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<DOC>
[June 28, 2004 (Volume 69, Number 123)]
[Unified Agenda]
 [frwais.access.gpo.gov]
                         

[Page 38478-38479]
 
COMMODITY FUTURES TRADING COMMISSION (CFTC)

_______________________________________________________________________


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

Part XLVI





Commodity Futures Trading Commission





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



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
----------------------------------------------------------------------------------------------------------------
                                                                                                     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...........................................................................
----------------------------------------------------------------------------------------------------------------


                             Commodity Futures Trading Commission--Final Rule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
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
----------------------------------------------------------------------------------------------------------------


[[Page 38479]]


                             Commodity Futures Trading Commission--Completed Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
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
----------------------------------------------------------------------------------------------------------------

_______________________________________________________________________

<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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