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Comments for Proposed Rule 76 FR 7976

Proposed Rule  76 FR 7976  //  Open PDF Version PDF Version

17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations; Proposed Rule

*Note – This Proposed Rule contains forms which are not displayed in the HTML version.  To see the complete proposal, download the PDF version.

Open Date: 2/11/2011
Closing Date: 4/12/2011
See also:
77 FR 11252 ,  2/24/2012  //  Open PDF Version PDF Version

17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations

77 FR 17328 ,  3/26/2012  //  Open PDF Version PDF Version

17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations

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 109 items in 11 pages
04/12/201176 FR 7976ScottGoebelFidelity Management & Research Co.
04/12/201176 FR 7976JohnGidmanThe Association of Institutional Investors
11/30/201176 FR 7976DianneFeinsteinU.S. Senate
02/11/201176 FR 7976MajedEl ZeinInternal Revenue,IRS USA
03/26/201176 FR 7976RichardDilian 
04/15/201176 FR 7976HowardDickerSecurities Regulation Committee of the Business Law Section of the New York State Bar Association
04/12/201176 FR 7976AndrewCrossReed Smith LLP
03/01/201176 FR 7976Ex ParteCommunicationNFA SEC FINRA
04/13/201176 FR 7976Ex ParteCommunicationSteben & Co.
04/13/201176 FR 7976Ex ParteCommunicationSteben & Company