise relationship, such as recurring fees and termination and 
renewal rights. The Rule further requires the franchisor to provide an 
audited financial statement for the past three fiscal years. Finally, 
the Rule requires any franchisor who makes earnings representations to 
provide the prospective franchisee with an earnings claims document 
that substantiates those claims. On February 28, 1997, the Commission 
published an Advance Notice of Proposed Rulemaking (ANPRM) 
contemplating amendments that would address any new technologies and 
market practices and at the same time, reduce any unnecessary 
regulatory burden. Specifically, the Commission requested comments on 
whether to revise the Rule to more closely align Federal and State 
disclosure requirements governing franchise sales, and to address 
changes in the marketing of franchises, such as the sale of franchises 
internationally and through the Internet. Six public workshops were 
held in five cities during 1997 to promote discussions about the 
issues; allow the public to make statements on the record; and assist 
Commission staff in drafting a proposed amended Rule. The Commission 
extended the comment period to December 31, 1997. On October 22, 1999, 
the Commission published a Notice of Proposed Rulemaking (NPRM) with a 
text of the revised Rule. Comments were accepted until December 21, 
1999, and rebuttal comments were accepted until January 31, 2000. 
Commission staff is now analyzing the comments and will prepare a staff 
report.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

ANPRM                           02/28/97                     62 FR 9115
Comment Period End              12/31/97                    62 FR 28822
Recommendation to Commission    03/26/99
NPRM                            10/22/99                    64 FR 57293
NPRM Comment Period End         12/21/99
NPRM Rebuttal Comment Period End01/31/00
Staff Report                    09/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: Businesses

Government Levels Affected: State

Agency Contact: Steven Toporoff, Attorney, Federal Trade Commission, 
Division of Marketing Practices, Bureau of Consumer Protection, 
Washington, DC 20580

[[Page 26583]]

Phone: 202 326-3135
Email: [email protected]

RIN: 3084-AA63
_______________________________________________________________________




4352. TRADE REGULATION RULE PURSUANT TO THE TELEPHONE DISCLOSURE AND 
DISPUTE RESOLUTION ACT OF 1992

Priority: Substantive, Nonsignificant

Legal Authority: 15 USC 5701 et seq; 15 USC 5714(1)

CFR Citation: 16 CFR 308

Legal Deadline: None

Abstract: Congress enacted the Telephone Disclosure and Dispute 
Resolution Act of 1992 (TDDRA) to curtail certain unfair and deceptive 
practices perpetrated by some pay-per-call businesses, and to encourage 
the growth of the legitimate pay-per-call industry. TDDRA mandated that 
the FTC promulgate a rule to curb these practices; the 900-Number Rule 
became effective on November 1, 1993. TDDRA granted the Commission 
limited jurisdiction over common carriers for purposes of the 900-
Number Rule. The Rule requires that advertisements for 900-numbers 
contain certain disclosures; that anyone who calls a 900-number service 
be given the opportunity to hang up at the conclusion of the preamble 
without incurring any charge for the call; and establishes procedures 
for resolving billing disputes for 900-number calls and other 
telephone-billed purchases. The Rule itself required the Commission to 
initiate a review of the Rule prior to November 1997. As part of this 
review, the Commission published a notice in the Federal Register on 
March 12, 1997, requesting comments on, among other things, the 
economic impact of and the continuing need for the 900-Number Rule, and 
the effect on the Rule of any technological or industry changes. The 
Commission also sought comments, pursuant to authority granted under 
the Telecommunications Act of 1996, on whether to expand the Rule to 
govern other similar audio information and entertainment services. 
Staff held a workshop on June 19-20, 1997, during which members of the 
industry discussed issues raised in the comments, including billing and 
collection issues and possible ways to expand the definition of ``pay-
per-call services.'' Many commenters reported that the 900-Number Rule 
has been successful in reducing the abuses that led to the passage of 
TDDRA. Despite the success of the Rule in correcting the abuses in the 
900-number industry, complaints about other types of audiotext services 
(accessed via dialing patterns other than 900 numbers) are being 
reported. The majority of complaints now involve 800 numbers, 
international numbers, or other dialing patterns that do not use the 
900-number prefix. Many consumer and law enforcement agencies also have 
been receiving complaints from consumers who have discovered 
unexplained charges (in some cases, recurring charges) on their 
telephone bills for services that were never authorized, ordered, 
received, or used, a practice known as ``cramming.'' On October 30, 
1998, the Commission published an NPRM that would expand the definition 
of ``pay-per-call'' services beyond 900 numbers and that would 
implement measures to combat telephone bill cramming. The proposed 
revisions would (1) require the express authorization of the person to 
be billed for the purchase of any ``telephone-billed purchases'' that 
cannot be blocked by 900-number blocking; (2) prohibit vendors from 
billing consumers for monthly or other recurring charges for pay-per-
call services unless the vendor had entered into a ``presubscription 
agreement'' with the person to be billed and had sent the consumer a 
written copy of the agreement; and (3) give consumers legal recourse to 
dispute unauthorized charges crammed on phone bills and have those 
charges removed. The comment period was extended to March 10, 1999, and 
the workshop-conference was held on May 20-21, 1999. At the workshop, 
participants discussed issues raised by the comments, such as the 
meaning of ``express authorization'' and the requirements for a 
presubscription agreement. Staff plans to forward a recommendation to 
the Commission later this year.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

