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


[[Page 75489]]

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Part XLVIII






Commodity Futures Trading Commission





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Semiannual Regulatory Agenda

[[Page 75490]]



COMMODITY FUTURES TRADING COMMISSION (CFTC)






_______________________________________________________________________

COMMODITY FUTURES TRADING COMMISSION

17 CFR Ch. I

Regulatory Flexibility Agenda

AGENCY: Commodity Futures Trading Commission.

ACTION: Semiannual regulatory agenda.

_______________________________________________________________________

SUMMARY: The Commodity Futures Trading Commission, in accordance with 
the requirements of the Regulatory Flexibility Act, is publishing a 
semiannual agenda of significant rules that the Commission expects to 
propose or promulgate over the next year. The Commission welcomes 
comments from small entities and others on the agenda.

FOR FURTHER INFORMATION CONTACT: 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) Semiannually, each agency shall publish in the Federal 
Register a regulatory flexibility agenda that shall contain:

    (1) A brief description of the subject area of any rule that 
the agency expects to propose or promulgate, which is likely to 
have a significant economic impact on a substantial number of small 
entities;

    (2) A summary of the nature of any such rule under 
consideration for each subject area listed in the agenda pursuant 
to paragraph (1), the objectives and legal basis for the issuance 
of the rule, and an approximate schedule for completing action on 
any rule for which the agency has issued a general notice of 
proposed rulemaking; and

    (3) The name and telephone number of an agency official 
knowledgeable about the items listed in paragraph (1). 5 U.S.C. 
602(a).

     The Commission has prepared an agenda of significant rules 
that it presently expects may be considered during the course of 
the next year. These rules may have some impact on small 
entities.\1\ In this regard, section 602(d) of the RFA, 5 U.S.C. 
602(d), provides: ``Nothing in [section 602] precludes an agency 
from considering or acting on any matter not included in a 
regulatory flexibility agenda or requires an agency to consider or 
act on any matter listed in such agenda.''

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

Issued in Washington, DC on September 18, 2002 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, 
posts an advisory on its website (http://www.cftc.gov) that 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
----------------------------------------------------------------------------------------------------------------
3921        Denomination of Customer Funds and Location of Depositories.........................     3038-AB31
3922        Minimum Financial Requirements for Futures Commission Merchants and Introducing          3038-AB64
            Brokers.............................................................................
3923        Regulation of Hybrid Instruments....................................................     3038-AB69
3924        Use of Broker-Dealers, Depository Institutions, and Farm Crediting System                3038-AB70
            Institutions as Intermediaries on Derivatives Transaction Execution Facilities......
3925        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...............
3926        Offering and Selling Security Futures Products Traded on Foreign Boards of Trade to      3038-AB75
            United States Persons...............................................................
3927        Requirements for Foreign Stock Index Contracts To Qualify as Non-Narrow-Based            3038-AB78
            Indices.............................................................................
3928        Allocation of Bunched Orders........................................................     3038-AB93
3929        Treatment of Foreign Futures or Foreign Options Secured Amount......................     3038-AB96
----------------------------------------------------------------------------------------------------------------


                             Commodity Futures Trading Commission--Final Rule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
3930        Performance Disclosures for Commodity Trading Advisors and Commodity Pool Operators.     3038-AB39
3931        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 75491]]

 
3932        Customer Identification Program for Futures Commission Merchants and Introducing         3038-AB90
            Brokers.............................................................................
3933        Reporting Levels for Large Trader Reports; TRAKRS...................................     3038-AB91
----------------------------------------------------------------------------------------------------------------


                             Commodity Futures Trading Commission--Long-Term Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                    Regulation
 Sequence                                          Title                                          Identification
  Number                                                                                              Number
----------------------------------------------------------------------------------------------------------------
3934        Public Reporting by Operators of Certain Large Commodity Pools--Regulations 4.7,         3038-AB40
            4.12, and 4.27......................................................................
3935        Trade Options on Enumerated Agricultural Commodities................................     3038-AB61
3936        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
----------------------------------------------------------------------------------------------------------------
3937        Margin Requirements for Security Futures Products...................................     3038-AB71
3938        Avoidance of Duplicative or Conflicting Regulations Applicable to Dual Registrants..     3038-AB76
3939        Cash Settlement and Regulatory Halts Required for Security Futures Products.........     3038-AB86
----------------------------------------------------------------------------------------------------------------


                                               Commodity Futures Trading Commission--Discontinued Entries
--------------------------------------------------------------------------------------------------------------------------------------------------------
  Regulation
Identification                                             Title                                                  Date                 Comments
    Number
--------------------------------------------------------------------------------------------------------------------------------------------------------
3038-AB73        Authority To Modify Security Futures Product Listing Standards                                 06/25/2002   Withdrawn
--------------------------------------------------------------------------------------------------------------------------------------------------------

_______________________________________________________________________


Commodity Futures Trading Commission (CFTC)         Proposed Rule Stage






_______________________________________________________________________




3921. 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: 17 CFR 1.32; 17 CFR 1.49

Legal Deadline: None

Abstract: The Commission is requesting public comment on proposed rules 
that would permit futures commission merchants and derivatives clearing 
organizations, under certain conditions, to deposit customer funds in 
foreign depositories and in certain currencies other than United States 
dollars. The Commission is also requesting public comment on a proposed 
amendment to appendix B of its bankruptcy rules that would govern the 
distribution of property where the bankrupt futures commission merchant 
or derivatives clearing organization maintains customer property in 
depositories outside the United States or in a foreign currency.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

Concept Release                 12/30/97                    62 FR 67841
NPRM                            08/13/02                    67 FR 52641
NPRM Comment Period End         10/15/02
Final Action                    02/00/03

