Comment Letters
December 12, 2002
Re: Exclusion for Certain Otherwise Regulated Persons From the Definition of the Term "Commodity Pool Operator;" 67 Fed. Reg. 65743 (October 26, 2002)
November 25, 2002
Attention: NPRM – Section 352 Unregistered Investment Company Regulations
October 15, 2002
Re: Denomination of Customer Funds and Location of Depositories; 67 Fed. Reg. 52641 (August 13, 2002)
October 04, 2002
Attention: PRA Comments - SAR - Securities and Futures Industry Form
September 19, 2002
Re: File No. SR-NASD-2002-99; Revisions to NASD Bylaws Regarding Gross Income Assessments
September 06, 2002
Re: Proposed Section 326 Rule - Customer Identification
September 05, 2002
Re: Ethics Standards for Neutral Arbitrators in Contractual Arbitration; Response to Invitation to Comment
July 18, 2002
File No. S7-23-02; Commission Guidance on the Application of Certain Provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and Rules thereunder to Trading in Security Futures Products
July 17, 2002
File No. S7-19-02; Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts
July 01, 2002
Re: Notice of Proposed Rulemaking on Anti-Money Laundering Due Diligence Programs for Certain Foreign Accounts
April 25, 2002
Request of the National Futures Association for Approval of Interpretive Notice to NFA Compliance Rule 2-9: Supervision of the Use of Automated Order-Routing Systems (67 Fed. Reg. 14701 (Mar. 27, 2002))
April 03, 2002
Special Information Sharing Procedures to Deter Money Laundering and Terrorist Activities
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