[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 XLVI





Commodity Futures Trading Commission





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



Semiannual Regulatory Agenda

[[Page 23442]]



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: Eileen A. Donovan, Acting Secretary of 
the Commission, Commodity Futures Trading Commission, 1155 21st Street 
NW., Washington, DC 20581; (202) 418-5096, [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:

     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 spring 2007 regulatory flexibility agenda is 
set forth below.

Issued in Washington, DC on February 28, 2007, by the Commission.

 Eileen A. Donovan,

Acting 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 that 
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 Web site (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                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
3349        Offering and Selling Security Futures Products Traded on Foreign Boards of Trade to       3038-AB75
            United States Persons; Requirements for Foreign Stock Index Contracts To Qualify as
            Non-Narrow-Based Indices..............................................................
3350        Interagency Proposal To Consider Alternative Forms of Privacy Notices Under the Gramm-    3038-AC04
            Leach-Bliley Act......................................................................
3351        Execution of Off-Centralized Market Transactions: Regulation 1.38 and Guidance on Core    3038-AC07
            Principle 9...........................................................................
3352        Exemption From Registration for Certain Foreign Persons...............................    3038-AC26
3353        Debt Securities Conforming Amendments.................................................    3038-AC31
3354        Exemption From Federal Speculative Position Limits....................................    3038-AC36
3355        Registration of Futures Commission Merchants, Introducing Brokers, Commodity Trading      3038-AC37
            Advisors, Commodity Pool Operators and Leverage Transaction Merchants.................
3356        Extension of Time for Commodity Pool Operators To File Pool Annual Reports............    3038-AC38
3357        Technical and Clarifying Amendments to Part 40 of the Commission's Regulations........    3038-AC39
3358        Periodic Revision of Federally Established Position Limits............................    3038-AC40
----------------------------------------------------------------------------------------------------------------


                             Commodity Futures Trading Commission--Completed Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
3359        Limitations on Withdrawals of Equity Capital..........................................    3038-AC27
3360        Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations............    3038-AC28
3361        Electronic Filing of Notices of Exemption or Exclusion Under Part 4 of the                3038-AC33
            Commission's Regulations..............................................................

[[Page 23443]]

 
3362        Introducing Broker Electronic Filing of Annual Reports................................    3038-AC34
3363        Advertising by Commodity Pool Operators, Commodity Trading Advisors, and the              3038-AC35
            Principals Thereof....................................................................
----------------------------------------------------------------------------------------------------------------

_______________________________________________________________________


Commodity Futures Trading Commission (CFTC)         Proposed Rule Stage


  



_______________________________________________________________________




3349. OFFERING AND SELLING SECURITY FUTURES PRODUCTS TRADED ON FOREIGN 
BOARDS OF TRADE TO UNITED STATES PERSONS; 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, 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 issue: (1) 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, and (2) rules and regulations that 
set forth the requirements for foreign stock index contracts to qualify 
as non-narrow-based indices.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/00/07

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

Agency Contact: Elizabeth L. Ritter, Deputy General Counsel, Office of 
General Counsel, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5052
Fax: 202 418-5524
Email: [email protected]

Thomas M. Leahy Jr., Associate Director for Product Review, Division of 
Market Oversight, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5278
Fax: 202 418-5527
Email: [email protected]

Related RIN: Related to 3038-AB78
RIN: 3038-AB75
_______________________________________________________________________




3350. INTERAGENCY PROPOSAL TO CONSIDER ALTERNATIVE FORMS OF PRIVACY 
NOTICES UNDER THE GRAMM-LEACH-BLILEY ACT

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 7b-2; 7 USC 12a(5); 15 USC 6801 et seq

