[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]


-----------------------------------------------------------------------

Part XLVII





Commodity Futures Trading Commission





-----------------------------------------------------------------------



Semiannual Regulatory Agenda

[[Page 34062]]



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. These rules may have some impact on small 
entities.\1\ In this regard, section 602(d) of the RFA, 5 U.S.C. 
602(d), provides: ``Nothing in [section 602] precludes an 
agency from considering or acting on any matter not included in a 
regulatory flexibility agenda or requires an agency to consider or 
act on any matter listed in such agenda.''

    The Commission's spring 2002 regulatory flexibility agenda is 
set forth below.

Issued in Washington, DC, on February 27, 2002 by the Commission.

 Catherine D. Dixon,

Assistant 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, 
posts an advisory on its website (http://www.cftc.gov) 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
----------------------------------------------------------------------------------------------------------------
3622        Denomination of Customer Funds and Location of Depositories.........................     3038-AB31
3623        Minimum Financial Requirements for Futures Commission Merchants and Introducing          3038-AB64
            Brokers.............................................................................
3624        Regulation of Hybrid Instruments....................................................     3038-AB69
3625        Use of Broker-Dealers, Depository Institutions, and Farm Crediting System                3038-AB70
            Institutions as Intermediaries on Derivatives Transaction Execution Facilities......
3626        Authority To Modify Security Futures Product Listing Standards......................     3038-AB73
3627        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...............
3628        Offering and Selling Security Futures Products Traded on Foreign Boards of Trade to      3038-AB75
            United States Persons...............................................................
3629        Requirements for Foreign Stock Index Contracts To Qualify as Non-Narrow-Based            3038-AB78
            Indices.............................................................................
----------------------------------------------------------------------------------------------------------------


                             Commodity Futures Trading Commission--Final Rule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
3630        Performance Disclosures for Commodity Trading Advisors and Commodity Pool Operators.     3038-AB39
3631        Registration Exemptions Pertaining to the Offer and Sale of Foreign Futures and          3038-AB45
            Foreign Options Contracts to Customers Located in the United States.................

[[Page 34063]]


3632        Margin Requirements for Security Futures Products...................................     3038-AB71
3633        Avoidance of Duplicative or Conflicting Regulations Applicable to Dual Registrants..     3038-AB76
3634        Cash Settlement and Regulatory Halts Required for Security Futures Products.........     3038-AB86
----------------------------------------------------------------------------------------------------------------


                             Commodity Futures Trading Commission--Long-Term Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
3635        Public Reporting by Operators of Certain Large Commodity Pools--Regulations 4.7,         3038-AB40
            4.12, and 4.27......................................................................
3636        Trade Options on Enumerated Agricultural Commodities................................     3038-AB61
3637        Exemption From Compliance With the Criterion for Linked and Coordinated Clearing....     3038-AB72
----------------------------------------------------------------------------------------------------------------


                             Commodity Futures Trading Commission--Completed Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
3638        Prohibition Against Dual Trading....................................................     3038-AB83
3639        Regulation Concerning Conduct of Members and Employees and Former Members and            3038-AB85
            Employees of the Commission, 17 CFR Part 140........................................
3640        Listing Standards and Conditions for Trading Security Futures Products..............     3038-AB87
3641        Reporting Levels for Large Trader Reports; Security Futures Products................     3038-AB88
----------------------------------------------------------------------------------------------------------------


                                               Commodity Futures Trading Commission--Discontinued Entries
--------------------------------------------------------------------------------------------------------------------------------------------------------
  Regulation
Identification                                             Title                                             Date Withdrawn            Comments
    Number
--------------------------------------------------------------------------------------------------------------------------------------------------------
3038-AB79        Special Procedures To Encourage and Facilitate Bona Fide Hedging by Agricultural Producers     02/01/2002   Withdrawn
--------------------------------------------------------------------------------------------------------------------------------------------------------

_______________________________________________________________________


Commodity Futures Trading Commission (CFTC)         Proposed Rule Stage


  



_______________________________________________________________________




3622. DENOMINATION OF CUSTOMER FUNDS AND LOCATION OF DEPOSITORIES

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 1a; 7 USC 2; 7 USC 5; 7 USC 6a to 6d; 7 USC 6f 
to 6g; 7 USC 12a; 7 USC 19

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                            05/00/02
NPRM Comment Period End         06/00/02

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Michael A. Piracci, Attorney Advisor, 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-;AB31
_______________________________________________________________________




3623. 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

[[Page 34064]]

would adopt a risk-based capital requirement for futures commission 
merchants.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            05/00/02
NPRM Comment Period End         06/00/02

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
_______________________________________________________________________




3624. 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                            01/00/03

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Elizabeth L. Ritter, 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-;AB69
_______________________________________________________________________




3625. 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                            01/00/03

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L. Ritter, 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
_______________________________________________________________________




3626. AUTHORITY TO MODIFY SECURITY FUTURES PRODUCT LISTING STANDARDS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 2(a)(1)(D)(v)(I)

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                            08/00/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L. Ritter, 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
_______________________________________________________________________




3627. 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 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                            01/00/03

