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 2002_register executive 2010-09-23 article Part IV Rules and Regulations D09002ee1c819a74e D09002ee1c819a867 United States Commodity Futures Trading Commission originator org United States Government Agency or Subagency United States Securities and Exchange Commission originator org United States Government Agency or Subagency The Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") (collectively "Commissions") are adopting a new rule generally to require that the final settlement price for each cash-settled security futures product fairly reflect the opening price of the underlying security or securities, and that trading in any security futures product halt when a regulatory halt is instituted with respect to a security or securities underlying the security futures product by the national securities exchange or national securities association listing the security. The rule adopted today would set forth more specifically how the exchange's or association's rules can satisfy provisions added to the Commodity Exchange Act ("CEA") and the Securities Exchange Act of 1934 ("Exchange Act") by the Commodity Futures Modernization Act of 2000 ("CFMA"). The Commissions are also issuing an interpretation of the statutory requirement under the CEA and the Exchange Act that procedures be put in place for coordinated surveillance among the markets trading security futures products and any market trading any security underlying the security futures products or any related security. 67 FR 36740 https://www.govinfo.gov/app/details/FR-2002-05-24/02-12979 02-12979 fr24my02-22 RIN 3038-AB86 RIN 3235-AI24 8010-01-P; 6391-01-P Release No. 34-45956 File No. S7-15-01 https://www.govinfo.gov/app/details/FR-2002-05-24/02-12979 https://www.govinfo.gov/content/pkg/FR-2002-05-24/html/02-12979.htm https://www.govinfo.gov/content/pkg/FR-2002-05-24/pdf/02-12979.pdf Securities Security Futures Products Trading Halts and Settlement Provisions 24 p. 36740 36763 67 FR 36740 Title 17 Part 240 17 CFR Part 240 Title 17 Part 41 17 CFR Part 41 RIN 3038-AB86 RIN 3235-AI24 Cash Settlement and Regulatory Halt Requirements for Security Futures Products; Federal Register Vol. 67, Issue RULE 02-12979 IV COMMODITY FUTURES TRADING COMMISSION SECURITIES AND EXCHANGE COMMISSION 2002-06-24 Release No. 34-45956 File No. S7-15-01 8010-01-P; 6391-01-P 02-12979 Joint final rule.

The Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") (collectively "Commissions") are adopting a new rule generally to require that the final settlement price for each cash-settled security futures product fairly reflect the opening price of the underlying security or securities, and that trading in any security futures product halt when a regulatory halt is instituted with respect to a security or securities underlying the security futures product by the national securities exchange or national securities association listing the security. The rule adopted today would set forth more specifically how the exchange's or association's rules can satisfy provisions added to the Commodity Exchange Act ("CEA") and the Securities Exchange Act of 1934 ("Exchange Act") by the Commodity Futures Modernization Act of 2000 ("CFMA"). The Commissions are also issuing an interpretation of the statutory requirement under the CEA and the Exchange Act that procedures be put in place for coordinated surveillance among the markets trading security futures products and any market trading any security underlying the security futures products or any related security.

The rules are effective June 24, 2002. CFTC Securities Security Futures Products Trading Halts and Settlement Provisions Security futures products: Cash settlement and regulatory halt requirements, GSudik@cftc.gov RShilts@cftc.gov TLeahy@cftc.gov Vol. 67, no. 101 Office of the Federal Register, National Archives and Records Administration 2002-05-24 continuing daily deposited born digital 294 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2002-05-24 P0b002ee1809dc795 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr24my02 https://www.govinfo.gov/app/details/FR-2002-05-24 https://www.govinfo.gov/content/pkg/FR-2002-05-24/pdf/FR-2002-05-24.pdf https://www.govinfo.gov/content/pkg/FR-2002-05-24/xml/FR-2002-05-24.xml fdlp 36495 36778 DGPO 2010-09-23 2024-06-07 FR-2002-05-24 machine generated eng FR FR-2002-05-24 67 101