Comment Letters
2023 | 2022 | 2021 | 2020 | 2019 | Show more yearsDecember 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 4, 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 6, 2002
Re: Proposed Section 326 Rule - Customer Identification
September 5, 2002
Re: Ethics Standards for Neutral Arbitrators in Contractual Arbitration; Response to Invitation to Comment
April 3, 2002
Special Information Sharing Procedures to Deter Money Laundering and Terrorist Activities