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Comment Letters

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November 11, 2009
RIN 3038-AB87; Electronic Filing of Financial Reports and Notices, 74 Fed. Reg.October 13, 2009

July 21, 2009
Advance Notice of Proposed Rulemaking for Regulations 1.25 and 30.7

July 06, 2009
RIN 3038-AC66; Revised Adjusted Net Capital Requirements for Futures Commission Merchants and Introducing Brokers, 74 Fed. Reg. 21290 (May 7, 2009)

June 29, 2009
Proposed Consolidated FINRA Rules Governing Suitability and Know-Your-Customer Obligations

June 16, 2009
Whether to Eliminate the Bona Fide Hedge Exemption for Certain Swap Dealers and Create a New Limited Risk Management Exemption from Speculative Position Limits

May 19, 2009
Public Comment on Principles on Outsourcing by Markets

May 19, 2009
Public Comment on Policies on Direct Electronic Access

April 30, 2009
Public Comment on the Hedge Funds Oversight: Consultation Report

March 26, 2009
Commodity Pool Operator Periodic Account Statements and Annual Financial Reports - RIN 3038-AC38

March 23, 2009
RIN 3038-AC72; Acknowledgment Letters for Customer Funds and Secured Amount Funds, 74 Fed. Reg. 7838 (February 20, 2009)

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