CFR Citation: 17 CFR 160

Legal Deadline: None

Abstract: Subtitle A of the Gramm-Leach-Bliley Act (GLB Act), captioned 
Disclosure of Nonpublic Personal Information (15 U.S.C. 6801 et seq.), 
requires each financial institution to provide a notice of its privacy 
policies and practices to its consumer customers. In general, the 
privacy notices must describe a financial institution's policies and 
practices with respect to disclosing nonpublic personal information 
about a consumer to both affiliated and nonaffiliated third parties, 
and provide a consumer a reasonable opportunity to direct the 
institution not to share nonpublic personal information about the 
consumer with nonaffiliated third parties. The GLB Act agencies, which 
include eight Federal regulators including the CFTC, have published 
substantially identical regulations to implement GLB title V, known 
collectively as the ``privacy rule.'' Many notices issued under the 
privacy rule were long and complex, and difficult to compare with each 
other.
The Financial Services Regulatory Relief Act of 2006 amended the GLB 
Act, requiring the agencies to propose a model form to consumers. This 
so-called ``safe harbor'' model form is set forth in the joint NPRM 
issued by the GLB Act agencies in March. The NPRM seeks comment on the 
content and form of the form, among other matters. The NPRM was 
developed jointly by the Board of Governors of the Federal Reserve 
System, the Federal Deposit Insurance Corporation, the Federal Trade 
Commission, the National Credit Union Administration, the Office of the 
Comptroller of the Currency, the Office of Thrift Supervision, the 
Securities and Exchange Commission and the CFTC. The comments will be 
considered by all the GLB Act agencies before adopting a final rule.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

ANPRM                           12/30/03                    68 FR 75164
ANPRM Comment Period End        03/29/04
NPRM                            03/29/07                    72 FR 14939
NPRM Comment Period End         05/29/07

Regulatory Flexibility Analysis Required: No

Small Entities Affected: Businesses

Government Levels Affected: Federal

Agency Contact: Laura M. Richards, Deputy General Counsel, Office of 
General Counsel, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5126
Fax: 202 418-5524
Email: [email protected]

RIN: 3038-AC04

[[Page 23444]]

_______________________________________________________________________




3351. EXECUTION OF OFF-CENTRALIZED MARKET TRANSACTIONS: REGULATION 1.38 
AND GUIDANCE ON CORE PRINCIPLE 9

Priority: Substantive, Nonsignificant

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

CFR Citation: 17 CFR 1; 17 CFR 38

Legal Deadline: None

Abstract: Since the Commission originally promulgated Regulation 1.38, 
the Commodity Futures Modernization Act of 2000 (CFMA) was signed into 
law. The CFMA, among other things, specifically expanded the allowable 
transactions that could be executed off the centralized market. The 
Commission has proposed amendments to its rules concerning trading off 
the centralized market, including the addition of guidance on contract 
market block trading rules, in light of further administrative 
experience with, and consideration of, the implications of the CFMA.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            07/01/04                    69 FR 39880
NPRM Comment Period End         08/30/04
Second NPRM                     10/00/07
Second NPRM Comment Period End  12/00/07

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Riva Spear Adriance, Associate Deputy Director, 
Division of Market Oversight, Commodity Futures Trading Commission, 
Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5494
Fax: 202 418-5507
Email: [email protected]

Gabrielle A. Sudik, Special Counsel, Division of Market Oversight, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street NW., Washington, DC 20581
Phone: 202 418-5171
Fax: 202 418-5507
Email: [email protected]

RIN: 3038-AC07
_______________________________________________________________________




3352. EXEMPTION FROM REGISTRATION FOR CERTAIN FOREIGN PERSONS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 6d ; 7 USC 6m

CFR Citation: 17 CFR 3.10(c)

Legal Deadline: None

Abstract: The Commission is proposing to amend its regulations 
regarding registration to permit certain foreign firms located outside 
the U.S. that limit their customers to foreign customers to clear their 
U.S. contract market business on an omnibus basis through a registered 
futures commission merchant without having to register as a futures 
commission merchant pursuant to section 4d of the Commodity Exchange 
Act.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/02/07                    72 FR 15637
NPRM Comment Period End         05/02/07

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Andrew V. Chapin, Special Counsel, Division of Clearing 
and Intermediary Oversight, Commodity Futures Trading Commission, Three 
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5465
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AC26
_______________________________________________________________________




3353. DEBT SECURITIES CONFORMING AMENDMENTS

Priority: Substantive, Nonsignificant

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

CFR Citation: 17 CFR 41

Legal Deadline: None

Abstract: On July 13, 2006, the Commodity Futures Trading Commission 
(``CFTC'') and the Securities and Exchange Commission (``SEC'') issued 
joint final rules to permit the trading of futures contracts based on 
individual debt securities and indexes comprised of individual debt 
securities. The effective date for the joint rules is August 14, 2006. 
The present language of several CFTC rules is not fully consistent with 
the offer and trading of futures contracts based on debt securities. 
Therefore the CFTC is proposing to adopt several conforming amendments 
that clarify the applicability of the rules to futures contracts based 
on debt.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            10/00/07
NPRM Comment Period End         12/00/07

