Font Size: AAA // Print // Bookmark

Comments for Proposed Rule 75 FR 70881

Proposed Rule  75 FR 70881  //  Open PDF Version PDF Version

17 CFR Part 3 Designation of a Chief Compliance Officer; Required Compliance Policies; and Annual Report of a Futures Commission Merchant, Swap Dealer, or Major Swap Participant

Open Date: 11/19/2010
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

79 FR 41126 ,  7/15/2014  //  Open PDF Version PDF Version

17 CFR Part 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; Correction

Basic SearchAdvanced Search
  •  
  •  
Date Received ReleaseFirst NameLast NameOrganizationEdit
First Page Previous Page
Next Page Last Page
Page size:
select
 65 items in 7 pages
01/06/201175 FR 70881LaurelLeitnerCouncil of Institutional Investors
01/06/201175 FR 70881GaryDeWaalNewedge USA, LLC
01/11/201175 FR 70881LannySchwartzBARCLAYS BANK PLC BNP PARIBAS S.A. DEUTSCHE BANK AG ROYAL BANK OF CANADA THE ROYAL BANK OF SCOTLAND GROUP PLC SOCIETE GENERALE UBS AG
01/17/201175 FR 70881SueCochranCargill, Inc./Cargill Risk Management
01/18/201175 FR 70881GeraldFishmanRosenthal Collins Group, LLC
01/18/201175 FR 70881DennisKelleherBetter Markets, Inc.
01/18/201175 FR 70881BarbaraWierzynskiFutures Industry Association
01/18/201175 FR 70881JoanHinchmanNational Society of Compliance Professionals (NSCP)
01/18/201175 FR 70881ThomasSextonNational Futures Associaton
01/18/201175 FR 70881CarlottaKingManaged Funds Association