CFTC and SEC Rules for Security Futures (As of March 15, 2002)

Final Rules:

• Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of National Securities Exchanges and Limited Purpose National Securities Associations, 66 Fed. Reg. 26977 (May 15, 2001).  
• Notice Registration as a Futures Commission Merchant or Introducing Broker for Certain Securities Brokers or Dealers, 66 Fed. Reg. 43080 (Aug. 17, 2001).  
• Exemption for Certain Brokers or Dealers from Provisions of the Commodity Exchange Act and CFTC Regulations, 66 Fed. Reg. 43083 (Aug. 17, 2001).  
• Registration of Brokers-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934, 66 Fed. Reg. 45137 (Aug. 27, 2001).  
• Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index, 66 Fed. Reg. 44489 (Aug. 23, 2001).  
• Designated Contract Markets in Security Futures Products: Notice-Designation Requirements, Continuing Obligations, Applications for Exemptive Orders, and Exempt Provisions, 66 Fed. Reg. 44960 (Aug. 27, 2001).  
• Listing Standards and Conditions for Trading Security Futures Products, 66 Fed. Reg. 55078 (Nov. 1, 2001).
• Regulation to Restrict Dual Trading in Security Futures Products, 67 Fed. Reg. 11223 (March 13, 2002).  
• Reporting Levels for Large Trader Reports; Security Futures Products, 67 Fed. Reg. 11569 (March 15, 2002).  

Proposed Rules

• Cash Settlement and Regulatory Halt Requirements for Security Futures Products, 66 Fed. Reg. 45903 (Aug. 30, 2001).  
• Customer Margin Rules Relating to Security Futures, 66 Fed. Reg. 50719 (Oct. 4, 2001).  
• Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products, 66 Fed. Reg. 50785 (Oct. 4, 2001).

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