United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2001_register executive 2010-09-24 article Part III Rules and Regulations D09002ee1c81d3fdc D09002ee1c81d40b2 United States Securities and Exchange Commission originator org United States Government Agency or Subagency The Securities and Exchange Commission ("Commission") is adopting rules to implement certain provisions of the Commodity Futures Modernization Act of 2000 ("CFMA"). First, the Commission is amending its broker-dealer registration requirements and adopting a new form to implement Section 203 of the CFMA. Under this section, futures commission merchants and introducing brokers that are registered with the Commodity Futures Trading Commission ("CFTC") may register as broker-dealers by filing a notice with the Commission for the limited purpose of effecting transactions in security futures products. Second, the Commission is adopting an exemption from registration under Section 15(a) of the Securities Exchange Act of 1934 ("Exchange Act"). Subject to certain conditions, this exemption permits a broker- dealer registered by notice to trade security futures products regardless of the market on which the product is listed or traded. Third, the Commission is adopting amendments to Regulation S-P, which was implemented under the Gramm-Leach-Bliley Act ("GLBA"). These amendments will revise certain provisions of Regulation S-P in light of Section 124 of the CFMA, which makes the privacy provisions of the GLBA applicable to activity regulated by the CFTC. These amendments will also permit futures commission merchants and introducing brokers that are registered by notice as broker-dealers to comply with Regulation S-P by complying with the CFTC's financial privacy rules. 66 FR 45138 https://www.govinfo.gov/app/details/FR-2001-08-27/01-21555 01-21555 fr27au01-19 RIN 3235-AI21 8010-01-U Release No. 34-44730 File No. S7-13-01 https://www.govinfo.gov/app/details/FR-2001-08-27/01-21555 https://www.govinfo.gov/content/pkg/FR-2001-08-27/html/01-21555.htm https://www.govinfo.gov/content/pkg/FR-2001-08-27/pdf/01-21555.pdf Brokers Confidential Business Information Fraud Reporting and Recordkeeping Requirements Securities Consumer Protection Investment Companies Privacy 13 p. 45138 45150 66 FR 45138 Title 17 Part 240 17 CFR Part 240 Title 17 Part 248 17 CFR Part 248 Title 17 Part 249 17 CFR Part 249 RIN 3235-AI21 Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934; Federal Register Vol. 66, Issue RULE 01-21555 III SECURITIES AND EXCHANGE COMMISSION Release No. 34-44730 File No. S7-13-01 8010-01-U 01-21555 Final rule.

The Securities and Exchange Commission ("Commission") is adopting rules to implement certain provisions of the Commodity Futures Modernization Act of 2000 ("CFMA"). First, the Commission is amending its broker-dealer registration requirements and adopting a new form to implement Section 203 of the CFMA. Under this section, futures commission merchants and introducing brokers that are registered with the Commodity Futures Trading Commission ("CFTC") may register as broker-dealers by filing a notice with the Commission for the limited purpose of effecting transactions in security futures products. Second, the Commission is adopting an exemption from registration under Section 15(a) of the Securities Exchange Act of 1934 ("Exchange Act"). Subject to certain conditions, this exemption permits a broker- dealer registered by notice to trade security futures products regardless of the market on which the product is listed or traded. Third, the Commission is adopting amendments to Regulation S-P, which was implemented under the Gramm-Leach-Bliley Act ("GLBA"). These amendments will revise certain provisions of Regulation S-P in light of Section 124 of the CFMA, which makes the privacy provisions of the GLBA applicable to activity regulated by the CFTC. These amendments will also permit futures commission merchants and introducing brokers that are registered by notice as broker-dealers to comply with Regulation S-P by complying with the CFTC's financial privacy rules.

August 27, 2001. Catherine McGuire, Chief Counsel, Theodore R. Lazo, Special Counsel, Christina K. McGlosson, Attorney, or Brice D. Prince, Attorney, at 202-942-0073, Office of the Chief Counsel, Division of Market Regulation, Securities and Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549-1001. Brokers Confidential Business Information Fraud Reporting and Recordkeeping Requirements Securities Consumer Protection Investment Companies Privacy Securities: Broker-dealer registration requirements, http://www.sec.gov Vol. 66, no. 166 Office of the Federal Register, National Archives and Records Administration 2001-08-27 continuing daily deposited born digital 219 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2001-08-27 P0b002ee180a1a0b3 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr27au01 https://www.govinfo.gov/app/details/FR-2001-08-27 https://www.govinfo.gov/content/pkg/FR-2001-08-27/pdf/FR-2001-08-27.pdf https://www.govinfo.gov/content/pkg/FR-2001-08-27/xml/FR-2001-08-27.xml fdlp 44945 45150 DGPO 2010-09-24 2024-06-08 FR-2001-08-27 machine generated eng FR FR-2001-08-27 66 166