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ua28jn04 3854. REPORTING LEVELS AND TRADES INVOLVING THE...
<DOC>
[June 28, 2004 (Volume 69, Number 123)]
[Unified Agenda]
[frwais.access.gpo.gov]
[Page 38478-38479]
COMMODITY FUTURES TRADING COMMISSION (CFTC)
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Part XLVI
Commodity Futures Trading Commission
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Semiannual Regulatory Agenda
[[Page 38478]]
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, Assistant Secretary
for FOIA Matters, Commodity Futures Trading Commission, 1155 21st
Street NW., Washington, DC 20581, (202) 418-5096, edonovan@cftc.gov.
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 2004 regulatory flexibility agenda is
set forth below.
Issued in Washington, DC on May 7, 2004, 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 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 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
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Regulation
Sequence Title Identifier
Number Number
----------------------------------------------------------------------------------------------------------------
3846 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..............................................................
3847 Interagency Proposal To Consider Alternative Forms of Privacy Notices Under the Gramm- 3038-AC04
Leach-Bliley Act......................................................................
3848 Haircuts on Foreign Currency.......................................................... 3038-AC05
3849 Execution of Off-Centralized Market Transactions: Regulation 1.38 and Guidance on Core 3038-AC07
Principle 9...........................................................................
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Commodity Futures Trading Commission--Final Rule Stage
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Regulation
Sequence Title Identifier
Number Number
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3850 Registration Exemptions Pertaining to the Offer and Sale of Foreign Futures and 3038-AB45
Foreign Options Contracts to Customers Located in the United States...................
3851 Minimum Financial Requirements for Futures Commission Merchants and Introducing 3038-AB64
Brokers...............................................................................
3852 Information Access and Price Transparency For Exempt Commercial Markets............... 3038-AC02
3853 Collection of Claims Owed the United States Arising from Activities Under the 3038-AC03
Commission's Jurisdiction.............................................................
3854 Reporting Levels and Trades Involving the Exchange of Futures......................... 3038-AC08
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[[Page 38479]]
Commodity Futures Trading Commission--Completed Actions
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Regulation
Sequence Title Identifier
Number Number
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3855 Regulation of Hybrid Instruments...................................................... 3038-AB69
3856 Use of Broker-Dealers, Depository Institutions, and Farm Crediting System Institutions 3038-AB70
as Intermediaries on Derivatives Transaction Execution Facilities.....................
3857 Investment of Customer Funds.......................................................... 3038-AC01
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<DOC>
[June 28, 2004 (Volume 69, Number 123)]
[Unified Agenda]
[frwais.access.gpo.gov]
[Page 38479]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
3846. 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 07/00/04
Regulatory Flexibility Analysis Required: No
Government Levels Affected: None
Agency Contact: Andrew V. Chapin, Attorney Advisor, Division of
Clearing and Intermediary Oversight, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street NW., Washington,
DC 20581
Phone: 202 418-5465
Fax: 202 418-5536
Email: achapin@cftc.gov
Thomas M. Leahy Jr., Industry Economist, Division of Market Oversight,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581
Phone: 202 418-5278
Email: tleahy@cftc.gov
Related RIN: Related to 3038-AB78
RIN: 3038-AB75
_______________________________________________________________________
<DOC>
[June 28, 2004 (Volume 69, Number 123)]
[Unified Agenda]
[frwais.access.gpo.gov]
[Page 38479-38480]
Commodity Futures Trading Commission (CFTC) Proposed Rule Stage
_______________________________________________________________________
3847. INTERAGENCY PROPOSAL TO CONSIDER ALTERNATIVE FORMS OF PRIVACY
NOTICES UNDER THE GRAMM-LEACH-BLILEY ACT
Priority: Substantive, Nonsignificant. Major status under 5 USC 801 is
undetermined.
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 consumera reasonable opportunity to direct the
institution not to share nonpublic personal information about the
consumer with nonaffiliated third parties. The GLB Act agencies,
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. Consequently, GLB Act agencies
are considering whether to amend the privacy rule to provide for
simpler, more useful notices. The GLB Act agencies intend to issue an
advance notice of proposed rulemaking to determine whether to propose
changes to the privacy rule, and if so, will seek further public
comment on specific programs. The agencies expect that consumer testing
would be a key component in the development of any specific proposals.
Timetable:
________________________________________________________________________
Action Date FR Cite
________________________________________________________________________
ANPRM 12/30/03 68 FR 75164
ANPRM Comment Period End 03/29/04
NPRM 09/00/04
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