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Comments for Proposed Rule 82 FR 21330

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Proposed Rule  82 FR 21330  //  Open PDF Version PDF Version

17 CFR Part 3 Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments

Open Date: 5/8/2017
Closing Date: 7/7/2017
See also:
83 FR 43510 ,  8/27/2018  //  Open PDF Version PDF Version

17 CFR Part 3 Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants

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05/16/201782 FR 21330ChrisBarnard 
06/07/201782 FR 21330Ex ParteCommunicationSecurities Industry and Financial Markets Association (SIFMA) and Futures Industry Association (FIA)
06/24/201782 FR 21330KasseyOulhadjAutomated Compliance Management
06/30/201782 FR 21330DavidLuckingAllen & Overy LLP
07/07/201782 FR 21330RyutaroHatashitaJapanese Bankers Association
07/07/201782 FR 21330CarolWoodingNational Futures Association
07/07/201782 FR 21330NicoletteConeInternational Swaps and Derivatives Association (ISDA)
07/07/201782 FR 21330CaseyGoldNatural Gas Supply Association
07/07/201782 FR 21330JamesMackenzieTD Ameritrade Futures & Forex LLC
07/07/201782 FR 21330KyleBrandonFutures Industry Association (FIA) Securities Industry and Financial Markets Association (SIFMA)