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Bruce Fekrat, Special Counsel, Division of Market 
Oversight, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5578
Fax: 202 418-5527
Email: [email protected]

RIN: 3038-AC31
_______________________________________________________________________




3354. EXEMPTION FROM FEDERAL SPECULATIVE POSITION LIMITS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 6a

CFR Citation: 17 CFR 150

Legal Deadline: None

Abstract: In recent years, the Commission has received requests for 
exemption or relief from Federal speculative position limits, as 
various entities seek to gain commodity price exposure by tracking an 
index that contains, among other things, futures contracts that are 
subject to such limits. Commission staff is considering different 
approaches for providing relief or exemption to commodity-index-related 
futures positions from Federal speculative position limits.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            08/00/07
NPRM Comment Period End         09/00/07

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

[[Page 23445]]

Agency Contact: Donald H. Heitman, Senior Special Counsel, Division of 
Market Oversight, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5041
Fax: 202 418-5507
Email: [email protected]

RIN: 3038-AC36
_______________________________________________________________________




3355. [bull] REGISTRATION OF FUTURES COMMISSION MERCHANTS, INTRODUCING 
BROKERS, COMMODITY TRADING ADVISORS, COMMODITY POOL OPERATORS AND 
LEVERAGE TRANSACTION MERCHANTS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 6f; 7 USC 6n; 7 USC 23

CFR Citation: 17 CFR 3.10

Legal Deadline: None

Abstract: The Commission is proposing to re-institute a procedure that 
will require registered intermediaries, including futures commission 
merchants, introducing brokers, commodity pool operators, commodity 
trading advisors, and leverage transaction merchants, to review, on an 
annual basis, the registration information maintained with the National 
Futures Association. Registrants will be required to complete the 
update electronically in accordance with procedures to be established 
by the National Futures Association.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/00/07
NPRM Comment Period End         05/00/07

Regulatory Flexibility Analysis Required: No

Government Levels Affected: None

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

RIN: 3038-AC37
_______________________________________________________________________




3356. [bull] EXTENSION OF TIME FOR COMMODITY POOL OPERATORS TO FILE POOL 
ANNUAL REPORTS

Priority: Substantive, Nonsignificant

Legal Authority: 7 USC 6n

CFR Citation: 17 CFR 4.7; 17 CFR 4.22

Legal Deadline: None

Abstract: Registered commodity pool operators must prepare, distribute 
and file annual reports for each pool that they operate within 90 days 
of the end of the pool's fiscal year. Under Commission Regulation 
4.22(f)(2), operators of pools that invest in other funds may claim an 
extension of an additional 60 days with respect to the annual report. 
The Commission is considering amending Regulation 4.22(f)(2) to 
increase the extension for annual reports of funds that invest in other 
funds from 60 to 90 days.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            04/00/07

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Eileen R. Chotiner, Futures Trading Specialist, 
Division of Clearing and Intermediary Oversight, Commodity Futures 
Trading Commission, Three Lafayette Centre, 1155 21st Street NW., 
Washington, DC 20581
Phone: 202 418-5467
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AC38
_______________________________________________________________________




3357. [bull] TECHNICAL AND CLARIFYING AMENDMENTS TO PART 40 OF THE 
COMMISSION'S REGULATIONS

Priority: Substantive, Nonsignificant

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

CFR Citation: 17 CFR 40

Legal Deadline: None

Abstract: The Commission is proposing several technical and clarifying 
amendments to part 40 of the Commission's regulations to align the 
requirements of that part with the Commission's current regulatory 
practice and interpretations. The proposed amendments intend to 
accomplish, among other things, the following: (1) Clarify that 
registered entity rules, in general, must be implemented pursuant to 
the process for self-certification or pursuant to a request for 
Commission approval, (2) clarify that the rules and contracts of 
dormant registered entities will automatically be deemed dormant; (3) 
clarify that persons, other than governing board members, may declare 
emergencies on behalf of a designated contract market or derivatives 
transaction execution facility; (4) clarify the implementation time 
limits applicable to newly self-certified products and rules; (5) 
clarify the approval time limits applicable to certain agricultural 
rule changes; and (6) codify additional categories of rules that may be 
implemented without certification or notification because they are 
routine rules and rule amendments or are otherwise already reported to 
the Commission.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            05/00/07
NPRM Comment Period End         06/00/07

