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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

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 65 items in 7 pages
08/31/201175 FR 70881ThomasSextonNational Futures Association (NFA)
01/18/201175 FR 70881ThomasSextonNational Futures Associaton
06/03/201176 FR 25274RussellWassonNational Rural Electric Cooperative Association American Public Power Association Large Public Power Council Edison Electric Institute Electric Power Supply Association
01/18/201175 FR 70881JoanHinchmanNational Society of Compliance Professionals (NSCP)
06/03/201175 FR 70881StephenKohnNational Whistleblowers Center
01/06/201175 FR 70881GaryDeWaalNewedge USA, LLC
07/07/201176 FR 25274KennethFisherNoble Energy, Inc.
01/18/201175 FR 70881GeraldFishmanRosenthal Collins Group, LLC
06/03/201175 FR 70881JimMcHaleSecurities Industry and Financial Markets Association; Futures Industry Association
01/18/201175 FR 70881WarrenDavisSutherland Asbill & Brennan, on behalf of The Federal Home Loan Banks