Regulatory Flexibility Analysis Required: No

[[Page 34065]]

Government Levels Affected: None

Agency Contact: Elizabeth L. Ritter, 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
_______________________________________________________________________




3628. 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                            07/00/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L. Ritter, 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
_______________________________________________________________________




3629. 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: 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                            07/00/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L. Ritter, 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
_______________________________________________________________________


Commodity Futures Trading Commission (CFTC)            Final Rule Stage


  



_______________________________________________________________________




3630. 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                    05/00/02

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
_______________________________________________________________________




3631. 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

[[Page 34066]]

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                    06/00/02
Final Action Effective          08/00/02

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
_______________________________________________________________________




3632. 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: 17 CFR 41.43 to 41.48

Legal Deadline: None

Abstract: The Board of Governors of the Federal Reserve System on March 
6, 2001 delegated its authority to 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                            10/04/01                    66 FR 50719
NPRM Comment Period Extended to 
12/05/2001                      11/02/01                    66 FR 55608
Correction                      11/13/01                    66 FR 56902
Correction                      11/19/01                    66 FR 58007
Final Action                    05/00/02
Final Action Effective          05/00/02

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Elizabeth L. Ritter, 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
_______________________________________________________________________




3633. 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                            10/04/01                    66 FR 50785
NPRM Comment Period Extended to 
12/05/2001                      11/02/01                    66 FR 55608
Final Action                    05/00/02
Final Action Effective          05/00/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L. Ritter, 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
_______________________________________________________________________




3634. CASH SETTLEMENT AND REGULATORY HALTS REQUIRED FOR SECURITY FUTURES 
PRODUCTS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 2(a)(1)(D)(i)

CFR Citation: 17 CFR 41.25; 17 CFR 41.1

Legal Deadline: None

Abstract: The Commission and the Securities and Exchange Commission are 
required to jointly publish in the Federal Register requirements for 
listing standards for security futures products relating to the cash 
settlement of contracts and regulatory trading halts.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            08/30/01                    66 FR 45903
NPRM Comment Period End         10/01/01
Final Action                    05/00/02
Final Action Effective          05/00/02

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Richard A. Shilts, Acting Director, 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-;AB86

[[Page 34067]]

_______________________________________________________________________


Commodity Futures Trading Commission (CFTC)           Long-Term Actions


  



_______________________________________________________________________




3635. 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
_______________________________________________________________________




3636. TRADE OPTIONS ON ENUMERATED AGRICULTURAL COMMODITIES

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 32.13

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
Phone: 202 418-5260
Fax: 202 418-5527
Email: [email protected]

Nancy E. Yanofsky
Phone: 202 418-5292
Fax: 202 418-5567
Email: [email protected]

RIN: 3038-;AB61
_______________________________________________________________________




3637. EXEMPTION FROM COMPLIANCE WITH THE CRITERION FOR LINKED AND 
COORDINATED CLEARING

Priority: Substantive, Nonsignificant

CFR Citation: Not Yet Determined

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            12/00/03

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L. Ritter
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-;AB72
_______________________________________________________________________


Commodity Futures Trading Commission (CFTC)           Completed Actions


  



_______________________________________________________________________




3638. PROHIBITION AGAINST DUAL TRADING

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 41.27

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    03/13/02                    67 FR 11223
Final Action Effective          04/12/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Rachel F. Berdansky
Phone: 202 418-5429
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-;AB83
_______________________________________________________________________




3639. REGULATION CONCERNING CONDUCT OF MEMBERS AND EMPLOYEES AND FORMER 
MEMBERS AND EMPLOYEES OF THE COMMISSION, 17 CFR PART 140

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 140.735

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    02/08/02                     67 FR 5938
Final Action Effective          02/08/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: Federal

Agency Contact: Susan Nathan
Phone: 202 418-5120
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-;AB85
_______________________________________________________________________




3640. LISTING STANDARDS AND CONDITIONS FOR TRADING SECURITY FUTURES 
PRODUCTS

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 41.21 to 41.25

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    11/01/01                    66 FR 55078
Final Action Effective          11/01/01

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

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

RIN: 3038-;AB87
_______________________________________________________________________




3641.  REPORTING LEVELS FOR LARGE TRADER REPORTS; SECURITY FUTURES 
PRODUCTS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 6g; 7 USC 6i; 7 USC 7; 7 USC 7a; 7 USC 12a

CFR Citation: 17 CFR 15.03

Legal Deadline: None

Abstract: The Commission is amending part 15 of its rules to establish 
reporting levels for security futures products.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            12/13/01                    66 FR 64383
NPRM Comment Period End         01/14/02
Final Action                    03/15/02                    67 FR 11569
Final Action Effective          03/15/02
Correction                      03/25/02                    67 FR 13680

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Gary J. Martinaitis, Deputy Associate Director, Market 
Surveillance Section, Division of Economic Analysis, Commodity Futures 
Trading Commission
Phone: 202 418-5260
Fax: 202 418-5527

[[Page 34068]]

Email: [email protected]

RIN: 3038-;AB88
[FR Doc. 02-;7691 Filed 05-;10-;02; 8:45 am]
BILLING CODE 6351-;01-;S