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Bruce Fekrat, Special Counsel, Division of Market 
Oversight, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5578
Fax: 202 418-5527
Email: [email protected]

RIN: 3038-AC39
_______________________________________________________________________




3358. [bull] PERIODIC REVISION OF FEDERALLY ESTABLISHED POSITION LIMITS

Priority: Substantive, Nonsignificant

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

CFR Citation: 17 CFR 150

Legal Deadline: None

Abstract: The Commission establishes speculative position limits for 
futures and options contracts based on various agricultural commodities 
in Commission regulation 150.2. Pursuant to its periodic position 
limits regulatory framework suitability review, and in

[[Page 23446]]

response to prevailing market conditions, the Commission proposes to 
update these limits for all single-month and all-months-combined 
positions. In addition, the Commission proposes certain conforming and 
technical amendments to part 150 of the Commission's regulations.

Timetable:
________________________________________________________________________

Action                            Date                      FR Cite

________________________________________________________________________

NPRM                            07/00/07
NPRM Comment Period End         08/00/07

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Donald H. Heitman, Senior Special Counsel, Division of 
Market Oversight, Commodity Futures Trading Commission, Three Lafayette 
Centre, 1155 21st Street NW., Washington, DC 20581
Phone: 202 418-5041
Fax: 202 418-5507
Email: [email protected]

RIN: 3038-AC40
_______________________________________________________________________


Commodity Futures Trading Commission (CFTC)           Completed Actions


  



_______________________________________________________________________




3359. LIMITATIONS ON WITHDRAWALS OF EQUITY CAPITAL

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 1.12; 17 CFR 1.17

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    01/10/07                     72 FR 1148
Final Action Effective          03/12/07

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Thelma Diaz
Phone: 202 418-5137
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AC27
_______________________________________________________________________




3360. CONFLICTS OF INTEREST IN SELF-REGULATION AND SELF-REGULATORY 
ORGANIZATIONS

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR part 38

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    02/14/07                     72 FR 6936

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Rachel F. Berdansky
Phone: 202 418-5641
Email: [email protected]

RIN: 3038-AC28
_______________________________________________________________________




3361. ELECTRONIC FILING OF NOTICES OF EXEMPTION OR EXCLUSION UNDER PART 
4 OF THE COMMISSION'S REGULATIONS

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 4.5 ; 17 CFR 4.7; 17 CFR 4.12 to 4.14

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

NPRM                            10/13/06                    71 FR 60454
Final Action                    01/16/07                     72 FR 1658
Final Action Effective          02/15/07

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Eileen R. Chotiner
Phone: 202 418-5467
Fax: 202 418-5536
Email: [email protected]

RIN: 3038-AC33
_______________________________________________________________________




3362. INTRODUCING BROKER ELECTRONIC FILING OF ANNUAL REPORTS

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 1.10; 17 CFR 1.31

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    11/22/06                    71 FR 67462
Final Action Effective          12/22/06

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Jennifer C.P. Bauer
Phone: 202 418-5472
Fax: 202-418-5547
Email: [email protected]

RIN: 3038-AC34
_______________________________________________________________________




3363. ADVERTISING BY COMMODITY POOL OPERATORS, COMMODITY TRADING 
ADVISORS, AND THE PRINCIPALS THEREOF

Priority: Substantive, Nonsignificant

CFR Citation: 17 CFR 4.41

Completed:
________________________________________________________________________

Reason                            Date                      FR Cite

________________________________________________________________________

Final Action                    02/23/07                     72 FR 8106
Final Action Effective          03/26/07

Regulatory Flexibility Analysis Required: No

Small Entities Affected: No

Government Levels Affected: None

Agency Contact: Barbara S. Gold
Phone: 202 418-5450
Fax: 202 418-5528
Email: [email protected]

RIN: 3038-AC35
[FR Doc. 07-01270 Filed 04-27-07; 8:45 am]
BILLING CODE 6351-01-S