Request for Comments            03/12/97                    62 FR 11749
Comment Period End              05/12/97
Public Workshop                 06/19/97
Public Workshop                 06/20/97
Recommendation to Commission    09/08/98
NPRM                            10/30/98                    63 FR 58523
Comment Period Extended         01/04/99                       64 FR 61
Comment Period End              01/08/99
Public Workshop-Conference      02/25/99
Extended Comment Period End     03/10/99
Public Workshop-Conference Date 
Rescheduled                     05/20/99
Recommendation to Commission    09/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: Businesses

Government Levels Affected: None

Agency Contact: Elizabeth Hone, Attorney, Federal Trade Commission, 
Division of Marketing Practices, Bureau of Consumer Protection, 
Washington, DC 20580
Phone: 202 326-3207
Email: [email protected]

Marianne K. Schwanke, Attorney, Federal Trade Commission, Division of 
Marketing Practices, Bureau of Consumer Protection, Washington, DC 
20580
Phone: 202 326-3165
Email: [email protected]

RIN: 3084-AA78
_______________________________________________________________________




4353. TRADE REGULATION RULE ON OPHTHALMIC PRACTICE RULES

Priority: Substantive, Nonsignificant

Legal Authority: 15 USC 41 et seq

CFR Citation: 16 CFR 456

Legal Deadline: None

Abstract: The Trade Regulation Rule on Ophthalmic Practice Rules, also 
known as the Prescription Release Rule, provides that an optometrist or 
ophthalmologist must give the patient, at no extra cost, a copy of the 
eyeglass prescription immediately after the examination is completed. 
The Rule also prohibits optometrists and ophthalmologists from 
conditioning the availability of an eye examination, as defined by the 
Rule, on a requirement that the patient agrees to purchase ophthalmic 
goods from the optometrist or ophthalmologist, and from placing on the 
prescription, or delivering to the patient, certain disclaimers or 
waivers of liability. The Rule does not require an optometrist or 
ophthalmologist to release a contact lens prescription to

[[Page 26584]]

a patient after an eye exam. As part of its systematic review of all 
Commission rules and guides, the Commission has requested comments on 
the economic impact of, and the continuing need for, this Rule, 
possible conflict between the Rule and State, local, or other Federal 
laws, and the effect on the Rule of any technological, economic, or 
other industry changes. Staff is preparing a memorandum to the 
Commission summarizing the comments received and making recommendations 
as to whether the Commission should revise, repeal, or retain the rule.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

Request for Comments            04/03/97                    62 FR 15865
Notice of Comment Period 
Extension                       05/29/97                    62 FR 29088
Comment Period End              06/02/97
Comment Period End              09/02/97
Recommendation to Commission    05/00/01
Commission Action               07/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: Businesses

Government Levels Affected: None

Agency Contact: Richard Cleland, Federal Trade Commission, Division of 
Enforcement, Bureau of Consumer Protection, Washington, DC 20580
Phone: 202 326-3088
Email: [email protected]

