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U.S. Securities and Exchange Commission

Appendix A


REGULATORY FLEXIBILITY ACT CERTIFICATION

I, Laura S. Unger, Acting Chairman of the Securities and Exchange Commission, hereby certify pursuant to 5 U.S.C. § 605(b) that proposed Rule 6a-4 and Form 1-N, conforming amendments to Rules 6a-2 and 6a-3 under the Securities Exchange Act of 1934 ("Exchange Act"), and Rule 202.3 of the Securities and Exchange Commission's procedural rules, which would provide for the notice registration of designated contract markets and derivative transaction execution facilities as national securities exchanges ("Security Futures Product Exchanges") to list and trade futures on individual stocks and narrow-based stock indexes, would not have a significant economic impact on a substantial number of small entities. Proposed Rule 19b-7, Form 19b-7, and conforming amendments to Rule 19b-4 and Form 19b-4 under the Exchange Act, which propose procedures for the filing of proposed rule changes, likely would apply to seven Security Futures Product Exchanges and one limited purpose national securities association registered pursuant to Section 15A(k) of the Exchange Act, none of which is a small entity for the purpose of the Regulatory Flexibility Act. Accordingly, the proposed rules, forms, and conforming amendments, if adopted, would not have a significant impact on a substantial number of small entities.

/s/ Laura S. Unger

Laura S. Unger
Acting Chairman

Dated: May 8, 2001


http://www.sec.gov/rules/proposed/apprendix_a.htm


Modified: 05/09/2001