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