RIN: 3084-AA80
_______________________________________________________________________




4354. TRADE REGULATION RULE CONCERNING POWER OUTPUT CLAIMS FOR 
AMPLIFIERS UTILIZED IN HOME ENTERTAINMENT PRODUCTS

Priority: Substantive, Nonsignificant

Legal Authority: 15 USC 41 et seq

CFR Citation: 16 CFR 432

Legal Deadline: None

Abstract: The Trade Regulation Rule Concerning Power Output Claims for 
Amplifiers Utilized in Home Entertainment Products (``Amplifier Rule'' 
or ``Rule'') was promulgated in 1974 to assist consumers in purchasing 
power amplification equipment for home entertainment purposes by 
standardizing the measurement and disclosure of various performance 
characteristics of the equipment. The Amplifier Rule establishes 
uniform test standards and disclosures so that consumers can make more 
meaningful comparisons of performance attributes. The Rule makes it an 
unfair or deceptive act or practice for manufacturers and sellers of 
sound power amplification equipment for home entertainment purposes to 
fail to disclose certain performance information in connection with 
direct or indirect representations of power output, power band, 
frequency or distortion characteristics. The Rule also sets out 
standard test conditions for performing the measurements that support 
the required performance disclosures. Further, the Rule prohibits 
representations of performance characteristics if they are not 
obtainable when the equipment is operated by the consumer in the usual 
and ordinary manner without the use of extraneous aids.
To determine whether changes in technology that occurred since the Rule 
was issued necessitated any Rule revisions, the Commission requested 
comments on the Rule. Among other things, the Commission asked about 
the economic impact of, and the continuing need for, this Rule; and any 
possible conflict between the Rule and State, local and other Federal 
laws. Based upon the regulatory review, the Commission determined that 
the Rule applies to self-powered speakers for use with home computers 
and home sound systems but that the Rule should not be extended to 
automobile sound systems. The Commission also determined to issue an 
ANPRM seeking comment on whether it should amend the Rule. Based on the 
ANPRM record, the Commission issued a NPRM to seek public comment on 
whether the Commission should amend the Rule to reduce the 
preconditioning power output requirement from one-third of rated power 
to a lower figure; exempt sellers who make power output claims in media 
advertising from the requirement to disclose total rated harmonic 
distortion and the associated power bandwidth and impedance ratings; 
and clarify the manner in which the Rule's testing procedures apply to 
self-powered subwoofer-satellite combination speaker systems. Based on 
the NPRM record, the Commission amended the Rule as proposed in the 
NPRM. At the same time, the Commission issued a Supplemental Notice of 
Proposed Rulemaking (SNPRM) to seek public comment on proposed testing 
procedures for ``home theater'' receivers with five or more channels. 
The comment period for SNPRM ends on February 23, 2001.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

Request for Comments            04/07/97                    62 FR 16500
Comment Period End              06/06/97
ANPRM                           07/09/98                    63 FR 37238
Final Rule (Nonsubstantive 
Technical Changes)              07/09/98                    63 FR 37234
Comment Period End              09/08/98
NPRM                            07/19/99                    64 FR 38610
Comment Period End              10/15/99                    64 FR 51087
SNPRM                           12/22/00                    65 FR 80798
Commission Action               12/22/00                    65 FR 81232
Comment Period End              02/23/01
Reopen Comment Period           03/01/01                    66 FR 12915
Comment Period End              03/23/01
Recommendation to Commission    06/00/01
Commmission Action              07/00/01

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Neil Blickman, Attorney, Federal Trade Commission, 
Division of Enforcement, Bureau of Consumer Protection, Washington, DC 
20580
Phone: 202 326-3038
Email: [email protected]

RIN: 3084-AA81

[[Page 26585]]

_______________________________________________________________________


FEDERAL TRADE COMMISSION (FTC)                        Long-Term Actions


  



_______________________________________________________________________




4355. AMENDED FEDERAL DEPOSIT INSURANCE CORPORATION IMPROVEMENT ACT

Priority: Substantive, Nonsignificant

CFR Citation: Not Yet Determined

Timetable: Next Action Undetermined

Regulatory Flexibility Analysis Required: No

Government Levels Affected: State

Agency Contact: Carole Reynolds
Phone: 202 326-3230
Email: [email protected]

RIN: 3084-AA44
[FR Doc. 01-5208 Filed 05-11-01; 8:45 am]
BILLING CODE 6750-01-S
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