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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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 57 items in 6 pages
02/21/201275 FR 70152ThomasBookEurex Clearing AG
02/17/201275 FR 70152IanAxeLCH.Clearnet Group Limited
02/09/201276 FR 25274Ex ParteCommunicationGoldman Sachs, Credit Suisse Securities (USA) LLC, J.P. Morgan Securities, Futures Industry Association (FIA), Securities Industry and Financial Markets Association (SIFMA), Pershing, Morgan Stanley & Co., Wilmer Hale, NewEdge, Macquarie Group
10/05/201175 FR 70152Ex ParteCommunicationJP Morgan Chase & Co.
09/28/201175 FR 70152Ex ParteCommunicationMorgan Stanley
09/22/201175 FR 70152Ex ParteCommunicationGoldman Sachs & Co.
07/14/201176 FR 25274Ex ParteCommunicationCHS, Dairy Farmers of America/Dairylea, Land O'Lakes, Growmark, NCFC
07/07/201176 FR 25274KennethFisherNoble Energy, Inc.
06/24/201176 FR 25274HalScottCommittee on Capital Markets Regulation
06/15/201176 FR 25274ErnestEdselACM Capital Management