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Michael A. Piracci, Attorney Advisor, Division of 
Clearing and Intermediary Oversight, 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
_______________________________________________________________________




3922. 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

[[Page 75492]]

Abstract: The Commission intends to propose amendments to Rule 1.17 
that would adopt a risk-based capital requirement for futures 
commission merchants.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            11/00/02
NPRM Comment Period End         12/00/02

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

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

RIN: 3038-AB64
_______________________________________________________________________




3923. 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
_______________________________________________________________________




3924. 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
_______________________________________________________________________




3925. 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

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
_______________________________________________________________________




3926. 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                            01/00/03

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

[[Page 75493]]

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
_______________________________________________________________________




3927. 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                            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-AB78
_______________________________________________________________________




3928. [bull] ALLOCATION OF BUNCHED ORDERS

Priority: Substantive, Nonsignificant

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

CFR Citation: 17 CFR 1.35

Legal Deadline: None

Abstract: The Commission intends to propose procedures for streamlining 
the allocation of bunched orders for futures and commodity option 
trades, as well as the associated recordkeeping requirements. The 
proposal was referred to in the Commission's intermediaries study, and 
it addresses concerns regarding the possibility of fraud and money-
laundering activities.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            11/00/02
NPRM Comment Period End         01/00/03
Final Action                    03/00/03

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Christopher Ward Cummings, Special Counsel, Division of 
Clearing and Intermediary Oversight, Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, 
DC 20581
Phone: 202 418-5445
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AB93
_______________________________________________________________________




3929. [bull] TREATMENT OF FOREIGN FUTURES OR FOREIGN OPTIONS SECURED 
AMOUNT

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 6

CFR Citation: 17 CFR 30.7

Legal Deadline: None

Abstract: The Commission intends to propose an amendment to Rule 30.7 
to provide that a futures commission merchant that holds funds on 
behalf of customers for trading futures and options on foreign markets 
may invest such funds in certain permitted investments. The proposal 
would establish investments that are comparable to the investments that 
a futures commission merchant may make with customer funds deposited 
for trading on United States markets pursuant to Rule 1.25.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            03/00/03
NPRM Comment Period End         06/00/03

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

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

RIN: 3038-AB96
_______________________________________________________________________


Commodity Futures Trading Commission (CFTC)            Final Rule Stage






_______________________________________________________________________




3930. 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

[[Page 75494]]

NPRM Comment Period End         10/01/99
Final Action                    11/00/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Robert B. Wasserman, Associate Director, Division of 
Clearing and Intermediary Oversight, 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
_______________________________________________________________________




3931. 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                    12/00/02
Final Action Effective          02/00/03

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Susan A. Elliott, Attorney Advisor, Division of 
Clearing and Intermediary Oversight, 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
_______________________________________________________________________




3932. [bull] CUSTOMER IDENTIFICATION PROGRAM FOR FUTURES COMMISSION 
MERCHANTS AND INTRODUCING BROKERS

Priority: Substantive, Nonsignificant

Legal Authority: PL 107-56, sec 326, codified at 31 USC 5318(l)

CFR Citation: 31 CFR 103; 31 CFR 123; 17 CFR 1

Legal Deadline: NPRM, Statutory, October 25, 2002.

Abstract: The Department of the Treasury and the Commodity Futures 
Trading Commission are required to jointly prescribe regulations 
relating to customer identification programs for futures commission 
merchants and introducing brokers.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            07/23/02                    67 FR 48328
Comment Period End              09/06/02
Final Action                    12/00/02

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Office Of 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-AB90
_______________________________________________________________________




3933. [bull] REPORTING LEVELS FOR LARGE TRADER REPORTS; TRAKRS

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 proposing to amend part 15 of its rules, 17 
CFR part 15, to establish a reporting level for TRAKRS futures 
contracts to be traded on the Chicago Mercantile Exchange.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            08/05/02                    67 FR 50608
NPRM Comment Period End         09/04/02
Final Action                    11/00/02

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Gary J. Martinaitis, Deputy Associate Director, Market 
Surveillance Section, Division of Market Oversight, Commodity Futures 
Trading Commission
Phone: 202 418-5260
Fax: 202 418-5527
Email: [email protected]

RIN: 3038-AB91

[[Page 75495]]

_______________________________________________________________________


Commodity Futures Trading Commission (CFTC)           Long-Term Actions






_______________________________________________________________________




3934. 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

Small Entities Affected: No

Government Levels Affected: None

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

RIN: 3038-AB40
_______________________________________________________________________




3935. 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
_______________________________________________________________________




3936. 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






_______________________________________________________________________




3937. MARGIN REQUIREMENTS FOR SECURITY FUTURES PRODUCTS

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 41.43 to 41.48

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    08/14/02                    67 FR 53145
Final Action Effective          09/13/02

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-AB71
_______________________________________________________________________




3938. AVOIDANCE OF DUPLICATIVE OR CONFLICTING REGULATIONS APPLICABLE TO 
DUAL REGISTRANTS

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 1.3; 17 CFR 1.55; 17 CFR 41.41; 17 CFR 190

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    09/13/02                    67 FR 58284
Final Action Effective          09/13/02

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-AB76
_______________________________________________________________________




3939. CASH SETTLEMENT AND REGULATORY HALTS REQUIRED FOR SECURITY FUTURES 
PRODUCTS

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 41.25; 17 CFR 41.1

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    05/24/02                    67 FR 36739
Final Action Effective          06/24/02

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-AB86
[FR Doc. 02-25196 Filed 12-06-02; 8:45 am]
BILLING CODE 6351-01-S
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