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Comments for Proposed Rule 75 FR 70152

Proposed Rule  75 FR 70152  //  Open PDF Version PDF Version

17 CFR Part 1 Implementation of Conflicts of Interest Policies and Procedures by Futures Commission Merchants and Introducing Brokers

Open Date: 11/17/2010
Closing Date: 1/18/2011
Extended Date: 6/3/2011
See also:
76 FR 25274 ,  5/4/2011  //  Open PDF Version PDF Version

17 CFR Chapter I Reopening and Extension of Comment Periods for Rulemakings Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act

77 FR 20128 ,  4/3/2012  //  Open PDF Version PDF Version

17 CFR Parts 1, 3, and 23 Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants

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11/26/201075 FR 70152LisaLisaNA
01/13/201175 FR 70152ScottStewartStewart-Peterson Group, Inc.
01/17/201175 FR 70152MelindaSchrammNIBA
01/18/201175 FR 70152DennisKelleherBetter Markets, Inc.
01/18/201175 FR 70152LawrencePatentPeregrine Financial Group, Inc. (PFG)
01/18/201175 FR 70152Ex ParteCommunicationBarclays Capital
01/18/201175 FR 70152ThomasSextonNational Futures Association
01/18/201175 FR 70152KennethBentsenFutures Industry Association International Swaps and Derivatives Association Securities Industry and Financial Markets Association
01/18/201175 FR 70152KurtJohnsonADM Investor Services, Inc.
01/18/201175 FR 70152GaryDeWaalNewedge USA, LLC