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Approved Rules and Interpretive Notices

  • Compliance Rule 2-7. Branch Office Managers and Designated Security Futures Principals  
  • Compliance Rule 2-8. Discretionary Accounts  
  • Compliance Rule 2-29. Communications with the Public and Promotional Material  
  • Compliance Rule 2-30. Customer Information and Risk Disclosure  
  • Compliance Rule 2-37. Security Futures Products  
  • Interpretive Notice: Compliance Rule 2-9. Enhanced Supervisory Requirements  
  • Interpretive Notice: Obligations to Customers and Other Market Participants
  • Interpretive Notice: Compliance Rule 2-29. Special Supervisory Requirements for Members Registered as Broker-Dealers Under Section 15(B)(11) of the Securities Exchange Act of 1934  
  • Interpretive Notice: Compliance Rule 2-29. Use of Past or Projected Performance; Disclosing Conflicts of Interest for Security Futures Products

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